[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2000 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

                    40


          Parts 64 to 71

                         Revised as of July 1, 2000

Protection of Environment





          Containing a Codification of documents of general 
          applicability and future effect
          As of July 1, 2000
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

As a Special Edition of the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2000



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Material Approved for Incorporation by Reference........     181
      Table of CFR Titles and Chapters........................     183
      Alphabetical List of Agencies Appearing in the CFR......     201
      List of CFR Sections Affected...........................     211



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

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  40 CFR 64.1 refers 
                       to title 40, part 64, 
                       section 1.

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

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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and 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.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The 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).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The 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.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2000), 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.

EFFECTIVE AND EXPIRATION DATES

    Each 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.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

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Many 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.

OBSOLETE PROVISIONS

    Provisions 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, 1949-
1963, 1964-1972, or 1973-1985, 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.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation 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.
    What is a proper incorporation by reference? The 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:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
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) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The 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.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For 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 odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
[email protected].

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
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Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Public Papers, 
Weekly Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format at www.access.gpo.gov/
nara (``GPO Access''). For more information, contact Electronic 
Information Dissemination Services, U.S. Government Printing Office. 
Phone 202-512-1530, or 888-293-6498 (toll-free). E-mail, 
[email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2000.



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                               THIS TITLE

    Title 40--Protection of Environment is composed of twenty-four 
volumes. The parts in these volumes are arranged in the following order: 
parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-End), 
parts 53-59, part 60, parts 61-62, part 63 (63.1-63.1199), part 63 
(63.1200-End), parts 64-71, parts 72-80, parts 81-85, part 86, parts 87-
135, parts 136-149, parts 150-189, parts 190-259, parts 260-265, parts 
266-299, parts 300-399, parts 400-424, parts 425-699, parts 700-789, 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, 2000.

    Chapter I--Environmental Protection Agency appears in all twenty-
four volumes. A Pesticide Tolerance Commodity/Chemical Index and Crop 
Grouping Commodities Index appear in parts 150-189. A Toxic Substances 
Chemical--CAS Number Index appears in parts 700-789 and part 790 to End. 
Redesignation Tables appear in the volumes containing parts 50-51, parts 
150-189, and parts 700-789. Regulations issued by the Council on 
Environmental Quality appear in the volume containing part 790 to End. 
The OMB control numbers for title 40 appear in Sec. 9.1 of this chapter.

    For this volume, Ruth Reedy Green 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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

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                   TITLE 40--PROTECTION OF ENVIRONMENT




                    (This book contains parts 64-71)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Environmental Protection Agency (Continued)......          64

[[Page 3]]



               CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY




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

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)

Part                                                                Page
64              Compliance assurance monitoring.............           5
65              [Reserved]

66              Assessment and collection of noncompliance 
                    penalties by EPA........................          16
67              EPA approval of State noncompliance penalty 
                    program.................................          29
68              Chemical accident prevention provisions.....          36
69              Special exemptions from requirements of the 
                    Clean Air Act...........................          73
70              State operating permit programs.............          85
71              Federal operating permit programs...........         125


  Editorial Note: Subchapter C--Air Programs is contained in volumes 40 
CFR parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-End), parts 
53-59, part 60, parts 61-62, part 63 (63.1-63.1199), part 63 (63.1200-
End), parts 64-71, parts 72-80, parts 81-85, part 86, and parts 87-135.

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                 SUBCHAPTER C--AIR PROGRAMS (Continued)





PART 64--COMPLIANCE ASSURANCE MONITORING--Table of Contents




Sec.
64.1  Definitions.
64.2  Applicability.
64.3  Monitoring design criteria.
64.4  Submittal requirements.
64.5  Deadlines for submittals.
64.6  Approval of monitoring.
64.7  Operation of approved monitoring.
64.8  Quality improvement plan (QIP) requirements.
64.9  Reporting and recordkeeping requirements.
64.10  Savings provisions.

    Authority: 42 U.S.C. 7414 and 7661-7661f.

    Source: 62 FR 54940, Oct. 22, 1997, unless otherwise noted.



Sec. 64.1  Definitions.

    The following definitions apply to this part. Except as specifically 
provided in this section, terms used in this part retain the meaning 
accorded them under the applicable provisions of the Act.
    Act means the Clean Air Act, as amended by Pub.L. 101-549, 42 U.S.C. 
7401, et seq.
    Applicable requirement shall have the same meaning as provided under 
part 70 of this chapter.
    Capture system means the equipment (including but not limited to 
hoods, ducts, fans, and booths) used to contain, capture and transport a 
pollutant to a control device.
    Continuous compliance determination method means a method, specified 
by the applicable standard or an applicable permit condition, which:
    (1) Is used to determine compliance with an emission limitation or 
standard on a continuous basis, consistent with the averaging period 
established for the emission limitation or standard; and
    (2) Provides data either in units of the standard or correlated 
directly with the compliance limit.
    Control device means equipment, other than inherent process 
equipment, that is used to destroy or remove air pollutant(s) prior to 
discharge to the atmosphere. The types of equipment that may commonly be 
used as control devices include, but are not limited to, fabric filters, 
mechanical collectors, electrostatic precipitators, inertial separators, 
afterburners, thermal or catalytic incinerators, adsorption devices 
(such as carbon beds), condensers, scrubbers (such as wet collection and 
gas absorption devices), selective catalytic or non-catalytic reduction 
systems, flue gas recirculation systems, spray dryers, spray towers, 
mist eliminators, acid plants, sulfur recovery plants, injection systems 
(such as water, steam, ammonia, sorbent or limestone injection), and 
combustion devices independent of the particular process being conducted 
at an emissions unit (e.g., the destruction of emissions achieved by 
venting process emission streams to flares, boilers or process heaters). 
For purposes of this part, a control device does not include passive 
control measures that act to prevent pollutants from forming, such as 
the use of seals, lids, or roofs to prevent the release of pollutants, 
use of low-polluting fuel or feedstocks, or the use of combustion or 
other process design features or characteristics. If an applicable 
requirement establishes that particular equipment which otherwise meets 
this definition of a control device does not constitute a control device 
as applied to a particular pollutant-specific emissions unit, then that 
definition shall be binding for purposes of this part.
    Data means the results of any type of monitoring or method, 
including the results of instrumental or non-instrumental monitoring, 
emission calculations, manual sampling procedures, recordkeeping 
procedures, or any other form of information collection procedure used 
in connection with any type of monitoring or method.
    Emission limitation or standard means any applicable requirement 
that constitutes an emission limitation, emission standard, standard of 
performance or means of emission limitation as defined under the Act. An 
emission limitation or standard may be expressed in terms of the 
pollutant, expressed either

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as a specific quantity, rate or concentration of emissions (e.g., pounds 
of SO2 per hour, pounds of SO2 per million British 
thermal units of fuel input, kilograms of VOC per liter of applied 
coating solids, or parts per million by volume of SO2) or as 
the relationship of uncontrolled to controlled emissions (e.g., 
percentage capture and destruction efficiency of VOC or percentage 
reduction of SO2). An emission limitation or standard may 
also be expressed either as a work practice, process or control device 
parameter, or other form of specific design, equipment, operational, or 
operation and maintenance requirement. For purposes of this part, an 
emission limitation or standard shall not include general operation 
requirements that an owner or operator may be required to meet, such as 
requirements to obtain a permit, to operate and maintain sources in 
accordance with good air pollution control practices, to develop and 
maintain a malfunction abatement plan, to keep records, submit reports, 
or conduct monitoring.
    Emissions unit shall have the same meaning as provided under part 70 
of this chapter.
    Exceedance shall mean a condition that is detected by monitoring 
that provides data in terms of an emission limitation or standard and 
that indicates that emissions (or opacity) are greater than the 
applicable emission limitation or standard (or less than the applicable 
standard in the case of a percent reduction requirement) consistent with 
any averaging period specified for averaging the results of the 
monitoring.
    Excursion shall mean a departure from an indicator range established 
for monitoring under this part, consistent with any averaging period 
specified for averaging the results of the monitoring.
    Inherent process equipment means equipment that is necessary for the 
proper or safe functioning of the process, or material recovery 
equipment that the owner or operator documents is installed and operated 
primarily for purposes other than compliance with air pollution 
regulations. Equipment that must be operated at an efficiency higher 
than that achieved during normal process operations in order to comply 
with the applicable emission limitation or standard is not inherent 
process equipment. For the purposes of this part, inherent process 
equipment is not considered a control device.
    Major source shall have the same meaning as provided under part 70 
or 71 of this chapter.
    Monitoring means any form of collecting data on a routine basis to 
determine or otherwise assess compliance with emission limitations or 
standards. Recordkeeping may be considered monitoring where such records 
are used to determine or assess compliance with an emission limitation 
or standard (such as records of raw material content and usage, or 
records documenting compliance with work practice requirements). The 
conduct of compliance method tests, such as the procedures in appendix A 
to part 60 of this chapter, on a routine periodic basis may be 
considered monitoring (or as a supplement to other monitoring), provided 
that requirements to conduct such tests on a one-time basis or at such 
times as a regulatory authority may require on a non-regular basis are 
not considered monitoring requirements for purposes of this paragraph. 
Monitoring may include one or more than one of the following data 
collection techniques, where appropriate for a particular circumstance:
    (1) Continuous emission or opacity monitoring systems.
    (2) Continuous process, capture system, control device or other 
relevant parameter monitoring systems or procedures, including a 
predictive emission monitoring system.
    (3) Emission estimation and calculation procedures (e.g., mass 
balance or stoichiometric calculations).
    (4) Maintenance and analysis of records of fuel or raw materials 
usage.
    (5) Recording results of a program or protocol to conduct specific 
operation and maintenance procedures.
    (6) Verification of emissions, process parameters, capture system 
parameters, or control device parameters using portable or in situ 
measurement devices.
    (7) Visible emission observations.
    (8) Any other form of measuring, recording, or verifying on a 
routine basis

[[Page 7]]

emissions, process parameters, capture system parameters, control device 
parameters or other factors relevant to assessing compliance with 
emission limitations or standards.
    Owner or operator means any person who owns, leases, operates, 
controls or supervises a stationary source subject to this part.
    Part 70 or 71 permit shall have the same meaning as provided under 
part 70 or 71 of this chapter, provided that it shall also refer to a 
permit issued, renewed, amended, revised, or modified under any federal 
permit program promulgated under title V of the Act.
    Part 70 or 71 permit application shall mean an application 
(including any supplement to a previously submitted application) that is 
submitted by the owner or operator in order to obtain a part 70 or 71 
permit.
    Permitting authority shall have the same meaning as provided under 
part 70 or 71 of this chapter.
    Pollutant-specific emissions unit means an emissions unit considered 
separately with respect to each regulated air pollutant.
    Potential to emit shall have the same meaning as provided under part 
70 or 71 of this chapter, provided that it shall be applied with respect 
to an ``emissions unit'' as defined under this part in addition to a 
``stationary source'' as provided under part 70 or 71 of this chapter.
    Predictive emission monitoring system (PEMS) means a system that 
uses process and other parameters as inputs to a computer program or 
other data reduction system to produce values in terms of the applicable 
emission limitation or standard.
    Regulated air pollutant shall have the same meaning as provided 
under part 70 or 71 of this chapter.



Sec. 64.2  Applicability.

    (a) General applicability. Except for backup utility units that are 
exempt under paragraph (b)(2) of this section, the requirements of this 
part shall apply to a pollutant-specific emissions unit at a major 
source that is required to obtain a part 70 or 71 permit if the unit 
satisfies all of the following criteria:
    (1) The unit is subject to an emission limitation or standard for 
the applicable regulated air pollutant (or a surrogate thereof), other 
than an emission limitation or standard that is exempt under paragraph 
(b)(1) of this section;
    (2) The unit uses a control device to achieve compliance with any 
such emission limitation or standard; and
    (3) The unit has potential pre-control device emissions of the 
applicable regulated air pollutant that are equal to or greater than 100 
percent of the amount, in tons per year, required for a source to be 
classified as a major source. For purposes of this paragraph, 
``potential pre-control device emissions'' shall have the same meaning 
as ``potential to emit,'' as defined in Sec. 64.1, except that emission 
reductions achieved by the applicable control device shall not be taken 
into account.
    (b) Exemptions--(1) Exempt emission limitations or standards. The 
requirements of this part shall not apply to any of the following 
emission limitations or standards:
    (i) Emission limitations or standards proposed by the Administrator 
after November 15, 1990 pursuant to section 111 or 112 of the Act.
    (ii) Stratospheric ozone protection requirements under title VI of 
the Act.
    (iii) Acid Rain Program requirements pursuant to sections 404, 405, 
406, 407(a), 407(b), or 410 of the Act.
    (iv) Emission limitations or standards or other applicable 
requirements that apply solely under an emissions trading program 
approved or promulgated by the Administrator under the Act that allows 
for trading emissions within a source or between sources.
    (v) An emissions cap that meets the requirements specified in 
Sec. 70.4(b)(12) or Sec. 71.6(a)(13)(iii) of this chapter.
    (vi) Emission limitations or standards for which a part 70 or 71 
permit specifies a continuous compliance determination method, as 
defined in Sec. 64.1. The exemption provided in this paragraph 
(b)(1)(vi) shall not apply if the applicable compliance method includes 
an assumed control device emission reduction factor that could be 
affected by the actual operation and maintenance of the control device

[[Page 8]]

(such as a surface coating line controlled by an incinerator for which 
continuous compliance is determined by calculating emissions on the 
basis of coating records and an assumed control device efficiency factor 
based on an initial performance test; in this example, this part would 
apply to the control device and capture system, but not to the remaining 
elements of the coating line, such as raw material usage).
    (2) Exemption for backup utility power emissions units. The 
requirements of this part shall not apply to a utility unit, as defined 
in Sec. 72.2 of this chapter, that is municipally-owned if the owner or 
operator provides documentation in a part 70 or 71 permit application 
that:
    (i) The utility unit is exempt from all monitoring requirements in 
part 75 (including the appendices thereto) of this chapter;
    (ii) The utility unit is operated for the sole purpose of providing 
electricity during periods of peak electrical demand or emergency 
situations and will be operated consistent with that purpose throughout 
the part 70 or 71 permit term. The owner or operator shall provide 
historical operating data and relevant contractual obligations to 
document that this criterion is satisfied; and
    (iii) The actual emissions from the utility unit, based on the 
average annual emissions over the last three calendar years of operation 
(or such shorter time period that is available for units with fewer than 
three years of operation) are less than 50 percent of the amount in tons 
per year required for a source to be classified as a major source and 
are expected to remain so.



Sec. 64.3  Monitoring design criteria.

    (a) General criteria. To provide a reasonable assurance of 
compliance with emission limitations or standards for the anticipated 
range of operations at a pollutant-specific emissions unit, monitoring 
under this part shall meet the following general criteria:
    (1) The owner or operator shall design the monitoring to obtain data 
for one or more indicators of emission control performance for the 
control device, any associated capture system and, if necessary to 
satisfy paragraph (a)(2) of this section, processes at a pollutant-
specific emissions unit. Indicators of performance may include, but are 
not limited to, direct or predicted emissions (including visible 
emissions or opacity), process and control device parameters that affect 
control device (and capture system) efficiency or emission rates, or 
recorded findings of inspection and maintenance activities conducted by 
the owner or operator.
    (2) The owner or operator shall establish an appropriate range(s) or 
designated condition(s) for the selected indicator(s) such that 
operation within the ranges provides a reasonable assurance of ongoing 
compliance with emission limitations or standards for the anticipated 
range of operating conditions. Such range(s) or condition(s) shall 
reflect the proper operation and maintenance of the control device (and 
associated capture system), in accordance with applicable design 
properties, for minimizing emissions over the anticipated range of 
operating conditions at least to the level required to achieve 
compliance with the applicable requirements. The reasonable assurance of 
compliance will be assessed by maintaining performance within the 
indicator range(s) or designated condition(s). The ranges shall be 
established in accordance with the design and performance requirements 
in this section and documented in accordance with the requirements in 
Sec. 64.4. If necessary to assure that the control device and associated 
capture system can satisfy this criterion, the owner or operator shall 
monitor appropriate process operational parameters (such as total 
throughput where necessary to stay within the rated capacity for a 
control device). In addition, unless specifically stated otherwise by an 
applicable requirement, the owner or operator shall monitor indicators 
to detect any bypass of the control device (or capture system) to the 
atmosphere, if such bypass can occur based on the design of the 
pollutant-specific emissions unit.
    (3) The design of indicator ranges or designated conditions may be:
    (i) Based on a single maximum or minimum value if appropriate (e.g., 
maintaining condenser temperatures a certain number of degrees below the 
condensation temperature of the applicable compound(s) being processed) 
or

[[Page 9]]

at multiple levels that are relevant to distinctly different operating 
conditions (e.g., high versus low load levels).
    (ii) Expressed as a function of process variables (e.g., an 
indicator range expressed as minimum to maximum pressure drop across a 
venturi throat in a particulate control scrubber).
    (iii) Expressed as maintaining the applicable parameter in a 
particular operational status or designated condition (e.g., position of 
a damper controlling gas flow to the atmosphere through a by-pass duct).
    (iv) Established as interdependent between more than one indicator.
    (b) Performance criteria. The owner or operator shall design the 
monitoring to meet the following performance criteria:
    (1) Specifications that provide for obtaining data that are 
representative of the emissions or parameters being monitored (such as 
detector location and installation specifications, if applicable).
    (2) For new or modified monitoring equipment, verification 
procedures to confirm the operational status of the monitoring prior to 
the date by which the owner or operator must conduct monitoring under 
this part as specified in Sec. 64.7(a). The owner or operator shall 
consider the monitoring equipment manufacturer's requirements or 
recommendations for installation, calibration, and start-up operation.
    (3) Quality assurance and control practices that are adequate to 
ensure the continuing validity of the data. The owner or operator shall 
consider manufacturer recommendations or requirements applicable to the 
monitoring in developing appropriate quality assurance and control 
practices.
    (4) Specifications for the frequency of conducting the monitoring, 
the data collection procedures that will be used (e.g., computerized 
data acquisition and handling, alarm sensor, or manual log entries based 
on gauge readings), and, if applicable, the period over which discrete 
data points will be averaged for the purpose of determining whether an 
excursion or exceedance has occurred.
    (i) At a minimum, the owner or operator shall design the period over 
which data are obtained and, if applicable, averaged consistent with the 
characteristics and typical variability of the pollutant-specific 
emissions unit (including the control device and associated capture 
system). Such intervals shall be commensurate with the time period over 
which a change in control device performance that would require actions 
by owner or operator to return operations within normal ranges or 
designated conditions is likely to be observed.
    (ii) For all pollutant-specific emissions units with the potential 
to emit, calculated including the effect of control devices, the 
applicable regulated air pollutant in an amount equal to or greater than 
100 percent of the amount, in tons per year, required for a source to be 
classified as a major source, for each parameter monitored, the owner or 
operator shall collect four or more data values equally spaced over each 
hour and average the values, as applicable, over the applicable 
averaging period as determined in accordance with paragraph (b)(4)(i) of 
this section. The permitting authority may approve a reduced data 
collection frequency, if appropriate, based on information presented by 
the owner or operator concerning the data collection mechanisms 
available for a particular parameter for the particular pollutant-
specific emissions unit (e.g., integrated raw material or fuel analysis 
data, noninstrumental measurement of waste feed rate or visible 
emissions, use of a portable analyzer or an alarm sensor).
    (iii) For other pollutant-specific emissions units, the frequency of 
data collection may be less than the frequency specified in paragraph 
(b)(4)(ii) of this section but the monitoring shall include some data 
collection at least once per 24-hour period (e.g., a daily inspection of 
a carbon adsorber operation in conjunction with a weekly or monthly 
check of emissions with a portable analyzer).
    (c) Evaluation factors. In designing monitoring to meet the 
requirements in paragraphs (a) and (b) of this section, the owner or 
operator shall take into account site-specific factors including the 
applicability of existing monitoring equipment and procedures,

[[Page 10]]

the ability of the monitoring to account for process and control device 
operational variability, the reliability and latitude built into the 
control technology, and the level of actual emissions relative to the 
compliance limitation.
    (d) Special criteria for the use of continuous emission, opacity or 
predictive monitoring systems. (1) If a continuous emission monitoring 
system (CEMS), continuous opacity monitoring system (COMS) or predictive 
emission monitoring system (PEMS) is required pursuant to other 
authority under the Act or state or local law, the owner or operator 
shall use such system to satisfy the requirements of this part.
    (2) The use of a CEMS, COMS, or PEMS that satisfies any of the 
following monitoring requirements shall be deemed to satisfy the general 
design criteria in paragraphs (a) and (b) of this section, provided that 
a COMS may be subject to the criteria for establishing indicator ranges 
under paragraph (a) of this section:
    (i) Section 51.214 and appendix P of part 51 of this chapter;
    (ii) Section 60.13 and appendix B of part 60 of this chapter;
    (iii) Section 63.8 and any applicable performance specifications 
required pursuant to the applicable subpart of part 63 of this chapter;
    (iv) Part 75 of this chapter;
    (v) Subpart H and appendix IX of part 266 of this chapter; or
    (vi) If an applicable requirement does not otherwise require 
compliance with the requirements listed in the preceding paragraphs 
(d)(2)(i) through (v) of this section, comparable requirements and 
specifications established by the permitting authority.
    (3) The owner or operator shall design the monitoring system subject 
to this paragraph (d) to:
    (i) Allow for reporting of exceedances (or excursions if applicable 
to a COMS used to assure compliance with a particulate matter standard), 
consistent with any period for reporting of exceedances in an underlying 
requirement. If an underlying requirement does not contain a provision 
for establishing an averaging period for the reporting of exceedances or 
excursions, the criteria used to develop an averaging period in (b)(4) 
of this section shall apply; and
    (ii) Provide an indicator range consistent with paragraph (a) of 
this section for a COMS used to assure compliance with a particulate 
matter standard. If an opacity standard applies to the pollutant-
specific emissions unit, such limit may be used as the appropriate 
indicator range unless the opacity limit fails to meet the criteria in 
paragraph (a) of this section after considering the type of control 
device and other site-specific factors applicable to the pollutant-
specific emissions unit.



Sec. 64.4  Submittal requirements.

    (a) The owner or operator shall submit to the permitting authority 
monitoring that satisfies the design requirements in Sec. 64.3. The 
submission shall include the following information:
    (1) The indicators to be monitored to satisfy Secs. 64.3(a)(1)-(2);
    (2) The ranges or designated conditions for such indicators, or the 
process by which such indicator ranges or designated conditions shall be 
established;
    (3) The performance criteria for the monitoring to satisfy 
Sec. 64.3(b); and
    (4) If applicable, the indicator ranges and performance criteria for 
a CEMS, COMS or PEMS pursuant to Sec. 64.3(d).
    (b) As part of the information submitted, the owner or operator 
shall submit a justification for the proposed elements of the 
monitoring. If the performance specifications proposed to satisfy 
Sec. 64.3(b)(2) or (3) include differences from manufacturer 
recommendations, the owner or operator shall explain the reasons for the 
differences between the requirements proposed by the owner or operator 
and the manufacturer's recommendations or requirements. The owner or 
operator also shall submit any data supporting the justification, and 
may refer to generally available sources of information used to support 
the justification (such as generally available air pollution engineering 
manuals, or EPA or permitting authority publications on appropriate 
monitoring for various types of control devices or capture systems). To 
justify the appropriateness of the monitoring elements proposed, the 
owner

[[Page 11]]

or operator may rely in part on existing applicable requirements that 
establish the monitoring for the applicable pollutant-specific emissions 
unit or a similar unit. If an owner or operator relies on presumptively 
acceptable monitoring, no further justification for the appropriateness 
of that monitoring should be necessary other than an explanation of the 
applicability of such monitoring to the unit in question, unless data or 
information is brought forward to rebut the assumption. Presumptively 
acceptable monitoring includes:
    (1) Presumptively acceptable or required monitoring approaches, 
established by the permitting authority in a rule that constitutes part 
of the applicable implementation plan required pursuant to title I of 
the Act, that are designed to achieve compliance with this part for 
particular pollutant-specific emissions units;
    (2) Continuous emission, opacity or predictive emission monitoring 
systems that satisfy applicable monitoring requirements and performance 
specifications as specified in Sec. 64.3(d);
    (3) Excepted or alternative monitoring methods allowed or approved 
pursuant to part 75 of this chapter;
    (4) Monitoring included for standards exempt from this part pursuant 
to Sec. 64.2(b)(1)(i) or (vi) to the extent such monitoring is 
applicable to the performance of the control device (and associated 
capture system) for the pollutant-specific emissions unit; and
    (5) Presumptively acceptable monitoring identified in guidance by 
EPA. Such guidance will address the requirements under Secs. 64.4(a), 
(b), and (c) to the extent practicable.
    (c)(1) Except as provided in paragraph (d) of this section, the 
owner or operator shall submit control device (and process and capture 
system, if applicable) operating parameter data obtained during the 
conduct of the applicable compliance or performance test conducted under 
conditions specified by the applicable rule. If the applicable rule does 
not specify testing conditions or only partially specifies test 
conditions, the performance test generally shall be conducted under 
conditions representative of maximum emissions potential under 
anticipated operating conditions at the pollutant-specific emissions 
unit. Such data may be supplemented, if desired, by engineering 
assessments and manufacturer's recommendations to justify the indicator 
ranges (or, if applicable, the procedures for establishing such 
indicator ranges). Emission testing is not required to be conducted over 
the entire indicator range or range of potential emissions.
    (2) The owner or operator must document that no changes to the 
pollutant-specific emissions unit, including the control device and 
capture system, have taken place that could result in a significant 
change in the control system performance or the selected ranges or 
designated conditions for the indicators to be monitored since the 
performance or compliance tests were conducted.
    (d) If existing data from unit-specific compliance or performance 
testing specified in paragraph (c) of this section are not available, 
the owner or operator:
    (1) Shall submit a test plan and schedule for obtaining such data in 
accordance with paragraph (e) of this section; or
    (2) May submit indicator ranges (or procedures for establishing 
indicator ranges) that rely on engineering assessments and other data, 
provided that the owner or operator demonstrates that factors specific 
to the type of monitoring, control device, or pollutant-specific 
emissions unit make compliance or performance testing unnecessary to 
establish indicator ranges at levels that satisfy the criteria in 
Sec. 64.3(a).
    (e) If the monitoring submitted by the owner or operator requires 
installation, testing, or other necessary activities prior to use of the 
monitoring for purposes of this part, the owner or operator shall 
include an implementation plan and schedule for installing, testing and 
performing any other appropriate activities prior to use of the 
monitoring. The implementation plan and schedule shall provide for use 
of the monitoring as expeditiously as practicable after approval of the 
monitoring in the part 70 or 71 permit pursuant to Sec. 64.6, but in no 
case shall the schedule for completing installation

[[Page 12]]

and beginning operation of the monitoring exceed 180 days after approval 
of the permit.
    (f) If a control device is common to more than one pollutant-
specific emissions unit, the owner or operator may submit monitoring for 
the control device and identify the pollutant-specific emissions units 
affected and any process or associated capture device conditions that 
must be maintained or monitored in accordance with Sec. 64.3(a) rather 
than submit separate monitoring for each pollutant-specific emissions 
unit.
    (g) If a single pollutant-specific emissions unit is controlled by 
more than one control device similar in design and operation, the owner 
or operator may submit monitoring that applies to all the control 
devices and identify the control devices affected and any process or 
associated capture device conditions that must be maintained or 
monitored in accordance with Sec. 64.3(a) rather than submit a separate 
description of monitoring for each control device.



Sec. 64.5  Deadlines for submittals.

    (a) Large pollutant-specific emissions units. For all pollutant-
specific emissions units with the potential to emit (taking into account 
control devices to the extent appropriate under the definition of this 
term in Sec. 64.1) the applicable regulated air pollutant in an amount 
equal to or greater than 100 percent of the amount, in tons per year, 
required for a source to be classified as a major source, the owner or 
operator shall submit the information required under Sec. 64.4 at the 
following times:
    (1) On or after April 20, 1998, the owner or operator shall submit 
information as part of an application for an initial part 70 or 71 
permit if, by that date, the application either:
    (i) Has not been filed; or
    (ii) Has not yet been determined to be complete by the permitting 
authority.
    (2) On or after April 20, 1998, the owner or operator shall submit 
information as part of an application for a significant permit revision 
under part 70 or 71 of this chapter, but only with respect to those 
pollutant-specific emissions units for which the proposed permit 
revision is applicable.
    (3) The owner or operator shall submit any information not submitted 
under the deadlines set forth in paragraphs (a)(1) and (2) of this 
section as part of the application for the renewal of a part 70 or 71 
permit.
    (b) Other pollutant-specific emissions units. For all other 
pollutant-specific emissions units subject to this part and not subject 
to Sec. 64.5(a), the owner or operator shall submit the information 
required under Sec. 64.4 as part of an application for a renewal of a 
part 70 or 71 permit.
    (c) The effective date for the requirement to submit information 
under Sec. 64.4 shall be as specified pursuant to paragraphs (a)-(b) of 
this section and a permit reopening to require the submittal of 
information under this section shall not be required pursuant to 
Sec. 70.7(f)(1)(i) of this chapter, provided, however, that, if a part 
70 or 71 permit is reopened for cause by EPA or the permitting authority 
pursuant to Sec. 70.7(f)(1)(iii) or (iv), or Sec. 71.7(f) or (g), the 
applicable agency may require the submittal of information under this 
section for those pollutant-specific emissions units that are subject to 
this part and that are affected by the permit reopening.
    (d) Prior to approval of monitoring that satisfies this part, the 
owner or operator is subject to the requirements of 
Sec. 70.6(a)(3)(i)(B).



Sec. 64.6  Approval of monitoring.

    (a) Based on an application that includes the information submitted 
in accordance with Sec. 64.5, the permitting authority shall act to 
approve the monitoring submitted by the owner or operator by confirming 
that the monitoring satisfies the requirements in Sec. 64.3.
    (b) In approving monitoring under this section, the permitting 
authority may condition the approval on the owner or operator collecting 
additional data on the indicators to be monitored for a pollutant-
specific emissions unit, including required compliance or performance 
testing, to confirm the ability of the monitoring to provide data that 
are sufficient to satisfy the requirements of this part and to confirm 
the appropriateness of an indicator

[[Page 13]]

range(s) or designated condition(s) proposed to satisfy Sec. 64.3(a)(2) 
and (3) and consistent with the schedule in Sec. 64.4(e).
    (c) If the permitting authority approves the proposed monitoring, 
the permitting authority shall establish one or more permit terms or 
conditions that specify the required monitoring in accordance with 
Sec. 70.6(a)(3)(i) of this chapter. At a minimum, the permit shall 
specify:
    (1) The approved monitoring approach that includes all of the 
following:
    (i) The indicator(s) to be monitored (such as temperature, pressure 
drop, emissions, or similar parameter);
    (ii) The means or device to be used to measure the indicator(s) 
(such as temperature measurement device, visual observation, or CEMS); 
and
    (iii) The performance requirements established to satisfy 
Sec. 64.3(b) or (d), as applicable.
    (2) The means by which the owner or operator will define an 
exceedance or excursion for purposes of responding to and reporting 
exceedances or excursions under Secs. 64.7 and 64.8 of this part. The 
permit shall specify the level at which an excursion or exceedance will 
be deemed to occur, including the appropriate averaging period 
associated with such exceedance or excursion. For defining an excursion 
from an indicator range or designated condition, the permit may either 
include the specific value(s) or condition(s) at which an excursion 
shall occur, or the specific procedures that will be used to establish 
that value or condition. If the latter, the permit shall specify 
appropriate notice procedures for the owner or operator to notify the 
permitting authority upon any establishment or reestablishment of the 
value.
    (3) The obligation to conduct the monitoring and fulfill the other 
obligations specified in Secs. 64.7 through 64.9 of this part.
    (4) If appropriate, a minimum data availability requirement for 
valid data collection for each averaging period, and, if appropriate, a 
minimum data availability requirement for the averaging periods in a 
reporting period.
    (d) If the monitoring proposed by the owner or operator requires 
installation, testing or final verification of operational status, the 
part 70 or 71 permit shall include an enforceable schedule with 
appropriate milestones for completing such installation, testing, or 
final verification consistent with the requirements in Sec. 64.4(e).
    (e) If the permitting authority disapproves the proposed monitoring, 
the following applies:
    (1) The draft or final permit shall include, at a minimum, 
monitoring that satisfies the requirements of Sec. 70.6(a)(3)(i)(B);
    (2) The permitting authority shall include in the draft or final 
permit a compliance schedule for the source owner to submit monitoring 
that satisfies Secs. 64.3 and 64.4, but in no case shall the owner or 
operator submit revised monitoring more than 180 days from the date of 
issuance of the draft or final permit; and
    (3) If the source owner or operator does not submit the monitoring 
in accordance with the compliance schedule as required in paragraph 
(e)(2) of this section or if the permitting authority disapproves the 
monitoring submitted, the source owner or operator shall be deemed not 
in compliance with part 64, unless the source owner or operator 
successfully challenges the disapproval.



Sec. 64.7  Operation of approved monitoring.

    (a) Commencement of operation. The owner or operator shall conduct 
the monitoring required under this part upon issuance of a part 70 or 71 
permit that includes such monitoring, or by such later date specified in 
the permit pursuant to Sec. 64.6(d).
    (b) Proper maintenance. At all times, the owner or operator shall 
maintain the monitoring, including but not limited to, maintaining 
necessary parts for routine repairs of the monitoring equipment.
    (c) Continued operation. Except for, as applicable, monitoring 
malfunctions, associated repairs, and required quality assurance or 
control activities (including, as applicable, calibration checks and 
required zero and span adjustments), the owner or operator shall conduct 
all monitoring in continuous operation (or shall collect data at all 
required intervals) at all times that

[[Page 14]]

the pollutant-specific emissions unit is operating. Data recorded during 
monitoring malfunctions, associated repairs, and required quality 
assurance or control activities shall not be used for purposes of this 
part, including data averages and calculations, or fulfilling a minimum 
data availability requirement, if applicable. The owner or operator 
shall use all the data collected during all other periods in assessing 
the operation of the control device and associated control system. A 
monitoring malfunction is any sudden, infrequent, not reasonably 
preventable failure of the monitoring to provide valid data. Monitoring 
failures that are caused in part by poor maintenance or careless 
operation are not malfunctions.
    (d) Response to excursions or exceedances. (1) Upon detecting an 
excursion or exceedance, the owner or operator shall restore operation 
of the pollutant-specific emissions unit (including the control device 
and associated capture system) to its normal or usual manner of 
operation as expeditiously as practicable in accordance with good air 
pollution control practices for minimizing emissions. The response shall 
include minimizing the period of any startup, shutdown or malfunction 
and taking any necessary corrective actions to restore normal operation 
and prevent the likely recurrence of the cause of an excursion or 
exceedance (other than those caused by excused startup or shutdown 
conditions). Such actions may include initial inspection and evaluation, 
recording that operations returned to normal without operator action 
(such as through response by a computerized distribution control 
system), or any necessary follow-up actions to return operation to 
within the indicator range, designated condition, or below the 
applicable emission limitation or standard, as applicable.
    (2) Determination of whether the owner or operator has used 
acceptable procedures in response to an excursion or exceedance will be 
based on information available, which may include but is not limited to, 
monitoring results, review of operation and maintenance procedures and 
records, and inspection of the control device, associated capture 
system, and the process.
    (e) Documentation of need for improved monitoring. After approval of 
monitoring under this part, if the owner or operator identifies a 
failure to achieve compliance with an emission limitation or standard 
for which the approved monitoring did not provide an indication of an 
excursion or exceedance while providing valid data, or the results of 
compliance or performance testing document a need to modify the existing 
indicator ranges or designated conditions, the owner or operator shall 
promptly notify the permitting authority and, if necessary, submit a 
proposed modification to the part 70 or 71 permit to address the 
necessary monitoring changes. Such a modification may include, but is 
not limited to, reestablishing indicator ranges or designated 
conditions, modifying the frequency of conducting monitoring and 
collecting data, or the monitoring of additional parameters.



Sec. 64.8  Quality improvement plan (QIP) requirements.

    (a) Based on the results of a determination made under 
Sec. 64.7(d)(2), the Administrator or the permitting authority may 
require the owner or operator to develop and implement a QIP. Consistent 
with Sec. 64.6(c)(3), the part 70 or 71 permit may specify an 
appropriate threshold, such as an accumulation of exceedances or 
excursions exceeding 5 percent duration of a pollutant-specific 
emissions unit's operating time for a reporting period, for requiring 
the implementation of a QIP. The threshold may be set at a higher or 
lower percent or may rely on other criteria for purposes of indicating 
whether a pollutant-specific emissions unit is being maintained and 
operated in a manner consistent with good air pollution control 
practices.
    (b) Elements of a QIP:
    (1) The owner or operator shall maintain a written QIP, if required, 
and have it available for inspection.
    (2) The plan initially shall include procedures for evaluating the 
control performance problems and, based on the results of the evaluation 
procedures, the owner or operator shall modify the plan to include 
procedures for

[[Page 15]]

conducting one or more of the following actions, as appropriate:
    (i) Improved preventive maintenance practices.
    (ii) Process operation changes.
    (iii) Appropriate improvements to control methods.
    (iv) Other steps appropriate to correct control performance.
    (v) More frequent or improved monitoring (only in conjunction with 
one or more steps under paragraphs (b)(2)(i) through (iv) of this 
section).
    (c) If a QIP is required, the owner or operator shall develop and 
implement a QIP as expeditiously as practicable and shall notify the 
permitting authority if the period for completing the improvements 
contained in the QIP exceeds 180 days from the date on which the need to 
implement the QIP was determined.
    (d) Following implementation of a QIP, upon any subsequent 
determination pursuant to Sec. 64.7(d)(2) the Administrator or the 
permitting authority may require that an owner or operator make 
reasonable changes to the QIP if the QIP is found to have:
    (1) Failed to address the cause of the control device performance 
problems; or
    (2) Failed to provide adequate procedures for correcting control 
device performance problems as expeditiously as practicable in 
accordance with good air pollution control practices for minimizing 
emissions.
    (e) Implementation of a QIP shall not excuse the owner or operator 
of a source from compliance with any existing emission limitation or 
standard, or any existing monitoring, testing, reporting or 
recordkeeping requirement that may apply under federal, state, or local 
law, or any other applicable requirements under the Act.



Sec. 64.9  Reporting and recordkeeping requirements.

    (a) General reporting requirements. (1) On and after the date 
specified in Sec. 64.7(a) by which the owner or operator must use 
monitoring that meets the requirements of this part, the owner or 
operator shall submit monitoring reports to the permitting authority in 
accordance with Sec. 70.6(a)(3)(iii) of this chapter.
    (2) A report for monitoring under this part shall include, at a 
minimum, the information required under Sec. 70.6(a)(3)(iii) of this 
chapter and the following information, as applicable:
    (i) Summary information on the number, duration and cause (including 
unknown cause, if applicable) of excursions or exceedances, as 
applicable, and the corrective actions taken;
    (ii) Summary information on the number, duration and cause 
(including unknown cause, if applicable) for monitor downtime incidents 
(other than downtime associated with zero and span or other daily 
calibration checks, if applicable); and
    (iii) A description of the actions taken to implement a QIP during 
the reporting period as specified in Sec. 64.8. Upon completion of a 
QIP, the owner or operator shall include in the next summary report 
documentation that the implementation of the plan has been completed and 
reduced the likelihood of similar levels of excursions or exceedances 
occurring.
    (b) General recordkeeping requirements. (1) The owner or operator 
shall comply with the recordkeeping requirements specified in 
Sec. 70.6(a)(3)(ii) of this chapter. The owner or operator shall 
maintain records of monitoring data, monitor performance data, 
corrective actions taken, any written quality improvement plan required 
pursuant to Sec. 64.8 and any activities undertaken to implement a 
quality improvement plan, and other supporting information required to 
be maintained under this part (such as data used to document the 
adequacy of monitoring, or records of monitoring maintenance or 
corrective actions).
    (2) Instead of paper records, the owner or operator may maintain 
records on alternative media, such as microfilm, computer files, 
magnetic tape disks, or microfiche, provided that the use of such 
alternative media allows for expeditious inspection and review, and does 
not conflict with other applicable recordkeeping requirements.



Sec. 64.10  Savings provisions.

    (a) Nothing in this part shall:
    (1) Excuse the owner or operator of a source from compliance with 
any existing emission limitation or standard, or

[[Page 16]]

any existing monitoring, testing, reporting or recordkeeping requirement 
that may apply under federal, state, or local law, or any other 
applicable requirements under the Act. The requirements of this part 
shall not be used to justify the approval of monitoring less stringent 
than the monitoring which is required under separate legal authority and 
are not intended to establish minimum requirements for the purpose of 
determining the monitoring to be imposed under separate authority under 
the Act, including monitoring in permits issued pursuant to title I of 
the Act. The purpose of this part is to require, as part of the issuance 
of a permit under title V of the Act, improved or new monitoring at 
those emissions units where monitoring requirements do not exist or are 
inadequate to meet the requirements of this part.
    (2) Restrict or abrogate the authority of the Administrator or the 
permitting authority to impose additional or more stringent monitoring, 
recordkeeping, testing, or reporting requirements on any owner or 
operator of a source under any provision of the Act, including but not 
limited to sections 114(a)(1) and 504(b), or state law, as applicable.
    (3) Restrict or abrogate the authority of the Administrator or 
permitting authority to take any enforcement action under the Act for 
any violation of an applicable requirement or of any person to take 
action under section 304 of the Act.



PART 65  [RESERVED]






PART 66--ASSESSMENT AND COLLECTION OF NONCOMPLIANCE PENALTIES BY EPA--Table of Contents




                      Subpart A--Purpose and Scope

Sec.
66.1  Applicability and effective date.
66.2  Program description.
66.3  Definitions.
66.4  Limitation on review of regulations.
66.5  Savings clause.
66.6  Effect of litigation; time limits.

                   Subpart B--Notice of Noncompliance

66.11  Issuance of notices of noncompliance.
66.12  Content of notices of noncompliance.
66.13  Duties of source owner or operator upon receipt of a notice of 
          noncompliance.

            Subpart C--Calculation of Noncompliance Penalties

66.21  How to calculate the penalty.
66.22  Contracting out penalty calculation.
66.23  Interim recalculation of penalty.

         Subpart D--Exemption Requests; Revocation of Exemptions

66.31  Exemptions based on an order, extension or suspension.
66.32  De Minimis exemptions.
66.33  De Minimis exemptions: malfunctions.
66.34  Termination of exemptions.
66.35  Revocation of exemptions.

Subpart E--Decisions on Exemption Requests and Challenges to Notices of 
                              Noncompliance

66.41  Decision on petitions.
66.42  Procedure for hearings.
66.43  Final decision; submission of penalty calculation.

                Subpart F--Review of Penalty Calculation

66.51  Action upon receipt of penalty calculation.
66.52  Petitions for reconsideration of calculation.
66.53  Decisions on petitions.
66.54  Procedures for hearing.

                           Subpart G--Payment

66.61  Duty to pay.
66.62  Method of payment.
66.63  Nonpayment penalty.

               Subpart H--Compliance and Final Adjustment

66.71  Determination of compliance.
66.72  Additional payment or reimbursement.
66.73  Petition for reconsideration and procedure for hearing.
66.74  Payment or reimbursement.

                         Subpart I--Final Action

66.81  Final action.

     Subpart J--Supplemental Rules for Formal Adjudicatory Hearings

66.91  Applicability of supplemental rules.
66.92  Commencement of hearings.
66.93  Time limits.
66.94  Presentation of evidence.
66.95  Decisions of Presiding Officer; appeal to the Administrator.

[[Page 17]]


Appendix A to Part 66--Technical Support Document [Note]
Appendix B to Part 66--Instruction Manual [Note]
Appendix C to Part 66--Computer Program [Note]

    Authority: Sec. 120, Clean Air Act, as amended, 42 U.S.C. 7420.

    Source: 45 FR 50110, July 28, 1980, unless otherwise noted.



                      Subpart A--Purpose and Scope



Sec. 66.1  Applicability and effective date.

    (a) This part applies to all proceedings for the assessment by EPA 
of a noncompliance penalty as provided by section 120 of the Clean Air 
Act. This penalty is designed to recover the economic advantage which 
might otherwise accrue to a source by reason of its failure to comply 
with air pollution control standards after receipt of a notice of 
noncompliance.
    (b) These regulations shall be effective October 27, 1980.



Sec. 66.2  Program description.

    This part sets forth the procedures by which EPA will administer the 
noncompliance penalty provisions of section 120 of the Clean Air Act. 
Subpart A describes the scope of the part, defines key terms and states 
the manner of operation of these provisions subpart B states which 
sources of air pollution are subject to these penalties and the form and 
substance of the notice of noncompliance. Subpart C and the accompanying 
Technical Support Document and Manual state how a source must compute 
the penalty which it owes. Subpart D describes the conditions under 
which an exemption from the penalty may be available, and subpart E sets 
forth the procedures for requesting such an exemption. Subpart F states 
how EPA will review penalties calculated by sources under subpart C, and 
subpart G describes the method of payment. Subpart H provides for 
adjustment of the penalty after the source has come into compliance and 
the actual costs of doing so are known. Finally, subpart I states which 
actions under these regulations are subject to judicial review and on 
what conditions, and subpart J provides supplemental procedures for 
adjudicatory hearings.



Sec. 66.3  Definitions.

    In this part and part 67:
    (a) Act means the Clean Air Act, 42 U.S.C. 7401 et seq. as amended 
on August 7, 1977, except where the context specifically indicates 
otherwise.
    (b) Affiliated entity means a person who directly, or indirectly 
through one or more intermediaries, controls, is controlled by, or is 
under common control with the owner or operator of a source.
    (c) Applicable legal requirements means any of the following:
    (1) In the case of any major source, any emission limitation, 
emission standard, or compliance schedule under any EPA-approved State 
implementation plan (regardless of whether the source is subject to a 
Federal or State consent decree);
    (2) In the case of any source, an emission limitation, emission 
standard, standard of performance, or other requirement (including, but 
not limited to, work practice standards) established under section 111 
or 112 of the Act;
    (3) In the case of a source that is subject to a federal or 
federally approved state judicial consent decree or EPA approved 
extension, order, or suspension, any interim emission control 
requirement or schedule of compliance under that consent decree, 
extension, order or suspension;
    (4) In the case of a nonferrous smelter which has received a primary 
nonferrous smelter order issued or approved by EPA under Section 119 of 
the Act, any interim emission control requirement (including a 
requirement relating to the use of supplemental or intermittent 
controls) or schedule of compliance under that order.
    (d) Approved Section 120 program means a State program to assess and 
collect Section 120 penalties that has been approved by the 
Administrator.
    (e) Computer program means the computer program used to calculate 
noncompliance penalties under section 120 of the Clean Air Act. This 
computer program appears as appendix C to these regulations.
    (f) Control (including the terms controlling, controlled by, and 
under common control with) means the power to direct

[[Page 18]]

or cause the direction of the management and policies of a person or 
organization, whether by the ownership of stock, voting rights, by 
contract, or otherwise.
    (g) Environmental Appeals Board shall mean the Board within the 
Agency described in Sec. 1.25 of this title. The Administrator delegates 
authority to the Environmental Appeals Board to issue final decisions in 
appeals filed under this part. Appeals directed to the Administrator, 
rather than to the Environmental Appeals Board, will not be considered. 
This delegation of authority to the Environmental Appeals Board does not 
preclude the Environmental Appeals Board from referring an appeal or a 
motion filed under this part to the Administrator for decision when the 
Environmental Appeals Board, in its discretion, deems it appropriate to 
do so. When an appeal or motion is referred to the Administrator, all 
parties shall be so notified and the rules in this part referring to the 
Environmental Appeals Board shall be interpreted as referring to the 
Administrator.
    (h) Major stationary source means any stationary facility or source 
of air pollutants which directly emits, or has the potential to emit, 
one hundred tons per year or more of any air pollutant regulated by EPA 
under the Clean Air Act.
    (i) Manual means the Noncompliance Penalties Instruction Manual 
which accompanies these regulations. This Manual appears as appendix B 
to these regulations.
    (j) Owner or operator means any person who owns, leases, operates or 
supervises a facility, building, structure or installation which emits 
or has the potential to emit any air pollutant regulated by EPA under 
the Act.
    (k) Potential to emit means the capability at maximum design 
capacity to emit a pollutant after the application of air pollution 
control equipment. Annual potential shall be based on the larger of the 
maximum annual rated capacity of the stationary source assuming 
continuous operation, or on a projection of actual annual emissions. 
Enforceable permit conditions on the type of materials combusted or 
processed may be used in determining the annual potential. Fugitive 
emissions, to the extent quantifiable, will be considered in determining 
annual potential for those stationary sources whose fugitive emissions 
are regulated by the applicable state implementation plan.
    (l) Source means any source of air pollution subject to applicable 
legal requirements as defined in paragraph (c).
    (m) Technical Support Document means the Noncompliance Penalties 
Technical Support Document which accompanies these regulations. The 
Technical Support Document appears as appendix A to these regulations.

All other terms are defined as they are in the Act.

[45 FR 50110, July 28, 1980, as amended at 57 FR 5328, Feb. 13, 1992]



Sec. 66.4  Limitation on review of regulations.

    No applicable legal requirement, which could have been reviewed or 
challenged by means of the timely filing of an appropriate petition, no 
provision of this part or part 67 or appendices A, B or C, may be 
challenged, reviewed or re-examined in any hearing conducted under this 
part or part 67. This limitation on review includes, but is not limited 
to:
    (a) Arguments that the statute is more or less restrictive than the 
regulations, e.g., that exemptions other than those provided herein 
should be granted.
    (b) Arguments that the economic model does not accurately calculate 
the economic benefits of noncompliance, or that parameters, terms and 
conditions other than those provided for in the model should be used or 
that evidence other than that described in the Technical Support 
Document for establishing inputs should be considered.



Sec. 66.5  Savings clause.

    Proceedings under these regulations for imposition of a penalty 
under section 120 are in addition to any other proceedings related to 
permits, orders, payments, sanctions or other requirements of State or 
Federal law. No action under this part or part 67 shall affect in any 
way any administrative,

[[Page 19]]

civil or criminal enforcement proceeding brought under any provision of 
the Clean Air Act or State or local law.



Sec. 66.6  Effect of litigation; time limits.

    (a) The existence of any litigation on the validity of these 
regulations shall not affect the authority of the Agency to issue 
notices of noncompliance or to conduct subsequent administrative 
proceedings under parts 66 and 67.
    (b) Failure of the Environmental Appeals Board or the Presiding 
Officer at a hearing to meet any of the time limits contained in this 
part 66 and part 67 of this chapter shall not affect the validity of any 
proceeding under these regulations.
    (c) The filing of any petition for reconsideration under this part 
or part 67 or the institution of EPA review of a State determination 
under part 67 shall not toll the accrual of noncompliance penalties. The 
penalty will be calculated from the date on which the source owner or 
operator receives a notice of noncompliance.

[45 FR 50110, July 28, 1980, as amended at 57 FR 5329, Feb. 13, 1992]



                   Subpart B--Notice of Noncompliance



Sec. 66.11  Issuance of notices of noncompliance.

    (a) The Administrator shall issue a notice of noncompliance to the 
owner or operator of any source which he determines is in violation of 
applicable legal requirements and which is located in a State without an 
approved section 120 program.
    (b) The Administrator shall send a notice of noncompliance to the 
owner or operator of any source located in a State with an approved 
section 120 program when he determines as provided in part 67 that the 
source is in violation of applicable legal requirements and the State 
has failed to send a notice of noncompliance to it, or has failed to 
pursue diligently any subsequent steps for the assessment or collection 
of the penalty.
    (c) Failure of EPA or a State to issue a notice of noncompliance 
within 30 days after discovery of a violation shall not affect the 
obligation of a source owner or operator to pay a noncompliance penalty 
but shall affect the date from which the penalty is calculated. The 
penalty shall be calculated from the earliest date that the owner or 
operator of the source received a notice of noncompliance under this 
section, whether issued by EPA or the State.



Sec. 66.12  Content of notices of noncompliance.

    (a) Each notice of noncompliance shall be in writing and shall 
include:
    (1) A specific reference to each applicable legal requirement of 
which the source is in violation;
    (2) A brief statement of the factual basis for the finding of 
violation, together with a reference to any supporting materials and a 
statement of when and where they may be inspected;
    (3) Instructions on calculating the amount of the penalty owed and 
the schedule for payments. Such instructions shall include (i) a 
statement of the date from which penalties should be calculated and (ii) 
a copy of the Technical Support Document and the Manual;
    (4) Notice of the right to petition for a hearing to challenge the 
finding of noncompliance or to claim an exemption; and
    (5) Notice that the penalty continues to accrue during the pendency 
of any hearings granted under this part or Part 67.
    (b) Each notice of noncompliance shall be transmitted to the source 
owner or operator either by personal service or by registered or 
certified mail, return receipt requested.



Sec. 66.13  Duties of source owner or operator upon receipt of a notice of noncompliance.

    (a) Within forty-five days after receiving a notice of noncompliance 
a source owner or operator shall either:
    (1) Calculate the amount of the penalty owed and the appropriate 
quarterly payment schedule, as provided in the Technical Support 
Document and Instruction Manual, and transmit that calculation, together 
with supporting data sufficient to allow verification of the penalty 
calculation, to the Administrator; or

[[Page 20]]

    (2) Submit a petition for reconsideration, alleging that the source 
is not in violation of applicable legal requirements or that the source 
owner or operator is entitled to an exemption pursuant to Secs. 66.31 
through 66.33, or both. A source owner or operator must present both 
grounds in the petition if he wishes to preserve a claim to an exemption 
in the event that the source is found to be in violation. Issues 
relating to the existence of a violation or entitlement to an exemption 
not raised in the petition shall be deemed waived.
    (b) Any submittal pursuant to this subsection shall specify the 
identity of the person responsible for the payment of any noncompliance 
penalty, and to whom any reimbursement, if necessary, shall be sent.
    (c) A source owner or operator may amend any petition for 
reconsideration pursuant to paragraph (a) of this section within 45 days 
from receipt of a notice of noncompliance. Amendment of such petition 
after 45 days will be permitted only if based on unforeseeable 
conditions occurring after termination of the 45 day period, or upon 
consent of the Administrator.



            Subpart C--Calculation of Noncompliance Penalties



Sec. 66.21  How to calculate the penalty.

    (a) All noncompliance penalties shall be calculated in accordance 
with the Technical Support Document and the Manual.
    (b) Where the Administrator determines that no existing technology 
or other emissions control method results in emission levels which 
satisfy the applicable legal requirement, the penalty calculation shall 
be based on the cost of the capital equipment, operation and maintenance 
practices, or other methods of control which best approximates the 
degree of control required. In such a case, the Administrator may 
include in the penalty the costs of participation in an EPA approved 
research and development program where he determines that such 
participation would be appropriate. Information on appropriate research 
and development programs will be available from the regional offices or 
from the Office of Research and Development.



Sec. 66.22  Contracting out penalty calculation.

    Upon the failure of a source owner or operator, who does not submit 
a petition for reconsideration as provided in Sec. 66.13(a)(2), to 
submit the information described in Sec. 66.13(a)(1) within 45 days of 
receipt of a notice of noncompliance, or upon submission of incorrect 
information as determined pursuant to Sec. 66.51, the Administrator may 
enter into a contract with any qualified person who is not an affiliated 
entity and who has no financial interest in the owner or operator of the 
source to assist in determining the amount of the penalty assessment or 
payment schedule with respect to such source owner or operator. The cost 
of this contract may be added to the penalty to be assessed against the 
owner or operator of the source. The data used in calculating the 
penalty shall be furnished to the source owner or operator at the time 
that the penalty calculation is reported.



Sec. 66.23  Interim recalculation of penalty.

    (a) The Administrator, upon concluding that a previously approved 
penalty calculation no longer is accurate, may:
    (1) Request, in writing, that the source owner or operator submit a 
revised calculation in the form specified in Sec. 66.13(a). The 
Administrator shall respond to any information submitted in accordance 
with the provisions of Sec. 66.51.
    (2) Notify the source owner or operator, in writing, that the 
penalty has been recalculated based upon information in the 
Administrator's possession. The source owner or operator shall respond 
as provided in Sec. 66.52.
    (b) If a source owner or operator believes that, because of changed 
circumstances, a penalty calculation which has been accepted by EPA no 
longer is accurate, he may submit a revised penalty calculation and 
schedule to the Administrator. The revised calculation shall be in the 
form specified in Sec. 66.13(a)(1). The Administrator shall respond in 
accordance with the provisions of Sec. 66.51. The decision to accept the 
interim calculation or to grant a

[[Page 21]]

hearing on this issue shall be solely within the discretion of the 
Administrator.



         Subpart D--Exemption Requests; Revocation of Exemptions



Sec. 66.31  Exemptions based on an order, extension or suspension.

    (a) A source owner or operator who would otherwise be subject to a 
noncompliance penalty will be exempted from that penalty during the 
period for which, and upon a demonstration that, its noncompliance with 
applicable legal requirements is or was due solely to;
    (1) A conversion by such source from the burning of petroleum 
products or natural gas, or both, as the permanent primary energy source 
to the burning of coal pursuant to an order under section 113(d)(5) or 
section 119 of the Act as in effect before August 7, 1977.
    (2) In the case of a coal-burning source, the issuance of a 
prohibition to that source against burning petroleum products or natural 
gas, or both, by means of an order under sections 2(a) and (b) of the 
Energy Supply and Environmental Coordination Act of 1974, the Powerplant 
and Industrial Fuel Use Act, or under any legislation which amends or 
supersedes these provisions, Provided, That the source had received an 
extension under the second sentence of section 119(c)(1) of the Act as 
in effect before August 7, 1977.
    (3) The use of innovative technology by the source owner or operator 
pursuant to an enforcement order under section 113(d)(4) of the Act.
    (4) An inability to comply with an applicable legal requirement 
resulting from reasons entirely beyond the control of the owner or 
operator of such source or of any affiliated entity, Provided, That
    (i) The source owner or operator has received an order under section 
113(d) (or an order under section 113 issued before August 7, 1977) or a 
federal or EPA-approved State judicial decree or order which has the 
effect of permitting a delay in complying with the legal requirement at 
issue, and
    (ii) That the source owner or operator meets the requirements of 
paragraphs (c) and (d) of this section.
    (5) The existence of an energy or employment emergency demonstrated 
by issuance of an order under section 110(f) or 110(g) of the Act, 
unless such order is disapproved by EPA.
    (b) To qualify for an exemption under this section, the source owner 
or operator must have received the order, extension or suspension or 
consent decree described in the paragraph of the section pursuant to 
which the exemption is claimed. No exemption may be sought which, if 
granted, would exceed the terms of the relevant extension, order, 
suspension, or consent decree, except as provided in paragraph (e) of 
this section. No exemption may be sought which is based on a claim that 
the source owner or operator is entitled to any such order, extension, 
suspension, or consent decree even though it has not been issued.
    (c) In any exemption claim based on paragraph (a)(4) of this 
section, the source owner or operator must demonstrate:
    (1) That the source owner or operator or an affiliated entity in no 
manner sought, caused, encouraged or contributed to the inability; and
    (2) That the source owner or operator in no way unduly delayed 
negotiation for needed equipment or fuel supply or made unusual demands 
not typical in its industry, or placed unusual restrictions on the 
supplier, or delayed in any other manner the delivery of goods or the 
completion of the necessary construction.
    (d)(1) No exemption will be granted pursuant to paragraph (a)(4) of 
this section unless the owner or operator of the source demonstrates 
that, with respect to a situation described in paragraph (c), all 
reasonable steps were taken to prevent the situation causing the 
inability to comply, that procuring the needed pollution control 
equipment or fuel supply was given and continues to be given the highest 
possible priority in the planning and budgeting process of the owner or 
operator of the source, and that alternative sources of equipment and 
fuel have been explored without success.
    (2) Any exemption granted under paragraph (a)(4) of this section 
shall cease to be effective when the inability to comply ceases to be 
entirely beyond

[[Page 22]]

the control of the source owner or operator as defined in this section.
    (e) Except in the case of exemptions based on orders under section 
113 (d)(4) or (d)(5) or suspensions under section 110(g), the 
Administrator may grant an exemption with retroactive effect to the date 
of the event giving rise to the section 120 predicate order, extension, 
suspension, or consent decree. In such cases, the exemption from the 
noncompliance penalty shall run from the date that the basis for the 
exemption first occurred.

[45 FR 50110, July 20, 1980, as amended at 50 FR 36734, Sept. 9, 1985]



Sec. 66.32  De Minimis exemptions.

    (a) The Administrator may, upon notice and opportunity for public 
hearing, exempt the owner or operator of any source from a penalty where 
he finds that a particular instance of noncompliance was de minimis in 
nature and duration.
    (b) A petition for an exemption on the ground that the violation 
described in a notice of noncompliance was de minimis in nature and 
duration may only raise issues related to entitlement to an exemption 
and shall contain or be accompanied by supporting documentation. Issues 
relating to entitlement to a de minimis exemption not raised in the 
petition shall be deemed waived.
    (c) In ruling upon such a petition, the Administrator shall 
consider:
    (1) The magnitude of the excess emissions and whether the source's 
noncompliance is recurring or persistent;
    (2) The steps the source owner or operator is taking to eliminate 
the cause of the excess emissions and to minimize such emissions;
    (3) Whether any significant economic savings are likely to accrue to 
the owner or operator of the source as a result of the noncompliance;
    (4) The character of the emissions, and their impact on ambient air 
quality; and
    (5) The duration of the violation.
    (d) A hearing on a petition for a de minimis exemption shall be 
informal. The hearing shall be scheduled upon notice to the public. 
Reasonable opportunity to testify and for submission of questions by the 
public to the petitioner shall be afforded. The decision of the hearing 
officer will be made in writing within a reasonable period of time after 
the close of the hearing.



Sec. 66.33  De Minimis exemptions: malfunctions.

    (a) The Administrator may, upon notice and opportunity for a public 
hearing, exempt the owner or operator of a source if he finds with 
respect to a particular instance of noncompliance, that such 
noncompliance was de minimis in nature and duration, and was caused 
solely by a sudden and unavoidable breakdown of process or pollution 
control equipment.
    (b) A petition for an exemption on the ground that the violation was 
de minimis and was caused by a sudden and unavoidable breakdown of 
process or pollution control equipment may only raise issues related to 
entitlement to an exemption and shall contain or be accompanied by 
supporting documentation. Issues relating to entitlement to an exemption 
that are not raised in the petition shall be deemed waived. In making 
such finding the Administrator shall consider whether:
    (1) The violation was de minimis in nature and duration within the 
meaning of Sec. 66.32;
    (2) The air pollution control equipment, process equipment, or 
processes, including appropriate back-up systems, were designed, and 
have been maintained and operated in a manner consistent with good 
practice for minimizing emissions;
    (3) Repair of the malfunctioning equipment was undertaken and 
carried out in an expeditious fashion as soon as the owner or operator 
knew or should have known that the malfunction existed or that 
applicable emission limitations were being violated or were likely to be 
violated;
    (4) All practicable steps were taken to minimize the impact of the 
excess emissions (including any bypass) on ambient air quality;
    (5) The excess emissions were not part of a pattern indicative of 
inadequate design, operation, or maintenance;
    (6) Off-shift and overtime labor were utilized where necessary to 
ensure that

[[Page 23]]

repairs were made as expeditiously as possible or that emissions were 
minimized to the maximum extent possible; and
    (7) The level of economic savings, if any, accruing to the source 
owner or operator was de minimis.
    (c) Any activity that could have been foreseen, avoided or planned 
for, or any breakdown that could have been avoided by the exercise of 
reasonable diligence shall not constitute grounds for an exemption under 
this section. Such activities include, but are not limited to, sudden 
breakdowns avoidable by better maintenance procedures, phasing in and 
out of process equipment and routine maintenance.
    (d) A hearing on any petition for an exemption based upon the 
unavoidable breakdown of pollution control equipment shall be informal. 
The hearing shall be scheduled upon notice to the public. Reasonable 
opportunity to testify and for submission of questions by the public to 
the petitioner shall be afforded. The decision of the hearing officer 
will be made in writing within a reasonable period of time after the 
close of the hearing.



Sec. 66.34  Termination of exemptions.

    (a) Exemptions pursuant to Sec. 66.31(a) (1), (2), (3), and (5) will 
cease to be effective upon termination or revocation of the order on 
which the exemption is based.
    (b) Exemptions pursuant to Sec. 66.31(a)(4) will cease to be 
effective when the order or decree is terminated or revoked, or the 
inability to comply ceases to be for reasons entirely beyond the control 
of the source owner or operator as defined in Sec. 66.31(c).
    (c) Exemptions granted pursuant to Sec. 66.32 or Sec. 66.33 shall 
terminate at the time specified in the exemption.
    (d) The Administrator shall notify the source owner or operator, in 
writing, that the exemption has terminated, and shall specify the date 
from which the penalty shall be calculated. The notice shall be 
transmitted as required by Sec. 66.12. The source owner or operator 
shall respond to this notice within 45 days of its receipt and in the 
form provided in Sec. 66.13.



Sec. 66.35  Revocation of exemptions.

    (a) The Administrator may upon notice and opportunity for a hearing 
revoke an exemption granted to the owner or operator of any source at 
any time in accordance with paragraphs (b) and (c) below.
    (b) An exemption may be revoked and a penalty for the period of non-
exempted noncompliance assessed if:
    (1) The grounds for the exemption no longer exist or never did 
exist, or
    (2) In the case of an exemption under Sec. 66.31, the source owner 
or operator has failed to comply with any interim emission control 
requirements or schedules of compliance (including increments of 
progress) contained in the extension, order, suspension or EPA-approved 
consent decree on which the exemption was based.
    (c) The Administrator shall provide the source owner or operator 
written notice containing the information required by Sec. 66.12 and a 
statement of the reasons for revocation. The notice shall also specify 
the date from which the source owner or operator must calculate a 
penalty. The notice shall be transmitted as required by Sec. 66.12. The 
source owner or operator shall respond to this notice within 45 days of 
its receipt and in the form provided in Sec. 66.13.



Subpart E--Decisions on Exemption Requests and Challenges to Notices of 
                              Noncompliance



Sec. 66.41  Decision on petitions.

    (a) Within thirty days after receiving a petition filed under 
Sec. 66.13, the Administrator shall notify the source owner or operator 
in writing that:
    (1) The petition demonstrates that the source owner or operator is 
entitled to part or all of the relief requested and that the notice of 
noncompliance is withdrawn or modified accordingly;
    (2) The petition does not contain sufficient information to 
demonstrate that the source owner or operator is entitled to part or all 
of the relief requested. The Administrator shall specify what 
deficiencies exist and request that the source owner or operator 
supplement his petition within thirty days

[[Page 24]]

of receipt of that request. If the petition is not supplemented 
adequately within this time, or, if supplemented adequately, still fails 
to demonstrate entitlement to relief, the Administrator shall grant a 
hearing under paragraph (a)(3) of this section. Any supplemental 
material provided pursuant to the Administrator's request shall be 
evaluated as provided in paragraphs (a)(1) and (a)(3) of this section.
    (3) A hearing is granted on the issue of whether the source is in 
violation of applicable legal requirements or is entitled to an 
exemption under Secs. 66.31, 66.32, 66.33, or on both.

[45 FR 50110, July 20, 1980, as amended at 50 FR 36734, Sept. 9, 1985]



Sec. 66.42  Procedure for hearings.

    (a) Except as provided in Secs. 66.32 and 66.33, hearings granted 
under Sec. 66.41(a)(3) shall be held as provided in Subpart J.
    (b) If hearings are granted pursuant to both Sec. 66.32 or 
Sec. 66.33 and under Subpart J, a consolidated hearing in accordance 
with Subpart J shall be held. At the consolidated hearing the issues 
that would otherwise have been considered at a hearing under Sec. 66.32 
or Sec. 66.33 shall be considered pursuant to the procedures for a 
hearing provided in those sections.
    (c) The Presiding Officer at a hearing granted under Sec. 66.41 
shall issue an initial decision within 90 days after the Administrator 
grants the hearing, unless the duration of the hearing or the deadline 
for decision is extended by the Presiding Officer upon agreement of the 
parties. Failure to issue a decision (whether or not by consent) within 
90 days shall not affect the validity of the proceedings or the accrual 
of penalties in any manner.



Sec. 66.43  Final decision; submission of penalty calculation.

    Within forty-five days after EPA has notified the owner or operator 
of a source of the final Agency decision that it is in violation of 
applicable legal requirements or is not entitled to an exemption, the 
owner or operator shall submit the information required by 
Sec. 66.13(a), including appropriate compliance and payment schedules 
and extra interest owed for the period of delay. The penalty shall be 
calculated from the date of receipt of the original notice of 
noncompliance.



                Subpart F--Review of Penalty Calculation



Sec. 66.51  Action upon receipt of penalty calculation.

    (a) Within thirty days after receipt of a penalty calculation 
provided pursuant to Sec. 66.13(a)(1) or Sec. 66.43, the Administrator 
shall notify the source owner or operator in writing, that:
    (1) The penalty is provisionally accepted as calculated, subject to 
any recalculation that may be necessary under Sec. 66.72 after the 
source has achieved compliance; or
    (2) The penalty is incorrect and has been recalculated based on the 
data provided by the source owner or operator, or other data. The 
Administrator shall provide a brief statement of the basis for the 
recalculation and shall identify when and where any supporting data may 
be examined. The Administrator shall also notify the source owner or 
operator of the right to petition for a hearing under Sec. 66.52; or
    (3) The source owner or operator has not submitted any calculation, 
or the information submitted is inadequate to enable EPA to verify the 
owner or operator's penalty calculation. The Administrator shall specify 
what deficiencies exist and request the source owner or operator to 
supplement his submission within thirty days of receipt of that request. 
If an inadequate supplemental submission is made within this time, EPA 
may calculate the penalty itself or as provided in Sec. 66.22.
    (b) Supplemental material provided pursuant to paragraph (a)(3) of 
this section shall be evaluated as provided in paragraph (a).



Sec. 66.52  Petitions for reconsideration of calculation.

    Within forty-five days after receipt of notice under 
Sec. 66.51(a)(2) that the penalty has been recalculated by EPA, a source 
owner or operator who wishes to challenge EPA's recalculation shall 
petition in writing for reconsideration. A statement of all arguments on 
which

[[Page 25]]

the owner or operator relies, including all necessary supporting data 
and a substitute penalty calculation and payment schedule shall be 
included in or accompany this petition. Issues not raised in the 
petition shall be deemed waived.



Sec. 66.53  Decisions on petitions.

    Within thirty days after receiving a petition for reconsideration 
under Sec. 66.52 the Administrator shall:
    (a) Accept the penalty calculation of the owner or operator to the 
extent the Administrator concludes it is correct; or
    (b) Grant a hearing to the extent he does not conclude that the 
petition is correct.

[45 FR 50110, July 20, 1980, as amended at 50 FR 36734, Sept. 9, 1985]



Sec. 66.54  Procedures for hearing.

    (a) Hearings granted under Sec. 66.53 shall be held as provided in 
subpart J.
    (b) The Presiding Officer at a hearing granted under Sec. 66.53 
shall issue an initial decision within ninety days after the 
Administrator grants the hearing, unless the duration of the hearing or 
the deadline for decision is extended by the Presiding Officer upon 
agreement of the parties. Failure to issue a decision (whether or not by 
consent) within 90 days shall not affect the validity of the proceedings 
or the accrual of penalties in any manner.



                           Subpart G--Payment



Sec. 66.61  Duty to pay.

    (a) Except where the owner or operator has submitted a petition 
pursuant to Sec. 66.13(a)(2), the first installment of the penalty shall 
be paid on the date six months after receipt of the notice of 
noncompliance.
    (b) Where the source owner has filed a petition pursuant to 
Sec. 66.13(a)(2), the first installment consisting of payment of 
penalties for all quarters ``missed'' as well as for the upcoming 
quarter shall be paid on the date six months after a final 
administrative decision affirming the source owner or operator's 
liability. Installments shall be paid quarterly thereafter until 
compliance is achieved. Quarters shall be measured in increments of 
three calendar months from the date the first payment is due.
    (c) A source owner or operator who submits a petition pursuant to 
Sec. 66.52 shall pay the penalty amount calculated by the owner or 
operator under Sec. 66.13 or Sec. 66.43 or any penalty calculated by EPA 
where the owner or operator has failed to calculate such penalty. Within 
45 days after EPA has notified the owner or operator of a final 
administrative action after hearings on such petition, the owner or 
operator shall submit any necessary modification to the penalty. The 
revised penalty will be calculated in accordance with the Technical 
Support Document and the Manual, and a revised schedule, including 
appropriate adjustments for overpayments or underpayments made, will be 
established.



Sec. 66.62  Method of payment.

    Payments in excess of $10,000 under this part shall be made by wire 
transfer payable to the U.S. Treasury. Payments under this part which 
are less than $10,000 shall be made by cashier's or certified check made 
payable to the United States Treasury, sent by registered mail, return 
receipt requested, and addressed to the Administrator, Environmental 
Protection Agency, 401 M Street, SW., Washington, DC 20460. Payment by 
check is made on the due date if it is postmarked on or before the due 
date. Payment by wire transfer is made on the due date if the Treasury's 
account is credited on or before the due date.



Sec. 66.63  Nonpayment penalty.

    (a) Any source owner or operator who fails to make timely payment 
under Sec. 66.61 shall pay in addition to the penalty owed a quarterly 
nonpayment penalty. The nonpayment penalty shall be calculated as of the 
due date of the noncompliance penalty payment and shall be equal to 20 
percent of the aggregate amount of the noncompliance penalties and 
nonpayment penalties due and owing from the owner or operator on the due 
date. Partial payments shall be credited first against the nonpayment 
penalty, then against the noncompliance penalty.

[[Page 26]]

    (b) The Administrator shall notify the source owner or operator in 
writing of the amount of any nonpayment penalty for which the owner or 
operator is liable. Failure of the Administrator to provide such notice 
immediately shall not affect the legal obligation of the source owner or 
operator to pay such penalty. Such nonpayment penalty, as well as the 
past due noncompliance penalty, shall be payable immediately.



               Subpart H--Compliance and Final Adjustment



Sec. 66.71  Determination of compliance.

    (a) An owner or operator of a source who is paying a noncompliance 
penalty under this part shall notify the Administrator in writing when 
he believes that the source has come into and is maintaining compliance 
with all applicable legal requirements. The notice shall be accompanied 
by any factual data, analytical materials, and legal arguments which the 
source owner or operator believes support such claim.
    (b) Within 30 days of receipt of a source owner's submittal, the 
Administrator shall determine whether the source has achieved and is 
maintaining compliance with applicable legal requirements, and shall 
notify the source owner or operator of this determination in writing. If 
the Administrator is unable to conclude, on the basis of the information 
submitted, whether the source has achieved and is maintaining compliance 
with applicable legal requirements, he shall inform the owner or 
operator of any additional material that is needed. Within 30 days of 
receipt of such additional material, the Administrator shall determine 
whether the source has achieved and is maintaining compliance, and shall 
notify the source owner or operator of this determination in writing.
    (c) If the Administrator determines that the source has not achieved 
or is not maintaining compliance with applicable legal requirements, the 
source owner or operator may petition for reconsideration within 30 days 
of receipt of the determination. The source owner or operator shall 
include in this petition any necessary supporting material. Issues not 
raised in the petition will be deemed waived. The procedures of 
Sec. 66.41 shall be followed upon the receipt of such petition.
    (d) In the event that the applicable legal requirement (as defined 
in Sec. 66.3(c)) the violation of which forms the basis for the penalty 
is superseded by another applicable legal requirement (as defined in 
Sec. 66.3(c)) the owner or operator of a source liable for a 
noncompliance penalty under this part shall notify the Administrator in 
writing that the owner or operator believes that the applicable legal 
requirement is superseded and that the period of noncompliance covered 
by the notice of noncompliance is ended. The notice shall be accompanied 
by the legal arguments which the source owner or operator believes 
support such a claim. Within 30 days of receipt of a source owner or 
operator's notice, the Administrator shall determine whether the period 
of covered noncompliance is ended and shall notify the source owner or 
operator of this determination in writing. In cases where the 
superseding EPA-approved requirement was not approved by EPA within the 
time period required by statute, the period of covered noncompliance 
shall be deemed to have ended on the date when EPA under the statute 
should have acted.

[45 FR 50110, July 20, 1980, as amended at 50 FR 36734, Sept. 9, 1985]



Sec. 66.72  Additional payment or reimbursement.

    (a) Within 120 days after the source owner or operator receives 
notification pursuant to Sec. 66.71(b) that it has achieved and is 
maintaining compliance with applicable legal requirements, or within 120 
days after receipt of a decision to that effect upon petition and 
hearing, or within 120 days after receipt of a decision to that effect 
upon an appeal to the Environmental Appeals Board, the source owner or 
operator shall submit to the Administrator a revised penalty calculation 
as provided in the Technical Support Document and the Manual, together 
with data necessary for verification. The revised calculation shall 
include interest on any underpayment.
    (b) Within thirty days after receiving a revised penalty calculation 
provided

[[Page 27]]

pursuant to paragraph (a) of this section, the Administrator shall 
inform the source owner or operator in writing that:
    (1) The revised penalty is correct as calculated;
    (2) The revised penalty is incorrect and has been recalculated based 
on the data provided by the source owner or operator or on other data. 
The Administrator shall provide to the source owner or operator a brief 
statement of the basis of the recalculation and shall identify when and 
where any supporting data may be examined. The Administrator shall also 
notify the source owner or operator of the right to petition for 
reconsideration under Sec. 66.73; or
    (3) The source owner or operator has not submitted any penalty 
calculation, or has not submitted enough material to enable EPA to 
verify the penalty calculation. The Administrator shall specify what 
deficiencies exist and shall require the source owner or operator to 
furnish the supplemental material within thirty days of receipt of the 
notice. The supplemental material submitted will be evaluated in the 
same manner as the original submittal.
    (c) If a source owner or operator fails to submit or to complete a 
revised penalty calculation when due under this section or the 
calculation submitted is incorrect, the Administrator may recalculate 
the penalty or may enter into a contract for independent calculation of 
the penalty as provided in Sec. 66.22.
    (d) Within 120 days after the source owner or operator receives 
notification pursuant to Sec. 66.71(d) that the period of covered 
noncompliance ended on the date the applicable legal requirement was 
superseded (or, in event of EPA delay past an applicable statutory 
deadline, on the date the applicable legal requirement would have been 
superseded if there had been no delay past the statutory deadline), the 
source owner or operator shall submit to the Administrator a revised 
penalty calculation as provided in the Technical Support Document and 
Manual together with data necessary for verification. The revised 
calculation shall include interest on any underpayment. Paragraphs (b) 
and (c) shall apply to calculations submitted under this paragraph.

[45 FR 50110, July 20, 1980 as amended at 50 FR 36734, Sept. 9, 1985; 57 
FR 5329, Feb. 13, 1992]



Sec. 66.73  Petition for reconsideration and procedure for hearing.

    Within forty-five days of receipt of a notice under Sec. 66.72(b) 
(2) a source owner or operator may petition for reconsideration in the 
form and manner provided in Sec. 66.52. The petition shall be evaluated 
as provided in Sec. 66.53 and any hearing shall be held in conformity 
with Sec. 66.54.



Sec. 66.74  Payment or reimbursement.

    (a) Within thirty days after any adjustment of a noncompliance 
penalty under this Subpart has become administratively final:
    (1) Any deficiency owed by the source owner or operator shall be 
paid as provided in Sec. 66.62.
    (2) Any reimbursement shall be paid by check from the United States 
payable to the order of the source owner or operator, and sent by 
registered or certified mail, return receipt requested.
    (b) Any payment under paragraph (a) of this section, shall include 
interest on the amount of the deficiency or reimbursement due, from the 
date the deficiency or reimbursement arose, at a rate determined by the 
Secretary of the Treasury. Such payment shall be calculated in 
accordance with the Technical Support Document and the Manual.
    (c) Any source owner or operator who fails to make timely payment of 
a deficiency shall pay a nonpayment penalty. The nonpayment penalty 
shall be calculated as of the due date of the deficiency payment and 
shall be equal to 20% of the deficiency not paid. Such nonpayment 
penalty (in addition to the amount of the deficiency owed) shall be 
payable immediately. If any part of the nonpayment penalty or deficiency 
shall remain unpaid at the end of three calendar months from the due 
date of the deficiency, a further nonpayment penalty shall be due equal 
to 20% of the sum of all payments due and owing. Partial payments shall 
be credited first

[[Page 28]]

against the nonpayment penalty, then the deficiency.



                         Subpart I--Final Action



Sec. 66.81  Final action.

    (a) A final Agency action appealable to the courts by the source 
owner or operator includes and is limited to the following, provided the 
conditions of paragraph (b) of this section are met:
    (1) A notice of determination that a source is in violation of 
applicable legal requirements;
    (2) A notice of decision to deny or revoke an exemption under 
subpart D;
    (3) A notice of revision by EPA of a penalty calculation or schedule 
under subpart F;
    (4) A notice of decision by EPA that the source is not in final 
compliance or any revision by EPA of a final penalty calculation under 
subpart H; and
    (5) A notice of denial of a petition for reconsideration under 
Sec. 66.71 or Sec. 66.73.
    (6) A decision by the Administrator upon completion of any review of 
a State action pursuant to part 67.
    (b) The actions listed in paragraph (a) of this section constitute 
final Agency action only if all administrative remedies have been 
exhausted. To exhaust administrative remedies, a source owner or 
operator must first petition for reconsideration of the decision in 
question and, if unsuccessful after hearing or after denial of hearing, 
appeal the decision in question to the Environmental Appeals Board. The 
action becomes final upon the completion of review by the Environmental 
Appeals Board and notice thereof to the owner or operator of the source.
    (c) Where a petition seeks reconsideration both of the finding of 
noncompliance and of the finding of liability on the ground that the 
source owner or operator is entitled to an exemption, both questions 
must be decided before any review by the Environmental Appeals Board is 
sought, except on agreement of the parties.

[45 FR 50110, July 20, 1980, as amended at 50 FR 36734, Sept. 9, 1985; 
57 FR 5329, Feb. 13, 1992]



     Subpart J--Supplemental Rules for Formal Adjudicatory Hearings



Sec. 66.91  Applicability of supplemental rules.

    The Supplemental Rules in this subpart, in conjunction with the 
Consolidated Rules of Practice (40 CFR part 22) shall govern all 
hearings held under this part. To the extent that the provisions of 
these Supplemental Rules or any other provision of this part are 
inconsistent with the Consolidated Rules, the provisions of this part 
shall govern.



Sec. 66.92  Commencement of hearings.

    (a) The provisions of 40 CFR 22.08 (Consolidated Rules of Practice) 
shall become applicable when the Administrator grants a hearing.
    (b) Upon granting a hearing the Administrator shall immediately 
transmit to the appropriate Regional Hearing Clerk two copies of the 
notice granting the hearing and:
    (1) In the case of a hearing pursuant to Sec. 66.42, two copies of 
the notice of noncompliance under Sec. 66.11 (or the revocation notice 
under Sec. 66.34) and of the petition of the owner or operator under 
Sec. 66.13, together with supporting documents; and
    (2) In the case of a hearing pursuant to Sec. 66.53 or Sec. 66.73, 
two copies of the penalty calculation of the source owner or operator 
provided pursuant to Sec. 66.13(a) or Sec. 66.72, and of any Agency 
recalculation pursuant to Sec. 66.51(a)(2) or Sec. 66.72(b)(2), and of 
the petition of the source owner or operator for reconsideration 
pursuant to Sec. 66.52 or Sec. 66.73, together with supporting 
documents.
    (3) The Regional Hearing Clerk shall open and maintain the official 
file of the proceeding upon receipt of the documents referred to in 
paragraphs (b)(1) and (2) of this section.
    (c) Upon granting a hearing the Administrator shall request the 
Chief Administrative Law Judge to designate an Administrative Law Judge 
to serve as the Presiding Officer. The Chief Administrative Law Judge 
shall make this designation within seven days of receiving the request, 
and shall notify the Regional Hearing Clerk of his action. The Regional 
Hearing Clerk shall forward to the Presiding Officer one set

[[Page 29]]

of the documents described in paragraph (b).



Sec. 66.93  Time limits.

    The Presiding Officer upon designation shall notify the parties and 
shall, if appropriate, schedule a prehearing conference (or alternative 
procedures) under 40 CFR 22.19 and shall notify the parties of the date 
of hearing under 40 CFR 22.21. The Presiding Officer shall issue an 
initial decision no later than ninety days after the hearing is granted, 
unless an extension of the hearing schedule or of the deadline for 
decision is agreed to by the parties. To that end, the Presiding Officer 
may establish such deadlines as are reasonable and necessary. Failure to 
issue a decision within 90 days or further extended deadline (whether or 
not by consent) shall not affect the validity of the proceedings.



Sec. 66.94  Presentation of evidence.

    (a) In hearings pursuant to Sec. 66.42 EPA shall present evidence of 
violation of applicable legal requirements. The source owner or operator 
shall then present any rebuttal evidence.
    (b) In hearings under Sec. 66.42 the source owner or operator shall 
present evidence of entitlement to an exemption. EPA shall then present 
any rebuttal evidence.
    (c) In hearings under Secs. 66.54 and 66.73 EPA shall present 
evidence that its calculation or revisions of the source owner or 
operator's penalty calculations are correct. The source owner or 
operator shall then present any rebuttal evidence.
    (d) Each matter of controversy shall be determined by the Presiding 
Officer upon a preponderance of the evidence.
    (e) Any documentation submitted pursuant to Sec. 66.92(b) shall 
automatically be received into evidence in the hearing.



Sec. 66.95  Decisions of the Presiding Officer; Appeal to the Administrator.

    (a) The Presiding Officer shall dispose of the issues raised in the 
hearing in a single written decision. Such decision shall terminate the 
Presiding Officer's consideration of those issues.
    (b) Penalty calculations and payment schedules, if any, established 
by the decision of the Presiding Officer shall be based solely on the 
parameters, terms and conditions of the Technical Support Document, 
Manual, and Computer Program.
    (c) An appeal to the Environmental Appeals Board from a decision of 
the Presiding Officer shall be made by petition filed within twenty (20) 
days from receipt by a party of the Presiding Officer's decision. The 
Environmental Appeals Board shall rule on the appeal within 30 days of 
receipt of a petition. No appeal may be made before receipt of the 
decision of the Presiding Officer.

[45 FR 50110, July 20, 1980, as amended at 57 FR 5329, Feb. 13, 1992]

            Appendix A to Part 66--Technical Support Document

    Note: For text of appendix A see appendix A to part 67.

                Appendix B to Part 66--Instruction Manual

    Note: For text of appendix B see appendix B to part 67.

                 Appendix C to Part 66--Computer Program

    Note: For text of appendix C see appendix C to part 67.



PART 67--EPA APPROVAL OF STATE NONCOMPLIANCE PENALTY PROGRAM--Table of Contents




                      Subpart A--Purpose and Scope

Sec.
67.1  Purpose and scope.

                  Subpart B--Approval of State Programs

67.11  Standards for approval of State programs.
67.12  Application for approval of programs.
67.13  Approval.
67.14  Amendments to the program.
67.15  Revocation.

  Subpart C--Federal Notice of Noncompliance to Sources in States With 
                            Approved Programs

67.21  Federal notice of noncompliance to owners or operators of sources 
          in States with approved programs.

[[Page 30]]

    Subpart D--EPA Review of State Compliance or Exemption Decisions

67.31  Review by the Administrator.
67.32  Procedure where no formal State hearing was held.
67.33  Procedure where a formal State hearing was held.

           Subpart E--EPA Review of State Penalty Assessments

67.41  When EPA may review.
67.42  Procedure where no formal State hearing was held.
67.43  Procedure where a formal State hearing was held.

Appendix A to Part 67--Technical Support Document [Note]
Appendix B to Part 67--Instruction Manual [Note]
Appendix C to Part 67--Computer Program [Note]

    Authority: Sec. 120 of the Clean Air Act, as amended, 42 U.S.C. 
7420, unless otherwise noted.

    Source: 45 FR 50117, July 28, 1980, unless otherwise noted.



                      Subpart A--Purpose and Scope



Sec. 67.1  Purpose and scope.

    This part describes the standards and procedures under which EPA 
will approve State programs for administering the noncompliance penalty 
program under section 120 of the Clean Air Act and will evaluate actions 
taken by States with approved programs. Subpart A describes the purpose 
of the part. Subpart B states the conditions under which EPA will 
approve State programs to administer the noncompliance penalty 
provisions. Subparts C and D state when and how EPA will issue its own 
notices to owners or operators of sources in States with approved 
programs, and how it will review State decisions to grant or deny 
exemptions from the penalty. Finally, subpart E states how EPA will 
review State assessments of a penalty.



                  Subpart B--Approval of State Programs



Sec. 67.11  Standards for approval of State programs.

    (a) The Administrator shall approve any program submitted by a 
State, or by a local governmental agency where no program has been 
submitted by a State, for administering the noncompliance penalty 
provisions of section 120 of the Clean Air Act upon finding that the 
program conforms to the requirements of the Act and to those of this 
part and 40 CFR part 66. References to ``State program'' in this part 
shall be read as including local governmental agencies and their 
programs.
    (b) The Administrator shall not approve any State program that does 
not provide explicitly for:
    (1) Issuance of a notice of noncompliance, in a manner consistent 
with procedures under part 66, upon discovery by the State or upon 
notification by EPA of a violation of applicable legal requirements, 
which notice satisfies the informational requirements set forth in 
Sec. 66.13.
    (2) Levels of staffing and funding satisfactory, in the judgment of 
the Administrator, to implement and enforce the requirements of section 
120 in that State, together with adequate provision for maintaining such 
levels;
    (3) A capability to carry out the financial analysis and procedures 
specified in these regulations and the Technical Support Document, 
Instruction Manual, and related Computer Program, available from the 
Director of Stationary Source Compliance Division, EN-341, 401 M Street, 
NW., Washington, DC 20460, together with adequate provision for 
maintaining such capability. Such capability may be provided by trained 
State personnel or through qualified contractors;
    (4) Except as provided in paragraph (a)(6) of this section, an 
administrative hearing whenever the owner or operator of a source 
submits a petition for reconsideration of a notice of noncompliance on 
the ground that the source either is not in violation of applicable 
legal requirements, or is entitled to an exemption, or both, or submits 
a petition to challenge a recalculation of the penalty by the State, 
provided that such petitions raise issues of fact that would require a 
hearing under part 66. This hearing need not conform to the requirements 
of 5 U.S.C. 554 as long as its procedures provide for:

[[Page 31]]

    (i) An initial decision by the hearing officer on the record;
    (ii) A hearing officer who has not performed investigative or 
litigating functions in any enforcement action against the source owner 
or operator in question;
    (iii) Opportunity for public participation on reasonable notice, 
including intervention, by interested persons;
    (iv) Opportunity for cross-examination or an equivalent opportunity 
for confrontation between persons advocating differing positions on 
material factual matters; and
    (v) An initial decision by the hearing officer within ninety days of 
commencement of the hearing unless such period is extended upon 
agreement of the parties.
    (5) Explicit provision for:
    (i) Notice to the Administrator of any determination granting an 
exemption, or finding a source in violation of applicable legal 
requirements, and any penalty calculation and payment schedule approved 
or calculated by the State, together with any information necessary to 
verify its accuracy;
    (ii) Within 30 days of receipt of a request from the Administrator, 
transmission of a copy of the record of the hearing held under paragraph 
(a)(4) or (6) of this section, including any proffered evidence and a 
ruling on its admissibility and the State's decision on the merits; and
    (iii) Additional reporting and recordkeeping, if necessary, adequate 
to enable the Administrator to review the State's administration of the 
program and determine whether it conforms to the Act and to part 66 of 
these regulations. Such requirements will be specified in the Notice of 
Delegation to the State.
    (6) A hearing on the question of whether the owner or operator of a 
source is entitled to an exemption pursuant to Sec. 66.32 or 66.33 may 
be informal. The hearing shall be scheduled upon notice to the public. 
Reasonable opportunity to testify and for submission of questions to the 
petitioner by members of the public shall be afforded. A record of the 
hearing shall be made, and the decision of the hearing officer made in 
writing within a reasonable period of time after the close of the 
hearing.
    (c) The State may delegate all or part of its responsibilities under 
its program to a local governmental agency to implement the program 
within the jurisdiction of the local agency, Provided that the program 
of the local government agency meets the requirements of this section.
    (d) No State penalty program or program of one of its agents shall 
be disapproved because it is more stringent than the program established 
by part 66 or by section 120 where the State or local agent concludes 
that it has independent authority under State or local law to implement 
and administer the more stringent portions of the program.

[45 FR 50117, July 28, 1980, as amended at 54 FR 25259, June 14, 1989]



Sec. 67.12  Application for approval of programs.

    A state that wishes to administer a section 120 program shall submit 
an application in writing to the Administrator describing its proposed 
program. All necessary supporting materials shall accompany the 
application.



Sec. 67.13  Approval.

    (a) The Administrator shall evaluate any application submitted under 
Sec. 67.12 and shall:
    (1) Approve the program and delegate authority to the State to 
administer the program if he determines that the requirements of 
Sec. 67.11 have been and will be met; or
    (2) Request additional information if he determines that the 
information submitted is not sufficient to allow him to determine 
whether the requirements of Sec. 67.11 have been and will be met; or
    (3) Disapprove the State program if he determines that the 
information submitted establishes that the requirements of Sec. 67.11 
have not been or will not be met.
    (b) The Administrator shall notify the State in writing of his 
action under paragraph (a) of this section and shall state the reasons 
for his action.
    (c) In all cases of delegation (whether or not express provision is 
made in the

[[Page 32]]

notice of delegation) the Administrator shall retain continuing 
authority to issue notices of noncompliance, review exemption requests 
or penalty calculations, or take any other steps set forth in part 66 to 
assess and collect these penalties. Such authority shall be exercised 
pursuant to the provisions of Sec. 67.21.
    (d) The Administrator shall retain exclusive authority to assess and 
collect penalties against source owners or operators of facilities in 
the State who were issued notices of noncompliance pursuant to part 66 
prior to the effective date of the delegation, except to the extent the 
Administrator specifically delegates such authority to the State.



Sec. 67.14  Amendments to the program.

    A State or local agent with a program approved pursuant to 
Sec. 67.13 may propose amendments to that program to the Administrator. 
The Administrator shall evaluate whether the State or local agent's 
program as amended would conform to the requirements of Sec. 67.11 and 
shall respond as provided in Sec. 67.13.



Sec. 67.15  Revocation.

    If the Administrator determines that a State with a program approved 
under Sec. 67.13 is not administering the program in conformity with the 
requirements of the Act or Sec. 67.11, or the delegation of authority, 
he shall provide the State written notice of that determination, setting 
forth his reasons. Copies of all supporting materials shall accompany 
the notice if requested, or shall be placed on file in the appropriate 
Regional Office and made available for inspection during normal business 
hours. The State shall have 90 days in which to respond in writing to 
this determination. If the Administrator finds after reviewing the State 
response that (a) the State is in fact administering the program in 
conformity with Sec. 67.11, or (b) there are reasonable grounds to 
believe the State program will immediately be brought into conformity 
with that section, he shall withdraw his determination. If he finds that 
neither of these conditions has been met, he shall withdraw the 
delegation of authority to the State.



  Subpart C--Federal Notice of Noncompliance to Sources in States With 
                            Approved Programs



Sec. 67.21  Federal notice of noncompliance to owners or operators of sources in States with approved programs.

    (a) The Administrator shall issue a notice of noncompliance to the 
owner or operator of any source in a State with an approved program if 
he determines that the State or its local agent has failed to issue such 
notice, provided that he shall first give 30 days notice to the State of 
his intent to issue a notice of noncompliance to the owner or operator 
of the source in question unless the State or its agent does so first. 
Any notice issued by the Administrator pursuant to this section shall be 
deemed to be issued pursuant to the provisions of part 66.
    (b) The issuance of a notice of noncompliance shall operate to 
withdraw EPA delegation of authority to the State with respect to the 
particular facility in question.
    (c) If the Administrator determines that the State or local agent 
has issued a notice of noncompliance but has failed to pursue diligently 
subsequent steps for the assessment and collection of the penalty, he 
shall notify the State of his intent to withdraw delegation of authority 
to the State with respect to the facility in question and take 
appropriate actions pursuant to part 66 unless the State or local agent, 
within 30 days, takes appropriate action in accordance with the 
requirements of this part. In either case the penalty will be calculated 
from the date of the State notice.



    Subpart D--EPA Review of State Compliance or Exemption Decisions



Sec. 67.31  Review by the Administrator.

    (a) The Administrator may, on his own initiative, review any 
determination by a State or its agent that a source owner or operator is 
or is not in

[[Page 33]]

compliance with applicable legal requirements or is or is not entitled 
to an exemption, to determine whether that determination conforms to the 
requirements of the Act and part 66 (as modified by Sec. 67.11).
    (b) The Administrator shall review any such determination upon 
receipt of a petition alleging that the State's determination does not 
conform to the requirements of the Act and part 66 (as modified by 
Sec. 67.11). Such petition must be filed within 20 days of issuance of 
the State's decision.
    (c) The Administrator shall give notice in writing to the State or 
local agent, to the owner or operator of the source, and to the 
petitioner of his intent to review the determination. Such notice shall 
be given within 90 days of the Administrator's receipt of the State or 
local agent's determination. Unless otherwise provided, such notice 
shall not withdraw EPA's delegation of authority to the State or local 
agent over the particular facility in question.
    (d) No such State determination shall become final until the 
expiration of 90 days after the Administrator's receipt of the notice 
required by Sec. 67.11(b)(5).
    (1) If the Administrator does not issue a notice of intent to review 
within that period, the State determination shall, upon expiration of 
such period, constitute final action of the Administrator under section 
120 of the Act.
    (2) If the Administrator issues a notice of intent to review within 
that period, the State determination shall not become final until the 
Administrator takes final action after reviewing the determination.
    (e) Except as otherwise provided, a State determination shall be 
approved if there was a reasonable basis in law and in fact for making 
the determination.



Sec. 67.32  Procedure where no formal State hearing was held.

    (a) In reviewing a decision that a source is in compliance with 
applicable legal requirements or entitled to an exemption for which no 
hearing conforming to Sec. 67.11(b) (4) or (6) was held, the 
Administrator shall evaluate the accuracy and adequacy of the documents 
transmitted to him pursuant to Sec. 67.11(b)(5) and shall invite 
submission of comments on issues identified by him as relevant to his 
review.
    (b) If the Administrator concludes that no hearing need have been 
held and that the State determination was correct, he shall notify the 
State, the source owner or operator, and other participants of his 
determination, which shall constitute final agency action by EPA under 
authority of section 120. If the Administrator concludes that the 
petition of the source owner or operator presented information which, if 
true, would have altered the owner or operator's liability for a 
penalty, he shall upon notice to the State or local agent schedule a 
hearing in accordance with subpart E of part 66. Such notice shall 
operate as a withdrawal of EPA's delegation of authority to the State or 
local agent over the facility in question unless the State or local 
agent schedules a hearing within 15 days of receipt of the notice.
    (c) If the Administrator concludes that the State determination did 
not conform to the requirements of the Act or of part 66 (as modified by 
Sec. 67.11), he shall by written notice revoke the determination. Such 
revocation shall operate as a withdrawal of EPA's delegation of 
authority to the State or local agent over the facility in question. The 
source owner or operator may then petition for review of the 
Administrator's decision pursuant to the provisions of Sec. 66.13.
    (d) Unless otherwise provided in the Administrator's notice to the 
State or local agent, any noncompliance penalties owed by the source 
owner or operator shall be paid to the State or local agent. The 
Administrator shall send a copy of this notice to the source owner or 
operator.



Sec. 67.33  Procedure where a formal State hearing was held.

    (a) In reviewing a decision that a source is in compliance with 
applicable legal requirements or is entitled to an exemption for which a 
hearing conforming to Sec. 67.11(b) (4) or (6) was held, the 
Administrator may invite comment on issues identified by him as relevant 
to his review and shall propose or make findings as to the correctness 
of the determination and the accuracy

[[Page 34]]

and adequacy of the material transmitted pursuant to Sec. 67.11(b)(5).
    (b) The Administrator shall notify all participants in the State 
hearing of his findings and conclusions. If the Administrator concludes 
that the State determination conformed to the requirements of the Act 
and of part 66 (as modified by Sec. 66.11), the Administrator's 
determination shall constitute final administrative action by EPA under 
authority of Section 120. If the Administrator finds that the State 
determination did not conform to the requirements of the Act and of part 
66 (as modified by Sec. 67.11), the findings shall constitute proposed 
findings and the notice shall invite participants to file exceptions 
thereto. If the Administrator considers it desirable, he may schedule a 
time for argument.
    (c) Within 60 days of receipt of any briefs or exceptions or after 
oral argument pursuant to paragraph (b), the Administrator shall affirm, 
modify, or revoke his proposed findings that the State's determination 
did not conform to the requirements of the Act or of part 66 (as 
modified by Sec. 67.11). The decision shall be in writing. Notice and a 
copy of the decision shall be provided to the source owner or operator 
and to all other participants in the State hearing. The decision shall 
constitute a final administrative action by EPA under authority of 
section 120.
    (d) If the Administrator finds that deficiencies in the hearing 
record prevent him from determining whether the determination of the 
State or local agent conformed to the requirements of the Act and part 
66 (as modified by Sec. 67.11), he shall notify the State or local agent 
of his finding and specify what deficiencies exist and schedule a 
hearing pursuant to subpart E of part 66. Such notice shall operate as a 
withdrawal of EPA's delegation of authority to the State or local agent 
over the facility in question unless the State or local agent schedules 
a supplemental hearing to correct the deficiencies within 15 days of 
receipt of the notice.
    (e) If the Administrator concludes that the source is in violation 
of applicable legal requirements or is not entitled to an exemption, or 
both, and unless otherwise ordered in the decision, the source owner or 
operator shall submit a penalty calculation to the State within 45 days 
of receipt of the notice of determination.



           Subpart E--EPA Review of State Penalty Assessments



Sec. 67.41  When EPA may review.

    (a) The Administrator may on his own initiative or on petition 
review any initial, interim, or final penalty calculation made or 
approved by the State or local agent to determine whether it conforms to 
the requirements of the Act, of part 66, of the Technical Support 
Document and the Instruction Manual. The Administrator shall notify the 
State or local agent in writing of his intention to review the 
calculation within 60 days of receipt by EPA of the calculation or any 
item considered by the State in making or approving such calculation, 
whichever occurs later.
    (b) No such State determination shall become final until the 
expiration of 90 days after the Administrator's receipt of the notice 
required by Sec. 67.11(b)(5).
    (1) If the Administrator does not issue a notice of intent to review 
within that period, the State determination shall, upon expiration of 
such period, constitute final action of the Administrator under section 
120 of the Act.
    (2) If the Administrator issues a notice of intent to review within 
that period, the State determination shall not become final until the 
Administrator takes final action after reviewing the determination.
    (c) Except as otherwise provided, a State determination shall be 
approved if there was a reasonable basis in law and in fact for making 
the determination.



Sec. 67.42  Procedure where no formal State hearing was held.

    (a) In reviewing a penalty calculation for which no hearing 
conforming to the requirements of Sec. 67.11(b)(4) was held, the 
Administrator shall evaluate the accuracy and adequacy of the data 
contained in the documents transmitted to him pursuant to 
Sec. 67.11(b)(5) and shall invite comments on issues identified by him 
as relevant to his review.
    (b) If the Administrator concludes that no hearing need have been 
held

[[Page 35]]

and that the State determination was correct, he shall notify the State, 
the source owner or operator, and other participants of his 
determination, which shall constitute final agency action by EPA under 
authority of section 120. If the Administrator concludes that the 
petition of the source owner or operator for reconsideration of a 
recalculation presented information which, if true, would have altered 
the amount of the penalty calculated, he shall upon notice to the State 
schedule a hearing in accordance with subpart F of part 66. Such notice 
shall operate as a withdrawal of EPA's delegation of authority to the 
State or local agent over the facility in question unless the State or 
local agent schedules a hearing within 15 days of receipt of the notice.
    (c) If the Administrator concludes that the determination of the 
State or local agent not to hold a hearing was proper but that the 
penalty calculation does not conform to the requirements of the Act or 
of part 66, he shall by written notice revoke the determination and 
issue a notice of recalculation to the source owner or operator pursuant 
to Sec. 66.51. A copy of the notice of recalculation shall be provided 
to the State or local agent. The notice of recalculation shall 
constitute final administrative action by EPA under authority of section 
120 unless the source owner or operator petitions for reconsideration 
under Sec. 66.52, in which case it shall operate as a withdrawal by EPA 
of its delegation of authority to the State or local agent over the 
facility in question.
    (d) Unless otherwise provided in the Administrator's notice, 
noncompliance penalties finally determined to be owed shall be paid to 
the State or local agent.



Sec. 67.43  Procedure where a formal State hearing was held.

    (a) In reviewing a penalty calculation for which a hearing 
conforming to Sec. 67.11(b)(4) was held, the Administrator may invite 
comment on issues identified by him as relevant to his review and shall 
propose or make findings as to the correctness of the determination and 
shall evaluate the accuracy and adequacy of the material transmitted 
pursuant to Sec. 67.11(b)(5).
    (b) The Administrator shall notify all participants in the State 
hearing of his findings and conclusions. If the Administrator finds that 
the State determination conformed to the requirements of the Act, part 
66 (as modified by Sec. 67.11), the Technical Support Document, and the 
Instruction Manual, his determination shall constitute a final action 
pursuant to section 120. If the Administrator finds that the State 
determination did not conform to the requirements of the Act or of part 
66 (as modified by Sec. 67.11) or to the Technical Support Document or 
Instruction Manual, the findings shall constitute proposed findings, and 
the notice shall invite participants to file exceptions to his proposed 
findings and, if necessary, schedule a time for argument.
    (c) Within 60 days of receipt of any briefs or exceptions or after 
oral argument, the Administrator shall affirm, modify, or revoke his 
proposed findings that the State or local agent's determination did not 
conform to the requirements of the Act or of part 66 (as modified by 
Sec. 67.11) or the Technical Support Document or Instruction Manual. The 
decision shall be in writing. Notice and a copy of the decision, which 
shall constitute final administrative action by EPA pursuant to section 
120, shall be provided to the source owner or operator and to all other 
participants in the State hearing.
    (d) If the Administrator finds that deficiencies in the State or 
local agent's hearing record prevent him from determining whether the 
State or local agent's determination conformed to the requirements of 
the Act and part 66 (as modified by Sec. 67.11) or the Technical Support 
Document or Instruction Manual, he shall notify the State or local agent 
of his decision and specify what dificiencies exist and schedule a 
hearing in accordance with subpart F of part 66. Such notice shall 
operate to withdraw EPA's delegation of authority to the State or local 
agent over the facility in question unless the State or local agent 
within 15 days schedules a supplemental hearing to correct the 
deficiencies.
    (e) Unless otherwise provided in the Administrator's notice to the 
State or

[[Page 36]]

local agent, any noncompliance penalties owed by the source owner or 
operator shall be paid to the State or local agent.

            Appendix A to Part 67--Technical Support Document

    Note: EPA will make copies of appendix A available from: Director, 
Stationary Source Compliance Division, EN-341, 401 M Street, SW., 
Washington, DC 20460.

[54 FR 25259, June 20, 1989]

                Appendix B to Part 67--Instruction Manual

    Note: EPA will make copies of appendix B available from: Director, 
Stationary Source Compliance Division, EN-341, 401 M Street, SW., 
Washington, DC 20460.

[54 FR 25259, June 20, 1989]

                 Appendix C to Part 67--Computer Program

    Note: EPA will make copies of appendix C available from: Director, 
Stationary Source Compliance Division, EN-341, 401 M Street, SW., 
Washington, DC 20460.

[54 FR 25259, June 20, 1989]



PART 68--CHEMICAL ACCIDENT PREVENTION PROVISIONS--Table of Contents




                           Subpart A--General

Sec.
68.1  Scope.
68.2  Stayed provisions.
68.3  Definitions.
68.10  Applicability.
68.12  General requirements.
68.15  Management.

                      Subpart B--Hazard Assessment

68.20  Applicability.
68.22  Offsite consequence analysis parameters.
68.25  Worst-case release scenario analysis.
68.28  Alternative release scenario analysis.
68.30  Defining offsite impacts--population.
68.33  Defining offsite impacts--environment.
68.36  Review and update.
68.39  Documentation.
68.42  Five-year accident history.

                 Subpart C--Program 2 Prevention Program

68.48  Safety information.
68.50  Hazard review.
68.52  Operating procedures.
68.54  Training.
68.56  Maintenance.
68.58  Compliance audits.
68.60  Incident investigation.

                 Subpart D--Program 3 Prevention Program

68.65  Process safety information.
68.67  Process hazard analysis.
68.69  Operating procedures.
68.71  Training.
68.73  Mechanical integrity.
68.75  Management of change.
68.77  Pre-startup review.
68.79  Compliance audits.
68.81  Incident investigation.
68.83  Employee participation.
68.85  Hot work permit.
68.87  Contractors.

                      Subpart E--Emergency Response

68.90  Applicability.
68.95  Emergency response program.

    Subpart F--Regulated Substances for Accidental Release Prevention

68.100  Purpose.
68.115  Threshold determination.
68.120  Petition process.
68.125  Exemptions.
68.126  Exclusion.
68.130  List of substances.

                     Subpart G--Risk Management Plan

68.150  Submission.
68.151  Assertion of claims of confidential business information.
68.152  Substantiating claims of confidential business information.
68.155  Executive summary.
68.160  Registration.
68.165  Offsite consequence analysis.
68.168  Five-year accident history.
68.170  Prevention program/Program 2.
68.175  Prevention program/Program 3.
68.180  Emergency response program.
68.185  Certification.
68.190  Updates.

                      Subpart H--Other Requirements

68.200  Recordkeeping.
68.210  Availability of information to the public.
68.215  Permit content and air permitting authority or designated agency 
          requirements.
68.220  Audits.

Appendix A to Part 68--Table of Toxic Endpoints

    Authority: 42 U.S.C 7412(r), 7601 (a)(1).

    Source: 59 FR 4493, Jan. 31, 1994, unless otherwise noted.

[[Page 37]]



                           Subpart A--General



Sec. 68.1  Scope.

    This part sets forth the list of regulated substances and 
thresholds, the petition process for adding or deleting substances to 
the list of regulated substances, the requirements for owners or 
operators of stationary sources concerning the prevention of accidental 
releases, and the State accidental release prevention programs approved 
under section 112(r). The list of substances, threshold quantities, and 
accident prevention regulations promulgated under this part do not limit 
in any way the general duty provisions under section 112(r)(1).



Sec. 68.2  Stayed provisions.

    (a) Notwithstanding any other provision of this part, the 
effectiveness of the following provisions is stayed from March 2, 1994 
to December 22, 1997.
    (1) In Sec. 68.3, the definition of ``stationary source,'' to the 
extent that such definition includes naturally occurring hydrocarbon 
reservoirs or transportation subject to oversight or regulation under a 
state natural gas or hazardous liquid program for which the state has in 
effect a certification to DOT under 49 U.S.C. 60105;
    (2) Section 68.115(b)(2) of this part, to the extent that such 
provision requires an owner or operator to treat as a regulated 
flammable substance:
    (i) Gasoline, when in distribution or related storage for use as 
fuel for internal combustion engines;
    (ii) Naturally occurring hydrocarbon mixtures prior to entry into a 
petroleum refining process unit or a natural gas processing plant. 
Naturally occurring hydrocarbon mixtures include any of the following: 
condensate, crude oil, field gas, and produced water, each as defined in 
paragraph (b) of this section;
    (iii) Other mixtures that contain a regulated flammable substance 
and that do not have a National Fire Protection Association flammability 
hazard rating of 4, the definition of which is in the NFPA 704, Standard 
System for the Identification of the Fire Hazards of Materials, National 
Fire Protection Association, Quincy, MA, 1990, available from the 
National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 
02269-9101; and
    (3) Section 68.130(a).
    (b) From March 2, 1994 to December 22, 1997, the following 
definitions shall apply to the stayed provisions described in paragraph 
(a) of this section:
    Condensate means hydrocarbon liquid separated from natural gas that 
condenses because of changes in temperature, pressure, or both, and 
remains liquid at standard conditions.
    Crude oil means any naturally occurring, unrefined petroleum liquid.
    Field gas means gas extracted from a production well before the gas 
enters a natural gas processing plant.
    Natural gas processing plant means any processing site engaged in 
the extraction of natural gas liquids from field gas, fractionation of 
natural gas liquids to natural gas products, or both. A separator, 
dehydration unit, heater treater, sweetening unit, compressor, or 
similar equipment shall not be considered a ``processing site'' unless 
such equipment is physically located within a natural gas processing 
plant (gas plant) site.
    Petroleum refining process unit means a process unit used in an 
establishment primarily engaged in petroleum refining as defined in the 
Standard Industrial Classification code for petroleum refining (2911) 
and used for the following: Producing transportation fuels (such as 
gasoline, diesel fuels, and jet fuels), heating fuels (such as kerosene, 
fuel gas distillate, and fuel oils), or lubricants; separating 
petroleum; or separating, cracking, reacting, or reforming intermediate 
petroleum streams. Examples of such units include, but are not limited 
to, petroleum based solvent units, alkylation units, catalytic 
hydrotreating, catalytic hydrorefining, catalytic hydrocracking, 
catalytic reforming, catalytic cracking, crude distillation, lube oil 
processing, hydrogen production, isomerization, polymerization, thermal 
processes, and blending, sweetening, and treating processes. Petroleum 
refining process units include sulfur plants.
    Produced water means water extracted from the earth from an oil or 
natural gas production well, or that is separated from oil or natural 
gas after extraction.

[[Page 38]]

    (c) Notwithstanding any other provision of this part, the 
effectiveness of part 68 is stayed from June 21, 1999 to December 21, 
1999 with respect to regulated flammable hydrocarbon substances when the 
substance is intended for use as a fuel and does not exceed 67,000 
pounds in a process that is not manufacturing the fuel, does not contain 
greater than a threshold quantity of another regulated substance, and is 
not collocated or interconnected to another covered process.

[59 FR 4493, Jan. 31, 1994, as amended at 61 FR 31731, June 20, 1996; 64 
FR 29170, May 28, 1999]



Sec. 68.3  Definitions.

    For the purposes of this part:
    Accidental release means an unanticipated emission of a regulated 
substance or other extremely hazardous substance into the ambient air 
from a stationary source.
    Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq.)
    Administrative controls mean written procedural mechanisms used for 
hazard control.
    Administrator means the administrator of the U.S. Environmental 
Protection Agency.
    AIChE/CCPS means the American Institute of Chemical Engineers/Center 
for Chemical Process Safety.
    API means the American Petroleum Institute.
    Article means a manufactured item, as defined under 29 CFR 
1910.1200(b), that is formed to a specific shape or design during 
manufacture, that has end use functions dependent in whole or in part 
upon the shape or design during end use, and that does not release or 
otherwise result in exposure to a regulated substance under normal 
conditions of processing and use.
    ASME means the American Society of Mechanical Engineers.
    CAS means the Chemical Abstracts Service.
    Catastrophic release means a major uncontrolled emission, fire, or 
explosion, involving one or more regulated substances that presents 
imminent and substantial endangerment to public health and the 
environment.
    Classified information means ``classified information'' as defined 
in the Classified Information Procedures Act, 18 U.S.C. App. 3, section 
1(a) as ``any information or material that has been determined by the 
United States Government pursuant to an executive order, statute, or 
regulation, to require protection against unauthorized disclosure for 
reasons of national security.''
    Condensate means hydrocarbon liquid separated from natural gas that 
condenses due to changes in temperature, pressure, or both, and remains 
liquid at standard conditions.
    Covered process means a process that has a regulated substance 
present in more than a threshold quantity as determined under 
Sec. 68.115.
    Crude oil means any naturally occurring, unrefined petroleum liquid.
    Designated agency means the state, local, or Federal agency 
designated by the state under the provisions of Sec. 68.215(d) .
    DOT means the United States Department of Transportation.
    Environmental receptor means natural areas such as national or state 
parks, forests, or monuments; officially designated wildlife 
sanctuaries, preserves, refuges, or areas; and Federal wilderness areas, 
that could be exposed at any time to toxic concentrations, radiant heat, 
or overpressure greater than or equal to the endpoints provided in 
Sec. 68.22(a) , as a result of an accidental release and that can be 
identified on local U. S. Geological Survey maps.
    Field gas means gas extracted from a production well before the gas 
enters a natural gas processing plant.
    Hot work means work involving electric or gas welding, cutting, 
brazing, or similar flame or spark-producing operations.
    Implementing agency means the state or local agency that obtains 
delegation for an accidental release prevention program under subpart E, 
40 CFR part 63. The implementing agency may, but is not required to, be 
the state or local air permitting agency. If no state or local agency is 
granted delegation, EPA will be the implementing agency for that state.
    Injury means any effect on a human that results either from direct 
exposure to toxic concentrations; radiant heat; or overpressures from 
accidental

[[Page 39]]

releases or from the direct consequences of a vapor cloud explosion 
(such as flying glass, debris, and other projectiles) from an accidental 
release and that requires medical treatment or hospitalization.
    Major change means introduction of a new process, process equipment, 
or regulated substance, an alteration of process chemistry that results 
in any change to safe operating limits, or other alteration that 
introduces a new hazard.
    Mechanical integrity means the process of ensuring that process 
equipment is fabricated from the proper materials of construction and is 
properly installed, maintained, and replaced to prevent failures and 
accidental releases.
    Medical treatment means treatment, other than first aid, 
administered by a physician or registered professional personnel under 
standing orders from a physician.
    Mitigation or mitigation system means specific activities, 
technologies, or equipment designed or deployed to capture or control 
substances upon loss of containment to minimize exposure of the public 
or the environment. Passive mitigation means equipment, devices, or 
technologies that function without human, mechanical, or other energy 
input. Active mitigation means equipment, devices, or technologies that 
need human, mechanical, or other energy input to function.
    NAICS means North American Industry Classification System.
    NFPA means the National Fire Protection Association.
    Natural gas processing plant (gas plant) means any processing site 
engaged in the extraction of natural gas liquids from field gas, 
fractionation of mixed natural gas liquids to natural gas products, or 
both, classified as North American Industrial Classification System 
(NAICS) code 211112 (previously Standard Industrial Classification (SIC) 
code 1321).
    Offsite means areas beyond the property boundary of the stationary 
source, and areas within the property boundary to which the public has 
routine and unrestricted access during or outside business hours.
    OSHA means the U.S. Occupational Safety and Health Administration. 
Owner or operator means any person who owns, leases, operates, controls, 
or supervises a stationary source.
    Petroleum refining process unit means a process unit used in an 
establishment primarily engaged in petroleum refining as defined in 
NAICS code 32411 for petroleum refining (formerly SIC code 2911) and 
used for the following: Producing transportation fuels (such as 
gasoline, diesel fuels, and jet fuels), heating fuels (such as kerosene, 
fuel gas distillate, and fuel oils), or lubricants; Separating 
petroleum; or Separating, cracking, reacting, or reforming intermediate 
petroleum streams. Examples of such units include, but are not limited 
to, petroleum based solvent units, alkylation units, catalytic 
hydrotreating, catalytic hydrorefining, catalytic hydrocracking, 
catalytic reforming, catalytic cracking, crude distillation, lube oil 
processing, hydrogen production, isomerization, polymerization, thermal 
processes, and blending, sweetening, and treating processes. Petroleum 
refining process units include sulfur plants.
    Population means the public.
    Process means any activity involving a regulated substance including 
any use, storage, manufacturing, handling, or on-site movement of such 
substances, or combination of these activities. For the purposes of this 
definition, any group of vessels that are interconnected, or separate 
vessels that are located such that a regulated substance could be 
involved in a potential release, shall be considered a single process.
    Produced water means water extracted from the earth from an oil or 
natural gas production well, or that is separated from oil or natural 
gas after extraction.
    Public means any person except employees or contractors at the 
stationary source.
    Public receptor means offsite residences, institutions (e.g., 
schools, hospitals), industrial, commercial, and office buildings, 
parks, or recreational areas inhabited or occupied by the public at any 
time without restriction by the stationary source where members of the 
public could be exposed to toxic

[[Page 40]]

concentrations, radiant heat, or overpressure, as a result of an 
accidental release.
    Regulated substance is any substance listed pursuant to section 
112(r)(3) of the Clean Air Act as amended, in Sec. 68.130.
    Replacement in kind means a replacement that satisfies the design 
specifications.
    Retail facility means a stationary source at which more than one-
half of the income is obtained from direct sales to end users or at 
which more than one-half of the fuel sold, by volume, is sold through a 
cylinder exchange program.
    RMP means the risk management plan required under subpart G of this 
part.
    Stationary source means any buildings, structures, equipment, 
installations, or substance emitting stationary activities which belong 
to the same industrial group, which are located on one or more 
contiguous properties, which are under the control of the same person 
(or persons under common control), and from which an accidental release 
may occur. The term stationary source does not apply to transportation, 
including storage incident to transportation, of any regulated substance 
or any other extremely hazardous substance under the provisions of this 
part. A stationary source includes transportation containers used for 
storage not incident to transportation and transportation containers 
connected to equipment at a stationary source for loading or unloading. 
Transportation includes, but is not limited to, transportation subject 
to oversight or regulation under 49 CFR parts 192, 193, or 195, or a 
state natural gas or hazardous liquid program for which the state has in 
effect a certification to DOT under 49 U.S.C. section 60105. A 
stationary source does not include naturally occurring hydrocarbon 
reservoirs. Properties shall not be considered contiguous solely because 
of a railroad or pipeline right-of-way.
    Threshold quantity means the quantity specified for regulated 
substances pursuant to section 112(r)(5) of the Clean Air Act as 
amended, listed in Sec. 68.130 and determined to be present at a 
stationary source as specified in Sec. 68.115 of this part.
    Typical meteorological conditions means the temperature, wind speed, 
cloud cover, and atmospheric stability class, prevailing at the site 
based on data gathered at or near the site or from a local 
meteorological station.
    Vessel means any reactor, tank, drum, barrel, cylinder, vat, kettle, 
boiler, pipe, hose, or other container.
    Worst-case release means the release of the largest quantity of a 
regulated substance from a vessel or process line failure that results 
in the greatest distance to an endpoint defined in Sec. 68.22(a).

[59 FR 4493, Jan. 31, 1994, as amended at 61 FR 31717, June 20, 1996; 63 
FR 644, Jan. 6, 1998; 64 FR 979, Jan. 6, 1999; 65 FR 13250, Mar. 13, 
2000]



Sec. 68.10  Applicability.

    (a) An owner or operator of a stationary source that has more than a 
threshold quantity of a regulated substance in a process, as determined 
under Sec. 68.115, shall comply with the requirements of this part no 
later than the latest of the following dates:
    (1) June 21, 1999;
    (2) Three years after the date on which a regulated substance is 
first listed under Sec. 68.130; or
    (3) The date on which a regulated substance is first present above a 
threshold quantity in a process.
    (b) Program 1 eligibility requirements. A covered process is 
eligible for Program 1 requirements as provided in Sec. 68.12(b) if it 
meets all of the following requirements:
    (1) For the five years prior to the submission of an RMP, the 
process has not had an accidental release of a regulated substance where 
exposure to the substance, its reaction products, overpressure generated 
by an explosion involving the substance, or radiant heat generated by a 
fire involving the substance led to any of the following offsite:
    (i) Death;
    (ii) Injury; or
    (iii) Response or restoration activities for an exposure of an 
environmental receptor;
    (2) The distance to a toxic or flammable endpoint for a worst-case 
release

[[Page 41]]

assessment conducted under Subpart B and Sec. 68.25 is less than the 
distance to any public receptor, as defined in Sec. 68.30; and
    (3) Emergency response procedures have been coordinated between the 
stationary source and local emergency planning and response 
organizations.
    (c) Program 2 eligibility requirements. A covered process is subject 
to Program 2 requirements if it does not meet the eligibility 
requirements of either paragraph (b) or paragraph (d) of this section.
    (d) Program 3 eligibility requirements. A covered process is subject 
to Program 3 if the process does not meet the requirements of paragraph 
(b) of this section, and if either of the following conditions is met:
    (1) The process is in NAICS code 32211, 32411, 32511, 325181, 
325188, 325192, 325199, 325211, 325311, or 32532; or
    (2) The process is subject to the OSHA process safety management 
standard, 29 CFR 1910.119.
    (e) If at any time a covered process no longer meets the eligibility 
criteria of its Program level, the owner or operator shall comply with 
the requirements of the new Program level that applies to the process 
and update the RMP as provided in Sec. 68.190.
    (f) The provisions of this part shall not apply to an Outer 
Continental Shelf (``OCS'') source, as defined in 40 CFR 55.2.

[61 FR 31717, June 20, 1996, as amended at 63 FR 645, Jan. 6, 1998; 64 
FR 979, Jan. 6, 1999]



Sec. 68.12  General requirements.

    (a) General requirements. The owner or operator of a stationary 
source subject to this part shall submit a single RMP, as provided in 
Secs. 68.150 to 68.185. The RMP shall include a registration that 
reflects all covered processes.
    (b) Program 1 requirements. In addition to meeting the requirements 
of paragraph (a) of this section, the owner or operator of a stationary 
source with a process eligible for Program 1, as provided in 
Sec. 68.10(b), shall:
    (1) Analyze the worst-case release scenario for the process(es), as 
provided in Sec. 68.25; document that the nearest public receptor is 
beyond the distance to a toxic or flammable endpoint defined in 
Sec. 68.22(a); and submit in the RMP the worst-case release scenario as 
provided in Sec. 68.165;
    (2) Complete the five-year accident history for the process as 
provided in Sec. 68.42 of this part and submit it in the RMP as provided 
in Sec. 68.168;
    (3) Ensure that response actions have been coordinated with local 
emergency planning and response agencies; and
    (4) Certify in the RMP the following: ``Based on the criteria in 40 
CFR 68.10, the distance to the specified endpoint for the worst-case 
accidental release scenario for the following process(es) is less than 
the distance to the nearest public receptor: [list process(es)]. Within 
the past five years, the process(es) has (have) had no accidental 
release that caused offsite impacts provided in the risk management 
program rule (40 CFR 68.10(b)(1)). No additional measures are necessary 
to prevent offsite impacts from accidental releases. In the event of 
fire, explosion, or a release of a regulated substance from the 
process(es), entry within the distance to the specified endpoints may 
pose a danger to public emergency responders. Therefore, public 
emergency responders should not enter this area except as arranged with 
the emergency contact indicated in the RMP. The undersigned certifies 
that, to the best of my knowledge, information, and belief, formed after 
reasonable inquiry, the information submitted is true, accurate, and 
complete. [Signature, title, date signed].''
    (c) Program 2 requirements. In addition to meeting the requirements 
of paragraph (a) of this section, the owner or operator of a stationary 
source with a process subject to Program 2, as provided in 
Sec. 68.10(c), shall:
    (1) Develop and implement a management system as provided in 
Sec. 68.15;
    (2) Conduct a hazard assessment as provided in Secs. 68.20 through 
68.42;
    (3) Implement the Program 2 prevention steps provided in Secs. 68.48 
through 68.60 or implement the Program 3 prevention steps provided in 
Secs. 68.65 through 68.87;
    (4) Develop and implement an emergency response program as provided 
in Secs. 68.90 to 68.95; and
    (5) Submit as part of the RMP the data on prevention program 
elements

[[Page 42]]

for Program 2 processes as provided in Sec. 68.170.
    (d) Program 3 requirements. In addition to meeting the requirements 
of paragraph (a) of this section, the owner or operator of a stationary 
source with a process subject to Program 3, as provided in Sec. 68.10(d) 
shall:
    (1) Develop and implement a management system as provided in 
Sec. 68.15;
    (2) Conduct a hazard assessment as provided in Secs. 68.20 through 
68.42;
    (3) Implement the prevention requirements of Secs. 68.65 through 
68.87;
    (4) Develop and implement an emergency response program as provided 
in Secs. 68.90 to 68.95 of this part; and
    (5) Submit as part of the RMP the data on prevention program 
elements for Program 3 processes as provided in Sec. 68.175.

[61 FR 31718, June 20, 1996]



Sec. 68.15  Management.

    (a) The owner or operator of a stationary source with processes 
subject to Program 2 or Program 3 shall develop a management system to 
oversee the implementation of the risk management program elements.
    (b) The owner or operator shall assign a qualified person or 
position that has the overall responsibility for the development, 
implementation, and integration of the risk management program elements.
    (c) When responsibility for implementing individual requirements of 
this part is assigned to persons other than the person identified under 
paragraph (b) of this section, the names or positions of these people 
shall be documented and the lines of authority defined through an 
organization chart or similar document.

[61 FR 31718, June 20, 1996]



                      Subpart B--Hazard Assessment

    Source: 61 FR 31718, June 20, 1996, unless otherwise noted.



Sec. 68.20  Applicability.

    The owner or operator of a stationary source subject to this part 
shall prepare a worst-case release scenario analysis as provided in 
Sec. 68.25 of this part and complete the five-year accident history as 
provided in Sec. 68.42. The owner or operator of a Program 2 and 3 
process must comply with all sections in this subpart for these 
processes.



Sec. 68.22  Offsite consequence analysis parameters.

    (a) Endpoints. For analyses of offsite consequences, the following 
endpoints shall be used:
    (1) Toxics. The toxic endpoints provided in appendix A of this part.
    (2) Flammables. The endpoints for flammables vary according to the 
scenarios studied:
    (i) Explosion. An overpressure of 1 psi.
    (ii) Radiant heat/exposure time. A radiant heat of 5 kw/
m2 for 40 seconds.
    (iii) Lower flammability limit. A lower flammability limit as 
provided in NFPA documents or other generally recognized sources.
    (b) Wind speed/atmospheric stability class. For the worst-case 
release analysis, the owner or operator shall use a wind speed of 1.5 
meters per second and F atmospheric stability class. If the owner or 
operator can demonstrate that local meteorological data applicable to 
the stationary source show a higher minimum wind speed or less stable 
atmosphere at all times during the previous three years, these minimums 
may be used. For analysis of alternative scenarios, the owner or 
operator may use the typical meteorological conditions for the 
stationary source.
    (c) Ambient temperature/humidity. For worst-case release analysis of 
a regulated toxic substance, the owner or operator shall use the highest 
daily maximum temperature in the previous three years and average 
humidity for the site, based on temperature/humidity data gathered at 
the stationary source or at a local meteorological station; an owner or 
operator using the RMP Offsite Consequence Analysis Guidance may use 25 
deg.C and 50 percent humidity as values for these variables. For 
analysis of alternative scenarios, the owner or operator may use typical 
temperature/humidity data gathered at the stationary source or at a 
local meteorological station.
    (d) Height of release. The worst-case release of a regulated toxic 
substance

[[Page 43]]

shall be analyzed assuming a ground level (0 feet) release. For an 
alternative scenario analysis of a regulated toxic substance, release 
height may be determined by the release scenario.
    (e) Surface roughness. The owner or operator shall use either urban 
or rural topography, as appropriate. Urban means that there are many 
obstacles in the immediate area; obstacles include buildings or trees. 
Rural means there are no buildings in the immediate area and the terrain 
is generally flat and unobstructed.
    (f) Dense or neutrally buoyant gases. The owner or operator shall 
ensure that tables or models used for dispersion analysis of regulated 
toxic substances appropriately account for gas density.
    (g) Temperature of released substance. For worst case, liquids other 
than gases liquified by refrigeration only shall be considered to be 
released at the highest daily maximum temperature, based on data for the 
previous three years appropriate for the stationary source, or at 
process temperature, whichever is higher. For alternative scenarios, 
substances may be considered to be released at a process or ambient 
temperature that is appropriate for the scenario.



Sec. 68.25  Worst-case release scenario analysis.

    (a) The owner or operator shall analyze and report in the RMP:
    (1) For Program 1 processes, one worst-case release scenario for 
each Program 1 process;
    (2) For Program 2 and 3 processes:
    (i) One worst-case release scenario that is estimated to create the 
greatest distance in any direction to an endpoint provided in appendix A 
of this part resulting from an accidental release of regulated toxic 
substances from covered processes under worst-case conditions defined in 
Sec. 68.22;
    (ii) One worst-case release scenario that is estimated to create the 
greatest distance in any direction to an endpoint defined in 
Sec. 68.22(a) resulting from an accidental release of regulated 
flammable substances from covered processes under worst-case conditions 
defined in Sec. 68.22; and
    (iii) Additional worst-case release scenarios for a hazard class if 
a worst-case release from another covered process at the stationary 
source potentially affects public receptors different from those 
potentially affected by the worst-case release scenario developed under 
paragraphs (a)(2)(i) or (a)(2)(ii) of this section.
    (b) Determination of worst-case release quantity. The worst-case 
release quantity shall be the greater of the following:
    (1) For substances in a vessel, the greatest amount held in a single 
vessel, taking into account administrative controls that limit the 
maximum quantity; or
    (2) For substances in pipes, the greatest amount in a pipe, taking 
into account administrative controls that limit the maximum quantity.
    (c) Worst-case release scenario--toxic gases. (1) For regulated 
toxic substances that are normally gases at ambient temperature and 
handled as a gas or as a liquid under pressure, the owner or operator 
shall assume that the quantity in the vessel or pipe, as determined 
under paragraph (b) of this section, is released as a gas over 10 
minutes. The release rate shall be assumed to be the total quantity 
divided by 10 unless passive mitigation systems are in place.
    (2) For gases handled as refrigerated liquids at ambient pressure:
    (i) If the released substance is not contained by passive mitigation 
systems or if the contained pool would have a depth of 1 cm or less, the 
owner or operator shall assume that the substance is released as a gas 
in 10 minutes;
    (ii) If the released substance is contained by passive mitigation 
systems in a pool with a depth greater than 1 cm, the owner or operator 
may assume that the quantity in the vessel or pipe, as determined under 
paragraph (b) of this section, is spilled instantaneously to form a 
liquid pool. The volatilization rate (release rate) shall be calculated 
at the boiling point of the substance and at the conditions specified in 
paragraph (d) of this section.
    (d) Worst-case release scenario--toxic liquids. (1) For regulated 
toxic substances that are normally liquids at

[[Page 44]]

ambient temperature, the owner or operator shall assume that the 
quantity in the vessel or pipe, as determined under paragraph (b) of 
this section, is spilled instantaneously to form a liquid pool.
    (i) The surface area of the pool shall be determined by assuming 
that the liquid spreads to 1 centimeter deep unless passive mitigation 
systems are in place that serve to contain the spill and limit the 
surface area. Where passive mitigation is in place, the surface area of 
the contained liquid shall be used to calculate the volatilization rate.
    (ii) If the release would occur onto a surface that is not paved or 
smooth, the owner or operator may take into account the actual surface 
characteristics.
    (2) The volatilization rate shall account for the highest daily 
maximum temperature occurring in the past three years, the temperature 
of the substance in the vessel, and the concentration of the substance 
if the liquid spilled is a mixture or solution.
    (3) The rate of release to air shall be determined from the 
volatilization rate of the liquid pool. The owner or operator may use 
the methodology in the RMP Offsite Consequence Analysis Guidance or any 
other publicly available techniques that account for the modeling 
conditions and are recognized by industry as applicable as part of 
current practices. Proprietary models that account for the modeling 
conditions may be used provided the owner or operator allows the 
implementing agency access to the model and describes model features and 
differences from publicly available models to local emergency planners 
upon request.
    (e) Worst-case release scenario--flammable gases. The owner or 
operator shall assume that the quantity of the substance, as determined 
under paragraph (b) of this section and the provisions below, vaporizes 
resulting in a vapor cloud explosion. A yield factor of 10 percent of 
the available energy released in the explosion shall be used to 
determine the distance to the explosion endpoint if the model used is 
based on TNT equivalent methods.
    (1) For regulated flammable substances that are normally gases at 
ambient temperature and handled as a gas or as a liquid under pressure, 
the owner or operator shall assume that the quantity in the vessel or 
pipe, as determined under paragraph (b) of this section, is released as 
a gas over 10 minutes. The total quantity shall be assumed to be 
involved in the vapor cloud explosion.
    (2) For flammable gases handled as refrigerated liquids at ambient 
pressure:
    (i) If the released substance is not contained by passive mitigation 
systems or if the contained pool would have a depth of one centimeter or 
less, the owner or operator shall assume that the total quantity of the 
substance is released as a gas in 10 minutes, and the total quantity 
will be involved in the vapor cloud explosion.
    (ii) If the released substance is contained by passive mitigation 
systems in a pool with a depth greater than 1 centimeter, the owner or 
operator may assume that the quantity in the vessel or pipe, as 
determined under paragraph (b) of this section, is spilled 
instantaneously to form a liquid pool. The volatilization rate (release 
rate) shall be calculated at the boiling point of the substance and at 
the conditions specified in paragraph (d) of this section. The owner or 
operator shall assume that the quantity which becomes vapor in the first 
10 minutes is involved in the vapor cloud explosion.
    (f) Worst-case release scenario--flammable liquids. The owner or 
operator shall assume that the quantity of the substance, as determined 
under paragraph (b) of this section and the provisions below, vaporizes 
resulting in a vapor cloud explosion. A yield factor of 10 percent of 
the available energy released in the explosion shall be used to 
determine the distance to the explosion endpoint if the model used is 
based on TNT equivalent methods.
    (1) For regulated flammable substances that are normally liquids at 
ambient temperature, the owner or operator shall assume that the entire 
quantity in the vessel or pipe, as determined under paragraph (b) of 
this section, is spilled instantaneously to form a liquid pool. For 
liquids at temperatures below their atmospheric boiling point, the 
volatilization rate shall be

[[Page 45]]

calculated at the conditions specified in paragraph (d) of this section.
    (2) The owner or operator shall assume that the quantity which 
becomes vapor in the first 10 minutes is involved in the vapor cloud 
explosion.
    (g) Parameters to be applied. The owner or operator shall use the 
parameters defined in Sec. 68.22 to determine distance to the endpoints. 
The owner or operator may use the methodology provided in the RMP 
Offsite Consequence Analysis Guidance or any commercially or publicly 
available air dispersion modeling techniques, provided the techniques 
account for the modeling conditions and are recognized by industry as 
applicable as part of current practices. Proprietary models that account 
for the modeling conditions may be used provided the owner or operator 
allows the implementing agency access to the model and describes model 
features and differences from publicly available models to local 
emergency planners upon request.
    (h) Consideration of passive mitigation. Passive mitigation systems 
may be considered for the analysis of worst case provided that the 
mitigation system is capable of withstanding the release event 
triggering the scenario and would still function as intended.
    (i) Factors in selecting a worst-case scenario. Notwithstanding the 
provisions of paragraph (b) of this section, the owner or operator shall 
select as the worst case for flammable regulated substances or the worst 
case for regulated toxic substances, a scenario based on the following 
factors if such a scenario would result in a greater distance to an 
endpoint defined in Sec. 68.22(a) beyond the stationary source boundary 
than the scenario provided under paragraph (b) of this section:
    (1) Smaller quantities handled at higher process temperature or 
pressure; and
    (2) Proximity to the boundary of the stationary source.

[61 FR 31718, June 20, 1996, as amended at 64 FR 28700, May 26, 1999]



Sec. 68.28  Alternative release scenario analysis.

    (a) The number of scenarios. The owner or operator shall identify 
and analyze at least one alternative release scenario for each regulated 
toxic substance held in a covered process(es) and at least one 
alternative release scenario to represent all flammable substances held 
in covered processes.
    (b) Scenarios to consider. (1) For each scenario required under 
paragraph (a) of this section, the owner or operator shall select a 
scenario:
    (i) That is more likely to occur than the worst-case release 
scenario under Sec. 68.25; and
    (ii) That will reach an endpoint offsite, unless no such scenario 
exists.
    (2) Release scenarios considered should include, but are not limited 
to, the following, where applicable:
    (i) Transfer hose releases due to splits or sudden hose uncoupling;
    (ii) Process piping releases from failures at flanges, joints, 
welds, valves and valve seals, and drains or bleeds;
    (iii) Process vessel or pump releases due to cracks, seal failure, 
or drain, bleed, or plug failure;
    (iv) Vessel overfilling and spill, or overpressurization and venting 
through relief valves or rupture disks; and
    (v) Shipping container mishandling and breakage or puncturing 
leading to a spill.
    (c) Parameters to be applied. The owner or operator shall use the 
appropriate parameters defined in Sec. 68.22 to determine distance to 
the endpoints. The owner or operator may use either the methodology 
provided in the RMP Offsite Consequence Analysis Guidance or any 
commercially or publicly available air dispersion modeling techniques, 
provided the techniques account for the specified modeling conditions 
and are recognized by industry as applicable as part of current 
practices. Proprietary models that account for the modeling conditions 
may be used provided the owner or operator allows the implementing 
agency access to the model and describes model features and differences 
from publicly available models to local emergency planners upon request.
    (d) Consideration of mitigation. Active and passive mitigation 
systems may be considered provided they are capable of withstanding the 
event that triggered the release and would still be functional.

[[Page 46]]

    (e) Factors in selecting scenarios. The owner or operator shall 
consider the following in selecting alternative release scenarios:
    (1) The five-year accident history provided in Sec. 68.42; and
    (2) Failure scenarios identified under Sec. 68.50 or Sec. 68.67.



Sec. 68.30  Defining offsite impacts--population.

    (a) The owner or operator shall estimate in the RMP the population 
within a circle with its center at the point of the release and a radius 
determined by the distance to the endpoint defined in Sec. 68.22(a).
    (b) Population to be defined. Population shall include residential 
population. The presence of institutions (schools, hospitals, prisons), 
parks and recreational areas, and major commercial, office, and 
industrial buildings shall be noted in the RMP.
    (c) Data sources acceptable. The owner or operator may use the most 
recent Census data, or other updated information, to estimate the 
population potentially affected.
    (d) Level of accuracy. Population shall be estimated to two 
significant digits.



Sec. 68.33  Defining offsite impacts--environment.

    (a) The owner or operator shall list in the RMP environmental 
receptors within a circle with its center at the point of the release 
and a radius determined by the distance to the endpoint defined in 
Sec. 68.22(a) of this part.
    (b) Data sources acceptable. The owner or operator may rely on 
information provided on local U.S. Geological Survey maps or on any data 
source containing U.S.G.S. data to identify environmental receptors.



68.36  Review and update.

    (a) The owner or operator shall review and update the offsite 
consequence analyses at least once every five years.
    (b) If changes in processes, quantities stored or handled, or any 
other aspect of the stationary source might reasonably be expected to 
increase or decrease the distance to the endpoint by a factor of two or 
more, the owner or operator shall complete a revised analysis within six 
months of the change and submit a revised risk management plan as 
provided in Sec. 68.190.



Sec. 68.39  Documentation.

    The owner or operator shall maintain the following records on the 
offsite consequence analyses:
    (a) For worst-case scenarios, a description of the vessel or 
pipeline and substance selected as worst case, assumptions and 
parameters used, and the rationale for selection; assumptions shall 
include use of any administrative controls and any passive mitigation 
that were assumed to limit the quantity that could be released. 
Documentation shall include the anticipated effect of the controls and 
mitigation on the release quantity and rate.
    (b) For alternative release scenarios, a description of the 
scenarios identified, assumptions and parameters used, and the rationale 
for the selection of specific scenarios; assumptions shall include use 
of any administrative controls and any mitigation that were assumed to 
limit the quantity that could be released. Documentation shall include 
the effect of the controls and mitigation on the release quantity and 
rate.
    (c) Documentation of estimated quantity released, release rate, and 
duration of release.
    (d) Methodology used to determine distance to endpoints.
    (e) Data used to estimate population and environmental receptors 
potentially affected.



Sec. 68.42  Five-year accident history.

    (a) The owner or operator shall include in the five-year accident 
history all accidental releases from covered processes that resulted in 
deaths, injuries, or significant property damage on site, or known 
offsite deaths, injuries, evacuations, sheltering in place, property 
damage, or environmental damage.
    (b) Data required. For each accidental release included, the owner 
or operator shall report the following information:
    (1) Date, time, and approximate duration of the release;
    (2) Chemical(s) released;
    (3) Estimated quantity released in pounds and, for mixtures 
containing

[[Page 47]]

regulated toxic substances, percentage concentration by weight of the 
released regulated toxic substance in the liquid mixture;
    (4) Five- or six-digit NAICS code that most closely corresponds to 
the process;
    (5) The type of release event and its source;
    (6) Weather conditions, if known;
    (7) On-site impacts;
    (8) Known offsite impacts;
    (9) Initiating event and contributing factors if known;
    (10) Whether offsite responders were notified if known; and
    (11) Operational or process changes that resulted from investigation 
of the release.
    (c) Level of accuracy. Numerical estimates may be provided to two 
significant digits.

[61 FR 31718, June 20, 1996, as amended at 64 FR 979, Jan. 6, 1999]



                 Subpart C--Program 2 Prevention Program

    Source: 61 FR 31721, June 20, 1996, unless otherwise noted.



Sec. 68.48  Safety information.

    (a) The owner or operator shall compile and maintain the following 
up-to-date safety information related to the regulated substances, 
processes, and equipment:
    (1) Material Safety Data Sheets that meet the requirements of 29 CFR 
1910.1200(g);
    (2) Maximum intended inventory of equipment in which the regulated 
substances are stored or processed;
    (3) Safe upper and lower temperatures, pressures, flows, and 
compositions;
    (4) Equipment specifications; and
    (5) Codes and standards used to design, build, and operate the 
process.
    (b) The owner or operator shall ensure that the process is designed 
in compliance with recognized and generally accepted good engineering 
practices. Compliance with Federal or state regulations that address 
industry-specific safe design or with industry-specific design codes and 
standards may be used to demonstrate compliance with this paragraph.
    (c) The owner or operator shall update the safety information if a 
major change occurs that makes the information inaccurate.



Sec. 68.50  Hazard review.

    (a) The owner or operator shall conduct a review of the hazards 
associated with the regulated substances, process, and procedures. The 
review shall identify the following:
    (1) The hazards associated with the process and regulated 
substances;
    (2) Opportunities for equipment malfunctions or human errors that 
could cause an accidental release;
    (3) The safeguards used or needed to control the hazards or prevent 
equipment malfunction or human error; and
    (4) Any steps used or needed to detect or monitor releases.
    (b) The owner or operator may use checklists developed by persons or 
organizations knowledgeable about the process and equipment as a guide 
to conducting the review. For processes designed to meet industry 
standards or Federal or state design rules, the hazard review shall, by 
inspecting all equipment, determine whether the process is designed, 
fabricated, and operated in accordance with the applicable standards or 
rules.
    (c) The owner or operator shall document the results of the review 
and ensure that problems identified are resolved in a timely manner.
    (d) The review shall be updated at least once every five years. The 
owner or operator shall also conduct reviews whenever a major change in 
the process occurs; all issues identified in the review shall be 
resolved before startup of the changed process.



Sec. 68.52  Operating procedures.

    (a) The owner or operator shall prepare written operating procedures 
that provide clear instructions or steps for safely conducting 
activities associated with each covered process consistent with the 
safety information for that process. Operating procedures or 
instructions provided by equipment manufacturers or developed by persons 
or organizations knowledgeable about the process and equipment may be 
used as

[[Page 48]]

a basis for a stationary source's operating procedures.
    (b) The procedures shall address the following:
    (1) Initial startup;
    (2) Normal operations;
    (3) Temporary operations;
    (4) Emergency shutdown and operations;
    (5) Normal shutdown;
    (6) Startup following a normal or emergency shutdown or a major 
change that requires a hazard review;
    (7) Consequences of deviations and steps required to correct or 
avoid deviations; and
    (8) Equipment inspections.
    (c) The owner or operator shall ensure that the operating procedures 
are updated, if necessary, whenever a major change occurs and prior to 
startup of the changed process.



Sec. 68.54  Training.

    (a) The owner or operator shall ensure that each employee presently 
operating a process, and each employee newly assigned to a covered 
process have been trained or tested competent in the operating 
procedures provided in Sec. 68.52 that pertain to their duties. For 
those employees already operating a process on June 21, 1999, the owner 
or operator may certify in writing that the employee has the required 
knowledge, skills, and abilities to safely carry out the duties and 
responsibilities as provided in the operating procedures.
    (b) Refresher training. Refresher training shall be provided at 
least every three years, and more often if necessary, to each employee 
operating a process to ensure that the employee understands and adheres 
to the current operating procedures of the process. The owner or 
operator, in consultation with the employees operating the process, 
shall determine the appropriate frequency of refresher training.
    (c) The owner or operator may use training conducted under Federal 
or state regulations or under industry-specific standards or codes or 
training conducted by covered process equipment vendors to demonstrate 
compliance with this section to the extent that the training meets the 
requirements of this section.
    (d) The owner or operator shall ensure that operators are trained in 
any updated or new procedures prior to startup of a process after a 
major change.



Sec. 68.56  Maintenance.

    (a) The owner or operator shall prepare and implement procedures to 
maintain the on-going mechanical integrity of the process equipment. The 
owner or operator may use procedures or instructions provided by covered 
process equipment vendors or procedures in Federal or state regulations 
or industry codes as the basis for stationary source maintenance 
procedures.
    (b) The owner or operator shall train or cause to be trained each 
employee involved in maintaining the on-going mechanical integrity of 
the process. To ensure that the employee can perform the job tasks in a 
safe manner, each such employee shall be trained in the hazards of the 
process, in how to avoid or correct unsafe conditions, and in the 
procedures applicable to the employee's job tasks.
    (c) Any maintenance contractor shall ensure that each contract 
maintenance employee is trained to perform the maintenance procedures 
developed under paragraph (a) of this section.
    (d) The owner or operator shall perform or cause to be performed 
inspections and tests on process equipment. Inspection and testing 
procedures shall follow recognized and generally accepted good 
engineering practices. The frequency of inspections and tests of process 
equipment shall be consistent with applicable manufacturers' 
recommendations, industry standards or codes, good engineering 
practices, and prior operating experience.



Sec. 68.58  Compliance audits.

    (a) The owner or operator shall certify that they have evaluated 
compliance with the provisions of this subpart at least every three 
years to verify that the procedures and practices developed under the 
rule are adequate and are being followed.
    (b) The compliance audit shall be conducted by at least one person 
knowledgeable in the process.

[[Page 49]]

    (c) The owner or operator shall develop a report of the audit 
findings.
    (d) The owner or operator shall promptly determine and document an 
appropriate response to each of the findings of the compliance audit and 
document that deficiencies have been corrected.
    (e) The owner or operator shall retain the two (2) most recent 
compliance audit reports. This requirement does not apply to any 
compliance audit report that is more than five years old.



Sec. 68.60  Incident investigation.

    (a) The owner or operator shall investigate each incident which 
resulted in, or could reasonably have resulted in a catastrophic 
release.
    (b) An incident investigation shall be initiated as promptly as 
possible, but not later than 48 hours following the incident.
    (c) A summary shall be prepared at the conclusion of the 
investigation which includes at a minimum:
    (1) Date of incident;
    (2) Date investigation began;
    (3) A description of the incident;
    (4) The factors that contributed to the incident; and,
    (5) Any recommendations resulting from the investigation.
    (d) The owner or operator shall promptly address and resolve the 
investigation findings and recommendations. Resolutions and corrective 
actions shall be documented.
    (e) The findings shall be reviewed with all affected personnel whose 
job tasks are affected by the findings.
    (f) Investigation summaries shall be retained for five years.



                 Subpart D--Program 3 Prevention Program

    Source: 61 FR 31722, June 20, 1996, unless otherwise noted.



Sec. 68.65  Process safety information.

    (a) In accordance with the schedule set forth in Sec. 68.67, the 
owner or operator shall complete a compilation of written process safety 
information before conducting any process hazard analysis required by 
the rule. The compilation of written process safety information is to 
enable the owner or operator and the employees involved in operating the 
process to identify and understand the hazards posed by those processes 
involving regulated substances. This process safety information shall 
include information pertaining to the hazards of the regulated 
substances used or produced by the process, information pertaining to 
the technology of the process, and information pertaining to the 
equipment in the process.
    (b) Information pertaining to the hazards of the regulated 
substances in the process. This information shall consist of at least 
the following:
    (1) Toxicity information;
    (2) Permissible exposure limits;
    (3) Physical data;
    (4) Reactivity data:
    (5) Corrosivity data;
    (6) Thermal and chemical stability data; and
    (7) Hazardous effects of inadvertent mixing of different materials 
that could foreseeably occur.
    Note to paragraph (b):
    Material Safety Data Sheets meeting the requirements of 29 CFR 
1910.1200(g) may be used to comply with this requirement to the extent 
they contain the information required by this subparagraph.
    (c) Information pertaining to the technology of the process.
    (1) Information concerning the technology of the process shall 
include at least the following:
    (i) A block flow diagram or simplified process flow diagram;
    (ii) Process chemistry;
    (iii) Maximum intended inventory;
    (iv) Safe upper and lower limits for such items as temperatures, 
pressures, flows or compositions; and,
    (v) An evaluation of the consequences of deviations.
    (2) Where the original technical information no longer exists, such 
information may be developed in conjunction with the process hazard 
analysis in sufficient detail to support the analysis.
    (d) Information pertaining to the equipment in the process.
    (1) Information pertaining to the equipment in the process shall 
include:
    (i) Materials of construction;
    (ii) Piping and instrument diagrams (P&ID's);
    (iii) Electrical classification;

[[Page 50]]

    (iv) Relief system design and design basis;
    (v) Ventilation system design;
    (vi) Design codes and standards employed;
    (vii) Material and energy balances for processes built after June 
21, 1999; and
    (viii) Safety systems (e.g. interlocks, detection or suppression 
systems).
    (2) The owner or operator shall document that equipment complies 
with recognized and generally accepted good engineering practices.
    (3) For existing equipment designed and constructed in accordance 
with codes, standards, or practices that are no longer in general use, 
the owner or operator shall determine and document that the equipment is 
designed, maintained, inspected, tested, and operating in a safe manner.



Sec. 68.67  Process hazard analysis.

    (a) The owner or operator shall perform an initial process hazard 
analysis (hazard evaluation) on processes covered by this part. The 
process hazard analysis shall be appropriate to the complexity of the 
process and shall identify, evaluate, and control the hazards involved 
in the process. The owner or operator shall determine and document the 
priority order for conducting process hazard analyses based on a 
rationale which includes such considerations as extent of the process 
hazards, number of potentially affected employees, age of the process, 
and operating history of the process. The process hazard analysis shall 
be conducted as soon as possible, but not later than June 21, 1999. 
Process hazards analyses completed to comply with 29 CFR 1910.119(e) are 
acceptable as initial process hazards analyses. These process hazard 
analyses shall be updated and revalidated, based on their completion 
date.
    (b) The owner or operator shall use one or more of the following 
methodologies that are appropriate to determine and evaluate the hazards 
of the process being analyzed.
    (1) What-If;
    (2) Checklist;
    (3) What-If/Checklist;
    (4) Hazard and Operability Study (HAZOP);
    (5) Failure Mode and Effects Analysis (FMEA);
    (6) Fault Tree Analysis; or
    (7) An appropriate equivalent methodology.
    (c) The process hazard analysis shall address:
    (1) The hazards of the process;
    (2) The identification of any previous incident which had a likely 
potential for catastrophic consequences.
    (3) Engineering and administrative controls applicable to the 
hazards and their interrelationships such as appropriate application of 
detection methodologies to provide early warning of releases. 
(Acceptable detection methods might include process monitoring and 
control instrumentation with alarms, and detection hardware such as 
hydrocarbon sensors.);
    (4) Consequences of failure of engineering and administrative 
controls;
    (5) Stationary source siting;
    (6) Human factors; and
    (7) A qualitative evaluation of a range of the possible safety and 
health effects of failure of controls.
    (d) The process hazard analysis shall be performed by a team with 
expertise in engineering and process operations, and the team shall 
include at least one employee who has experience and knowledge specific 
to the process being evaluated. Also, one member of the team must be 
knowledgeable in the specific process hazard analysis methodology being 
used.
    (e) The owner or operator shall establish a system to promptly 
address the team's findings and recommendations; assure that the 
recommendations are resolved in a timely manner and that the resolution 
is documented; document what actions are to be taken; complete actions 
as soon as possible; develop a written schedule of when these actions 
are to be completed; communicate the actions to operating, maintenance 
and other employees whose work assignments are in the process and who 
may be affected by the recommendations or actions.
    (f) At least every five (5) years after the completion of the 
initial process hazard analysis, the process hazard analysis shall be 
updated and revalidated by a team meeting the requirements in paragraph 
(d) of this section,

[[Page 51]]

to assure that the process hazard analysis is consistent with the 
current process. Updated and revalidated process hazard analyses 
completed to comply with 29 CFR 1910.119(e) are acceptable to meet the 
requirements of this paragraph.
    (g) The owner or operator shall retain process hazards analyses and 
updates or revalidations for each process covered by this section, as 
well as the documented resolution of recommendations described in 
paragraph (e) of this section for the life of the process.



Sec. 68.69  Operating procedures.

    (a) The owner or operator shall develop and implement written 
operating procedures that provide clear instructions for safely 
conducting activities involved in each covered process consistent with 
the process safety information and shall address at least the following 
elements.
    (1) Steps for each operating phase:
    (i) Initial startup;
    (ii) Normal operations;
    (iii) Temporary operations;
    (iv) Emergency shutdown including the conditions under which 
emergency shutdown is required, and the assignment of shutdown 
responsibility to qualified operators to ensure that emergency shutdown 
is executed in a safe and timely manner.
    (v) Emergency operations;
    (vi) Normal shutdown; and,
    (vii) Startup following a turnaround, or after an emergency 
shutdown.
    (2) Operating limits:
    (i) Consequences of deviation; and
    (ii) Steps required to correct or avoid deviation.
    (3) Safety and health considerations:
    (i) Properties of, and hazards presented by, the chemicals used in 
the process;
    (ii) Precautions necessary to prevent exposure, including 
engineering controls, administrative controls, and personal protective 
equipment;
    (iii) Control measures to be taken if physical contact or airborne 
exposure occurs;
    (iv) Quality control for raw materials and control of hazardous 
chemical inventory levels; and,
    (v) Any special or unique hazards.
    (4) Safety systems and their functions.
    (b) Operating procedures shall be readily accessible to employees 
who work in or maintain a process.
    (c) The operating procedures shall be reviewed as often as necessary 
to assure that they reflect current operating practice, including 
changes that result from changes in process chemicals, technology, and 
equipment, and changes to stationary sources. The owner or operator 
shall certify annually that these operating procedures are current and 
accurate.
    (d) The owner or operator shall develop and implement safe work 
practices to provide for the control of hazards during operations such 
as lockout/tagout; confined space entry; opening process equipment or 
piping; and control over entrance into a stationary source by 
maintenance, contractor, laboratory, or other support personnel. These 
safe work practices shall apply to employees and contractor employees.



Sec. 68.71  Training.

    (a) Initial training. (1) Each employee presently involved in 
operating a process, and each employee before being involved in 
operating a newly assigned process, shall be trained in an overview of 
the process and in the operating procedures as specified in Sec. 68.69. 
The training shall include emphasis on the specific safety and health 
hazards, emergency operations including shutdown, and safe work 
practices applicable to the employee's job tasks.
    (2) In lieu of initial training for those employees already involved 
in operating a process on June 21, 1999 an owner or operator may certify 
in writing that the employee has the required knowledge, skills, and 
abilities to safely carry out the duties and responsibilities as 
specified in the operating procedures.
    (b) Refresher training. Refresher training shall be provided at 
least every three years, and more often if necessary, to each employee 
involved in operating a process to assure that the employee understands 
and adheres to the current operating procedures of the process. The 
owner or operator, in consultation with the employees involved

[[Page 52]]

in operating the process, shall determine the appropriate frequency of 
refresher training.
    (c) Training documentation. The owner or operator shall ascertain 
that each employee involved in operating a process has received and 
understood the training required by this paragraph. The owner or 
operator shall prepare a record which contains the identity of the 
employee, the date of training, and the means used to verify that the 
employee understood the training.



Sec. 68.73  Mechanical integrity.

    (a) Application. Paragraphs (b) through (f) of this section apply to 
the following process equipment:
    (1) Pressure vessels and storage tanks;
    (2) Piping systems (including piping components such as valves);
    (3) Relief and vent systems and devices;
    (4) Emergency shutdown systems;
    (5) Controls (including monitoring devices and sensors, alarms, and 
interlocks) and,
    (6) Pumps.
    (b) Written procedures. The owner or operator shall establish and 
implement written procedures to maintain the on-going integrity of 
process equipment.
    (c) Training for process maintenance activities. The owner or 
operator shall train each employee involved in maintaining the on-going 
integrity of process equipment in an overview of that process and its 
hazards and in the procedures applicable to the employee's job tasks to 
assure that the employee can perform the job tasks in a safe manner.
    (d) Inspection and testing. (1) Inspections and tests shall be 
performed on process equipment.
    (2) Inspection and testing procedures shall follow recognized and 
generally accepted good engineering practices.
    (3) The frequency of inspections and tests of process equipment 
shall be consistent with applicable manufacturers' recommendations and 
good engineering practices, and more frequently if determined to be 
necessary by prior operating experience.
    (4) The owner or operator shall document each inspection and test 
that has been performed on process equipment. The documentation shall 
identify the date of the inspection or test, the name of the person who 
performed the inspection or test, the serial number or other identifier 
of the equipment on which the inspection or test was performed, a 
description of the inspection or test performed, and the results of the 
inspection or test.
    (e) Equipment deficiencies. The owner or operator shall correct 
deficiencies in equipment that are outside acceptable limits (defined by 
the process safety information in Sec. 68.65) before further use or in a 
safe and timely manner when necessary means are taken to assure safe 
operation.
    (f) Quality assurance. (1) In the construction of new plants and 
equipment, the owner or operator shall assure that equipment as it is 
fabricated is suitable for the process application for which they will 
be used.
    (2) Appropriate checks and inspections shall be performed to assure 
that equipment is installed properly and consistent with design 
specifications and the manufacturer's instructions.
    (3) The owner or operator shall assure that maintenance materials, 
spare parts and equipment are suitable for the process application for 
which they will be used.



Sec. 68.75  Management of change.

    (a) The owner or operator shall establish and implement written 
procedures to manage changes (except for ``replacements in kind'') to 
process chemicals, technology, equipment, and procedures; and, changes 
to stationary sources that affect a covered process.
    (b) The procedures shall assure that the following considerations 
are addressed prior to any change:
    (1) The technical basis for the proposed change;
    (2) Impact of change on safety and health;
    (3) Modifications to operating procedures;
    (4) Necessary time period for the change; and,
    (5) Authorization requirements for the proposed change.
    (c) Employees involved in operating a process and maintenance and 
contract employees whose job tasks will be affected by a change in the 
process shall

[[Page 53]]

be informed of, and trained in, the change prior to start-up of the 
process or affected part of the process.
    (d) If a change covered by this paragraph results in a change in the 
process safety information required by Sec. 68.65 of this part, such 
information shall be updated accordingly.
    (e) If a change covered by this paragraph results in a change in the 
operating procedures or practices required by Sec. 68.69, such 
procedures or practices shall be updated accordingly.



Sec. 68.77  Pre-startup review.

    (a) The owner or operator shall perform a pre-startup safety review 
for new stationary sources and for modified stationary sources when the 
modification is significant enough to require a change in the process 
safety information.
    (b) The pre-startup safety review shall confirm that prior to the 
introduction of regulated substances to a process:
    (1) Construction and equipment is in accordance with design 
specifications;
    (2) Safety, operating, maintenance, and emergency procedures are in 
place and are adequate;
    (3) For new stationary sources, a process hazard analysis has been 
performed and recommendations have been resolved or implemented before 
startup; and modified stationary sources meet the requirements contained 
in management of change, Sec. 68.75.
    (4) Training of each employee involved in operating a process has 
been completed.



Sec. 68.79  Compliance audits.

    (a) The owner or operator shall certify that they have evaluated 
compliance with the provisions of this subpart at least every three 
years to verify that procedures and practices developed under this 
subpart are adequate and are being followed.
    (b) The compliance audit shall be conducted by at least one person 
knowledgeable in the process.
    (c) A report of the findings of the audit shall be developed.
    (d) The owner or operator shall promptly determine and document an 
appropriate response to each of the findings of the compliance audit, 
and document that deficiencies have been corrected.
    (e) The owner or operator shall retain the two (2) most recent 
compliance audit reports.

[61 FR 31722, June 20, 1996, as amended at 64 FR 979, Jan. 6, 1999]



Sec. 68.81  Incident investigation.

    (a) The owner or operator shall investigate each incident which 
resulted in, or could reasonably have resulted in a catastrophic release 
of a regulated substance.
    (b) An incident investigation shall be initiated as promptly as 
possible, but not later than 48 hours following the incident.
    (c) An incident investigation team shall be established and consist 
of at least one person knowledgeable in the process involved, including 
a contract employee if the incident involved work of the contractor, and 
other persons with appropriate knowledge and experience to thoroughly 
investigate and analyze the incident.
    (d) A report shall be prepared at the conclusion of the 
investigation which includes at a minimum:
    (1) Date of incident;
    (2) Date investigation began;
    (3) A description of the incident;
    (4) The factors that contributed to the incident; and,
    (5) Any recommendations resulting from the investigation.
    (e) The owner or operator shall establish a system to promptly 
address and resolve the incident report findings and recommendations. 
Resolutions and corrective actions shall be documented.
    (f) The report shall be reviewed with all affected personnel whose 
job tasks are relevant to the incident findings including contract 
employees where applicable.
    (g) Incident investigation reports shall be retained for five years.



Sec. 68.83  Employee participation.

    (a) The owner or operator shall develop a written plan of action 
regarding the implementation of the employee participation required by 
this section.

[[Page 54]]

    (b) The owner or operator shall consult with employees and their 
representatives on the conduct and development of process hazards 
analyses and on the development of the other elements of process safety 
management in this rule.
    (c) The owner or operator shall provide to employees and their 
representatives access to process hazard analyses and to all other 
information required to be developed under this rule.



Sec. 68.85  Hot work permit.

    (a) The owner or operator shall issue a hot work permit for hot work 
operations conducted on or near a covered process.
    (b) The permit shall document that the fire prevention and 
protection requirements in 29 CFR 1910.252(a) have been implemented 
prior to beginning the hot work operations; it shall indicate the 
date(s) authorized for hot work; and identify the object on which hot 
work is to be performed. The permit shall be kept on file until 
completion of the hot work operations.



Sec. 68.87  Contractors.

    (a) Application. This section applies to contractors performing 
maintenance or repair, turnaround, major renovation, or specialty work 
on or adjacent to a covered process. It does not apply to contractors 
providing incidental services which do not influence process safety, 
such as janitorial work, food and drink services, laundry, delivery or 
other supply services.
    (b) Owner or operator responsibilities. (1) The owner or operator, 
when selecting a contractor, shall obtain and evaluate information 
regarding the contract owner or operator's safety performance and 
programs.
    (2) The owner or operator shall inform contract owner or operator of 
the known potential fire, explosion, or toxic release hazards related to 
the contractor's work and the process.
    (3) The owner or operator shall explain to the contract owner or 
operator the applicable provisions of subpart E of this part.
    (4) The owner or operator shall develop and implement safe work 
practices consistent with Sec. 68.69(d), to control the entrance, 
presence, and exit of the contract owner or operator and contract 
employees in covered process areas.
    (5) The owner or operator shall periodically evaluate the 
performance of the contract owner or operator in fulfilling their 
obligations as specified in paragraph (c) of this section.
    (c) Contract owner or operator responsibilities. (1) The contract 
owner or operator shall assure that each contract employee is trained in 
the work practices necessary to safely perform his/her job.
    (2) The contract owner or operator shall assure that each contract 
employee is instructed in the known potential fire, explosion, or toxic 
release hazards related to his/her job and the process, and the 
applicable provisions of the emergency action plan.
    (3) The contract owner or operator shall document that each contract 
employee has received and understood the training required by this 
section. The contract owner or operator shall prepare a record which 
contains the identity of the contract employee, the date of training, 
and the means used to verify that the employee understood the training.
    (4) The contract owner or operator shall assure that each contract 
employee follows the safety rules of the stationary source including the 
safe work practices required by Sec. 68.69(d).
    (5) The contract owner or operator shall advise the owner or 
operator of any unique hazards presented by the contract owner or 
operator's work, or of any hazards found by the contract owner or 
operator's work.



                      Subpart E--Emergency Response

    Source: 61 FR 31725, June 20, 1996, unless otherwise noted.



Sec. 68.90  Applicability.

    (a) Except as provided in paragraph (b) of this section, the owner 
or operator of a stationary source with Program 2 and Program 3 
processes shall comply with the requirements of Sec. 68.95.
    (b) The owner or operator of stationary source whose employees will 
not respond to accidental releases of regulated substances need not 
comply

[[Page 55]]

with Sec. 68.95 of this part provided that they meet the following:
    (1) For stationary sources with any regulated toxic substance held 
in a process above the threshold quantity, the stationary source is 
included in the community emergency response plan developed under 42 
U.S.C. 11003;
    (2) For stationary sources with only regulated flammable substances 
held in a process above the threshold quantity, the owner or operator 
has coordinated response actions with the local fire department; and
    (3) Appropriate mechanisms are in place to notify emergency 
responders when there is a need for a response.



Sec. 68.95  Emergency response program.

    (a) The owner or operator shall develop and implement an emergency 
response program for the purpose of protecting public health and the 
environment. Such program shall include the following elements:
    (1) An emergency response plan, which shall be maintained at the 
stationary source and contain at least the following elements:
    (i) Procedures for informing the public and local emergency response 
agencies about accidental releases;
    (ii) Documentation of proper first-aid and emergency medical 
treatment necessary to treat accidental human exposures; and
    (iii) Procedures and measures for emergency response after an 
accidental release of a regulated substance;
    (2) Procedures for the use of emergency response equipment and for 
its inspection, testing, and maintenance;
    (3) Training for all employees in relevant procedures; and
    (4) Procedures to review and update, as appropriate, the emergency 
response plan to reflect changes at the stationary source and ensure 
that employees are informed of changes.
    (b) A written plan that complies with other Federal contingency plan 
regulations or is consistent with the approach in the National Response 
Team's Integrated Contingency Plan Guidance (``One Plan'') and that, 
among other matters, includes the elements provided in paragraph (a) of 
this section, shall satisfy the requirements of this section if the 
owner or operator also complies with paragraph (c) of this section.
    (c) The emergency response plan developed under paragraph (a)(1) of 
this section shall be coordinated with the community emergency response 
plan developed under 42 U.S.C. 11003. Upon request of the local 
emergency planning committee or emergency response officials, the owner 
or operator shall promptly provide to the local emergency response 
officials information necessary for developing and implementing the 
community emergency response plan.



    Subpart F--Regulated Substances for Accidental Release Prevention

    Source: 59 FR 4493, Jan. 31, 1994, unless otherwise noted. 
Redesignated at 61 FR 31717, June 20, 1996.



Sec. 68.100  Purpose.

    This subpart designates substances to be listed under section 
112(r)(3), (4), and (5) of the Clean Air Act, as amended, identifies 
their threshold quantities, and establishes the requirements for 
petitioning to add or delete substances from the list.



Sec. 68.115  Threshold determination.

    (a) A threshold quantity of a regulated substance listed in 
Sec. 68.130 is present at a stationary source if the total quantity of 
the regulated substance contained in a process exceeds the threshold.
    (b) For the purposes of determining whether more than a threshold 
quantity of a regulated substance is present at the stationary source, 
the following exemptions apply:
    (1) Concentrations of a regulated toxic substance in a mixture. If a 
regulated substance is present in a mixture and the concentration of the 
substance is below one percent by weight of the mixture, the amount of 
the substance in the mixture need not be considered when determining 
whether more than a threshold quantity is present at the stationary 
source. Except for oleum, toluene 2,4-diisocyanate, toluene 2,6-
diisocyanate, and toluene diisocyanate (unspecified isomer), if the 
concentration of the regulated substance in the mixture is one percent 
or greater by

[[Page 56]]

weight, but the owner or operator can demonstrate that the partial 
pressure of the regulated substance in the mixture (solution) under 
handling or storage conditions in any portion of the process is less 
than 10 millimeters of mercury (mm Hg), the amount of the substance in 
the mixture in that portion of the process need not be considered when 
determining whether more than a threshold quantity is present at the 
stationary source. The owner or operator shall document this partial 
pressure measurement or estimate.
    (2) Concentrations of a regulated flammable substance in a mixture. 
(i) General provision. If a regulated substance is present in a mixture 
and the concentration of the substance is below one percent by weight of 
the mixture, the mixture need not be considered when determining whether 
more than a threshold quantity of the regulated substance is present at 
the stationary source. Except as provided in paragraph (b)(2) (ii) and 
(iii) of this section, if the concentration of the substance is one 
percent or greater by weight of the mixture, then, for purposes of 
determining whether a threshold quantity is present at the stationary 
source, the entire weight of the mixture shall be treated as the 
regulated substance unless the owner or operator can demonstrate that 
the mixture itself does not have a National Fire Protection Association 
flammability hazard rating of 4. The demonstration shall be in 
accordance with the definition of flammability hazard rating 4 in the 
NFPA 704, Standard System for the Identification of the Hazards of 
Materials for Emergency Response, National Fire Protection Association, 
Quincy, MA, 1996. Available from the National Fire Protection 
Association, 1 Batterymarch Park, Quincy, MA 02269-9101. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies 
may be inspected at the Environmental Protection Agency Air Docket 
(6102), Attn: Docket No. A-96-O8, Waterside Mall, 401 M. St. SW., 
Washington DC; or at the Office of Federal Register at 800 North Capitol 
St., NW, Suite 700, Washington, DC. Boiling point and flash point shall 
be defined and determined in accordance with NFPA 30, Flammable and 
Combustible Liquids Code, National Fire Protection Association, Quincy, 
MA, 1996. Available from the National Fire Protection Association, 1 
Batterymarch Park, Quincy, MA 02269-9101. This incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at the Environmental Protection Agency Air Docket (6102), 
Attn: Docket No. A-96-O8, Waterside Mall, 401 M. St. SW., Washington DC; 
or at the Office of Federal Register at 800 North Capitol St., NW., 
Suite 700, Washington, DC. The owner or operator shall document the 
National Fire Protection Association flammability hazard rating.
    (ii) Gasoline. Regulated substances in gasoline, when in 
distribution or related storage for use as fuel for internal combustion 
engines, need not be considered when determining whether more than a 
threshold quantity is present at a stationary source.
    (iii) Naturally occurring hydrocarbon mixtures. Prior to entry into 
a natural gas processing plant or a petroleum refining process unit, 
regulated substances in naturally occurring hydrocarbon mixtures need 
not be considered when determining whether more than a threshold 
quantity is present at a stationary source. Naturally occurring 
hydrocarbon mixtures include any combination of the following: 
condensate, crude oil, field gas, and produced water, each as defined in 
Sec. 68.3 of this part.
    (3) Articles. Regulated substances contained in articles need not be 
considered when determining whether more than a threshold quantity is 
present at the stationary source.
    (4) Uses. Regulated substances, when in use for the following 
purposes, need not be included in determining whether more than a 
threshold quantity is present at the stationary source:
    (i) Use as a structural component of the stationary source;
    (ii) Use of products for routine janitorial maintenance;
    (iii) Use by employees of foods, drugs, cosmetics, or other personal 
items containing the regulated substance; and

[[Page 57]]

    (iv) Use of regulated substances present in process water or non-
contact cooling water as drawn from the environment or municipal 
sources, or use of regulated substances present in air used either as 
compressed air or as part of combustion.
    (5) Activities in laboratories. If a regulated substance is 
manufactured, processed, or used in a laboratory at a stationary source 
under the supervision of a technically qualified individual as defined 
in Sec. 720.3(ee) of this chapter, the quantity of the substance need 
not be considered in determining whether a threshold quantity is 
present. This exemption does not apply to:
    (i) Specialty chemical production;
    (ii) Manufacture, processing, or use of substances in pilot plant 
scale operations; and
    (iii) Activities conducted outside the laboratory.

[59 FR 4493, Jan. 31, 1994. Redesignated at 61 FR 31717, June 20, 1996, 
as amended at 63 FR 645, Jan. 6, 1998]



Sec. 68.120  Petition process.

    (a) Any person may petition the Administrator to modify, by addition 
or deletion, the list of regulated substances identified in Sec. 68.130. 
Based on the information presented by the petitioner, the Administrator 
may grant or deny a petition.
    (b) A substance may be added to the list if, in the case of an 
accidental release, it is known to cause or may be reasonably 
anticipated to cause death, injury, or serious adverse effects to human 
health or the environment.
    (c) A substance may be deleted from the list if adequate data on the 
health and environmental effects of the substance are available to 
determine that the substance, in the case of an accidental release, is 
not known to cause and may not be reasonably anticipated to cause death, 
injury, or serious adverse effects to human health or the environment.
    (d) No substance for which a national primary ambient air quality 
standard has been established shall be added to the list. No substance 
regulated under title VI of the Clean Air Act, as amended, shall be 
added to the list.
    (e) The burden of proof is on the petitioner to demonstrate that the 
criteria for addition and deletion are met. A petition will be denied if 
this demonstration is not made.
    (f) The Administrator will not accept additional petitions on the 
same substance following publication of a final notice of the decision 
to grant or deny a petition, unless new data becomes available that 
could significantly affect the basis for the decision.
    (g) Petitions to modify the list of regulated substances must 
contain the following:
    (1) Name and address of the petitioner and a brief description of 
the organization(s) that the petitioner represents, if applicable;
    (2) Name, address, and telephone number of a contact person for the 
petition;
    (3) Common chemical name(s), common synonym(s), Chemical Abstracts 
Service number, and chemical formula and structure;
    (4) Action requested (add or delete a substance);
    (5) Rationale supporting the petitioner's position; that is, how the 
substance meets the criteria for addition and deletion. A short summary 
of the rationale must be submitted along with a more detailed narrative; 
and
    (6) Supporting data; that is, the petition must include sufficient 
information to scientifically support the request to modify the list. 
Such information shall include:
    (i) A list of all support documents;
    (ii) Documentation of literature searches conducted, including, but 
not limited to, identification of the database(s) searched, the search 
strategy, dates covered, and printed results;
    (iii) Effects data (animal, human, and environmental test data) 
indicating the potential for death, injury, or serious adverse human and 
environmental impacts from acute exposure following an accidental 
release; printed copies of the data sources, in English, should be 
provided; and
    (iv) Exposure data or previous accident history data, indicating the 
potential for serious adverse human health or environmental effects from 
an accidental release. These data may

[[Page 58]]

include, but are not limited to, physical and chemical properties of the 
substance, such as vapor pressure; modeling results, including data and 
assumptions used and model documentation; and historical accident data, 
citing data sources.
    (h) Within 18 months of receipt of a petition, the Administrator 
shall publish in the Federal Register a notice either denying the 
petition or granting the petition and proposing a listing.



Sec. 68.125  Exemptions.

    Agricultural nutrients. Ammonia used as an agricultural nutrient, 
when held by farmers, is exempt from all provisions of this part.



Sec. 68.126  Exclusion.

    Flammable Substances Used as Fuel or Held for Sale as Fuel at Retail 
Facilities. A flammable substance listed in Tables 3 and 4 of 
Sec. 68.130 is nevertheless excluded from all provisions of this part 
when the substance is used as a fuel or held for sale as a fuel at a 
retail facility.

[65 FR 13250, Mar. 13, 2000]



Sec. 68.130  List of substances.

    (a) Regulated toxic and flammable substances under section 112(r) of 
the Clean Air Act are the substances listed in Tables 1, 2, 3, and 4. 
Threshold quantities for listed toxic and flammable substances are 
specified in the tables.
    (b) The basis for placing toxic and flammable substances on the list 
of regulated substances are explained in the notes to the list.

    Table 1 to Sec.  68.130.--List of Regulated Toxic Substances and
         Threshold Quantities for Accidental Release Prevention
                   [Alphabetical Order--77 Substances]
------------------------------------------------------------------------
                                                 Threshold
         Chemical name               CAS No.      quantity    Basis for
                                                   (lbs)       listing
------------------------------------------------------------------------
Acrolein [2-Propenal]..........        107-02-8      5,000  b
Acrylonitrile [2-                      107-13-1     20,000  b
 Propenenitrile].
Acrylyl chloride [2-Propenoyl          814-68-6      5,000  b
 chloride].
Allyl alcohol [2-Propen-l-ol]..       107-18-61     15,000  b
Allylamine [2-Propen-l-amine]..        107-11-9     10,000  b
Ammonia (anhydrous)............       7664-41-7     10,000  a, b
Ammonia (conc 20% or greater)..       7664-41-7     20,000  a, b
Arsenous trichloride...........       7784-34-1     15,000  b
Arsine.........................       7784-42-1      1,000  b
Boron trichloride [Borane,           10294-34-5      5,000  b
 trichloro-].
Boron trifluoride [Borane,            7637-07-2      5,000  b
 trifluoro-].
Boron trifluoride compound with        353-42-4     15,000  b
 methyl ether (1:1) [Boron,
 trifluoro [oxybis [metane]]-,
 T-4-.
Bromine........................       7726-95-6     10,000  a, b
Carbon disulfide...............         75-15-0     20,000  b
Chlorine.......................       7782-50-5      2,500  a, b
Chlorine dioxide [Chlorine           10049-04-4      1,000  c
 oxide (ClO2)].
Chloroform [Methane, trichloro-         67-66-3     20,000  b
 ].
Chloromethyl ether [Methane,           542-88-1      1,000  b
 oxybis[chloro-].
Chloromethyl methyl ether              107-30-2      5,000  b
 [Methane, chloromethoxy-].
Crotonaldehyde [2-Butenal].....       4170-30-3     20,000  b
Crotonaldehyde, (E)- [2-               123-73-9     20,000  b
 Butenal, (E)-].
Cyanogen chloride..............        506-77-4     10,000  c
Cyclohexylamine                        108-91-8     15,000  b
 [Cyclohexanamine].
Diborane.......................      19287-45-7      2,500  b
Dimethyldichlorosilane [Silane,         75-78-5      5,000  b
 dichlorodimethyl-].
1,1-Dimethylhydrazine                   57-14-7     15,000  b
 [Hydrazine, 1,1-dimethyl-].
Epichlorohydrin [Oxirane,              106-89-8     20,000  b
 (chloromethyl)-].
Ethylenediamine [1,2-                  107-15-3     20,000  b
 Ethanediamine].
Ethyleneimine [Aziridine]......        151-56-4     10,000  b

[[Page 59]]

 
Ethylene oxide [Oxirane].......         75-21-8     10,000  a, b
Fluorine.......................       7782-41-4      1,000  b
Formaldehyde (solution)........         50-00-0     15,000  b
Furan..........................        110-00-9      5,000  b
Hydrazine......................        302-01-2     15,000  b
Hydrochloric acid (conc 37% or        7647-01-0     15,000  d
 greater).
Hydrocyanic acid...............         74-90-8      2,500  a, b
Hydrogen chloride (anhydrous)         7647-01-0      5,000  a
 [Hydrochloric acid].
Hydrogen fluoride/Hydrofluoric        7664-39-3      1,000  a, b
 acid (conc 50% or greater)
 [Hydrofluoric acid].
Hydrogen selenide..............       7783-07-5        500  b
Hydrogen sulfide...............       7783-06-4     10,000  a, b
Iron, pentacarbonyl- [Iron           13463-40-6      2,500  b
 carbonyl (Fe(CO)5), (TB-5-11)-
 ].
Isobutyronitrile                        78-82-0     20,000  b
 [Propanenitrile, 2-methyl-].
Isopropyl chloroformate                108-23-6     15,000  b
 [Carbonochloridic acid, 1-
 methylethyl ester].
Methacrylonitrile [2-                  126-98-7     10,000  b
 Propenenitrile, 2-methyl-].
Methyl chloride [Methane,               74-87-3     10,000  a
 chloro-].
Methyl chloroformate                    79-22-1      5,000  b
 [Carbonochloridic acid,
 methylester].
Methyl hydrazine [Hydrazine,            60-34-4     15,000  b
 methyl-].
Methyl isocyanate [Methane,            624-83-9     10,000  a, b
 isocyanato-].
Methyl mercaptan [Methanethiol]         74-93-1     10,000  b
Methyl thiocyanate [Thiocyanic         556-64-9     20,000  b
 acid, methyl ester].
Methyltrichlorosilane [Silane,          75-79-6      5,000  b
 trichloromethyl-].
Nickel carbonyl................      13463-39-3      1,000  b
Nitric acid (conc 80% or              7697-37-2     15,000  b
 greater).
Nitric oxide [Nitrogen oxide         10102-43-9     10,000  b
 (NO)].
Oleum (Fuming Sulfuric acid)          8014-95-7     10,000  e
 [Sulfuric acid, mixture with
 sulfur trioxide] \1\.
Peracetic acid [Ethaneperoxoic          79-21-0     10,000  b
 acid].
Perchloromethylmercaptan               594-42-3     10,000  b
 [Methanesulfenyl chloride,
 trichloro-].
Phosgene [Carbonic dichloride].         75-44-5        500  a, b
Phosphine......................       7803-51-2      5,000  b
Phosphorus oxychloride               10025-87-3      5,000  b
 [Phosphoryl chloride].
Phosphorus trichloride                7719-12-2     15,000  b
 [Phosphorous trichloride].
Piperidine.....................        110-89-4     15,000  b
Propionitrile [Propanenitrile].        107-12-0     10,000  b
Propyl chloroformate                   109-61-5     15,000  b
 [Carbonochloridic acid,
 propylester].
Propyleneimine [Aziridine, 2-           75-55-8     10,000  b
 methyl-].
Propylene oxide [Oxirane,               75-56-9     10,000  b
 methyl-].
Sulfur dioxide (anhydrous).....       7446-09-5      5,000  a, b
Sulfur tetrafluoride [Sulfur          7783-60-0      2,500  b
 fluoride (SF4), (T-4)-].
Sulfur trioxide................       7446-11-9     10,000  a, b
Tetramethyllead [Plumbane,              75-74-1     10,000  b
 tetramethyl-].
Tetranitromethane [Methane,            509-14-8     10,000  b
 tetranitro-].

[[Page 60]]

 
Titanium tetrachloride                7550-45-0      2,500  b
 [Titanium chloride (TiCl4) (T-
 4)-].
Toluene 2,4-diisocyanate               584-84-9     10,000  a
 [Benzene, 2,4-diisocyanato-1-
 methyl-] \1\.
Toluene 2,6-diisocyanate                91-08-7     10,000  a
 [Benzene, 1,3-diisocyanato-2-
 methyl-] \1\.
Toluene diisocyanate                 26471-62-5     10,000  a
 (unspecified isomer) [Benzene,
 1,3-diisocyanatomethyl-] \1\.
Trimethylchlorosilane [Silane,          75-77-4     10,000  b
 chlorotrimethyl-].
Vinyl acetate monomer [Acetic          108-05-4     15,000  b
 acid ethenyl ester].
------------------------------------------------------------------------
\1\ The mixture exemption in Sec.  68.115(b)(1) does not apply to the
  substance.
 
Note: Basis for Listing:
a  Mandated for listing by Congress.
b  On EHS list, vapor pressure 10 mmHg or greater.
c  Toxic gas.
d  Toxicity of hydrogen chloride, potential to release hydrogen
  chloride, and history of accidents.
e  Toxicity of sulfur trioxide and sulfuric acid, potential to release
  sulfur trioxide, and history of accidents.


    Table 2 to Sec.  68.130.--List of Regulated Toxic Substances and
         Threshold Quantities for Accidental Release Prevention
                    [CAS Number Order--77 Substances]
------------------------------------------------------------------------
                                                 Threshold
        CAS No.               Chemical name       quantity    Basis for
                                                   (lbs)       listing
------------------------------------------------------------------------
50-00-0................  Formaldehyde               15,000  b
                          (solution).
57-14-7................  1,1-Dimethylhydrazine      15,000  b
                          [Hydrazine, 1,1-
                          dimethyl-].
60-34-4................  Methyl hydrazine           15,000  b
                          [Hydrazine, methyl-].
67-66-3................  Chloroform [Methane,       20,000  b
                          trichloro-].
74-87-3................  Methyl chloride            10,000  a
                          [Methane, chloro-].
74-90-8................  Hydrocyanic acid......      2,500  a, b
74-93-1................  Methyl mercaptan           10,000  b
                          [Methanethiol].
75-15-0................  Carbon disulfide......     20,000  b
75-21-8................  Ethylene oxide             10,000  a, b
                          [Oxirane].
75-44-5................  Phosgene [Carbonic            500  a, b
                          dichloride].
75-55-8................  Propyleneimine             10,000  b
                          [Aziridine, 2-methyl-
                          ].
75-56-9................  Propylene oxide            10,000  b
                          [Oxirane, methyl-].
75-74-1................  Tetramethyllead            10,000  b
                          [Plumbane,
                          tetramethyl-].
75-77-4................  Trimethylchlorosilane      10,000  b
                          [Silane,
                          chlorotrimethyl-].
75-78-5................  Dimethyldichlorosilane      5,000  b
                          [Silane,
                          dichlorodimethyl-].
75-79-6................  Methyltrichlorosilane       5,000  b
                          [Silane,
                          trichloromethyl-].
78-82-0................  Isobutyronitrile           20,000  b
                          [Propanenitrile, 2-
                          methyl-].
79-21-0................  Peracetic acid             10,000  b
                          [Ethaneperoxoic acid].
79-22-1................  Methyl chloroformate        5,000  b
                          [Carbonochloridic
                          acid, methylester].
91-08-7................  Toluene 2,6-               10,000  a
                          diisocyanate
                          [Benzene, 1,3-
                          diisocyanato-2-methyl-
                          ]\1\.
106-89-8...............  Epichlorohydrin            20,000  b
                          [Oxirane,
                          (chloromethyl)-].
107-02-8...............  Acrolein [2-Propenal].      5,000  b
107-11-9...............  Allylamine [2-Propen-1-    10,000  b
                          amine].
107-12-0...............  Propionitrile              10,000  b
                          [Propanenitrile].
107-13-1...............  Acrylonitrile [2-          20,000  b
                          Propenenitrile].
107-15-3...............  Ethylenediamine [1,2-      20,000  b
                          Ethanediamine].
107-18-6...............  Allyl alcohol [2-          15,000  b
                          Propen-1-ol].
107-30-2...............  Chloromethyl methyl         5,000  b
                          ether [Methane,
                          chloromethoxy-].
108-05-4...............  Vinyl acetate monomer      15,000  b
                          [Acetic acid ethenyl
                          ester].
108-23-6...............  Isopropyl                  15,000  b
                          chloroformate
                          [Carbonochloridic
                          acid, 1-methylethyl
                          ester].
108-91-8...............  Cyclohexylamine            15,000  b
                          [Cyclohexanamine].
109-61-5...............  Propyl chloroformate       15,000  b
                          [Carbonochloridic
                          acid, propylester].
110-00-9...............  Furan.................      5,000  b
110-89-4...............  Piperidine............     15,000  b
123-73-9...............  Crotonaldehyde, (E)-       20,000  b
                          [2-Butenal, (E)-].

[[Page 61]]

 
126-98-7...............  Methacrylonitrile [2-      10,000  b
                          Propenenitrile, 2-
                          methyl-].
151-56-4...............  Ethyleneimine              10,000  b
                          [Aziridine].
302-01-2...............  Hydrazine.............     15,000  b
353-42-4...............  Boron trifluoride          15,000  b
                          compound with methyl
                          ether (1:1) [Boron,
                          trifluoro[oxybis[meth
                          ane]]-, T-4-.
506-77-4...............  Cyanogen chloride.....     10,000  c
509-14-8...............  Tetranitromethane          10,000  b
                          [Methane, tetranitro-
                          ].
542-88-1...............  Chloromethyl ether          1,000  b
                          [Methane,
                          oxybis[chloro-].
556-64-9...............  Methyl thiocyanate         20,000  b
                          [Thiocyanic acid,
                          methyl ester].
584-84-9...............  Toluene 2,4-               10,000  a
                          diisocyanate
                          [Benzene, 2,4-
                          diisocyanato-1-methyl-
                          ]\1\.
594-42-3...............  Perchloromethylmercapt     10,000  b
                          an [Methanesulfenyl
                          chloride, trichloro-].
624-83-9...............  Methyl isocyanate          10,000  a, b
                          [Methane, isocyanato-
                          ].
814-68-6...............  Acrylyl chloride [2-        5,000  b
                          Propenoyl chloride].
4170-30-3..............  Crotonaldehyde [2-         20,000  b
                          Butenal].
7446-09-5..............  Sulfur dioxide              5,000  a, b
                          (anhydrous).
7446-11-9..............  Sulfur trioxide.......     10,000  a, b
7550-45-0..............  Titanium tetrachloride      2,500  b
                          [Titanium chloride
                          (TiCl4) (T-4)-].
7637-07-2..............  Boron trifluoride           5,000  b
                          [Borane, trifluoro-].
7647-01-0..............  Hydrochloric acid          15,000  d
                          (conc 37% or greater).
7647-01-0..............  Hydrogen chloride           5,000  a
                          (anhydrous)
                          [Hydrochloric acid].
7664-39-3..............  Hydrogen fluoride/          1,000  a, b
                          Hydrofluoric acid
                          (conc 50% or greater)
                          [Hydrofluoric acid].
7664-41-7..............  Ammonia (anhydrous)...     10,000  a, b
7664-41-7..............  Ammonia (conc 20% or       20,000  a, b
                          greater).
7697-37-2..............  Nitric acid (conc 80%      15,000  b
                          or greater).
7719-12-2..............  Phosphorus trichloride     15,000  b
                          [Phosphorous
                          trichloride].
7726-95-6..............  Bromine...............     10,000  a, b
7782-41-4..............  Fluorine..............      1,000  b
7782-50-5..............  Chlorine..............      2,500  a, b
7783-06-4..............  Hydrogen sulfide......     10,000  a, b
7783-07-5..............  Hydrogen selenide.....        500  b
7783-60-0..............  Sulfur tetrafluoride        2,500  b
                          [Sulfur fluoride
                          (SF4), (T-4)-].
7784-34-1..............  Arsenous trichloride..     15,000  b
7784-42-1..............  Arsine................      1,000  b
7803-51-2..............  Phosphine.............      5,000  b
8014-95-7..............  Oleum (Fuming Sulfuric     10,000  e
                          acid) [Sulfuric acid,
                          mixture with sulfur
                          trioxide]\1\.
10025-87-3.............  Phosphorus oxychloride      5,000  b
                          [Phosphoryl chloride].
10049-04-4.............  Chlorine dioxide            1,000  c
                          [Chlorine oxide
                          (ClO2)].
10102-43-9.............  Nitric oxide [Nitrogen     10,000  b
                          oxide (NO)].
10294-34-5.............  Boron trichloride           5,000  b
                          [Borane, trichloro-].
13463-39-3.............  Nickel carbonyl.......      1,000  b
13463-40-6.............  Iron, pentacarbonyl-        2,500  b
                          [Iron carbonyl
                          (Fe(CO)5), (TB-5-11)-
                          ].
19287-45-7.............  Diborane..............      2,500  b
26471-62-5.............  Toluene diisocyanate       10,000  a
                          (unspecified isomer)
                          [Benzene, 1,3-
                          diisocyanatomethyl-
                          1]\1\.
------------------------------------------------------------------------
\1\ The mixture exemption in Sec.  68.115(b)(1) does not apply to the
  substance.
Note: Basis for Listing:
a  Mandated for listing by Congress.
b  On EHS list, vapor pressure 10 mmHg or greater.
c  Toxic gas.
d  Toxicity of hydrogen chloride, potential to release hydrogen
  chloride, and history of accidents.
e  Toxicity of sulfur trioxide and sulfuric acid, potential to release
  sulfur trioxide, and history of accidents.


Table 3 to Sec.  68.130.--List of Regulated Flammable Substances \1\ and
         Threshold Quantities for Accidental Release Prevention
                   [Alphabetical Order--63 Substances]
------------------------------------------------------------------------
                                                 Threshold
         Chemical name               CAS No.      quantity    Basis for
                                                   (lbs)       listing
------------------------------------------------------------------------
Acetaldehyde...................         75-07-0     10,000  g
Acetylene [Ethyne].............         74-86-2     10,000  f
Bromotrifluorethylene [Ethene,         598-73-2     10,000  f
 bromotrifluoro-].
1,3-Butadiene..................        106-99-0     10,000  f
Butane.........................        106-97-8     10,000  f
1-Butene.......................        106-98-9     10,000  f
2-Butene.......................        107-01-7     10,000  f
Butene.........................      25167-67-3     10,000  f

[[Page 62]]

 
2-Butene-cis...................        590-18-1     10,000  f
2-Butene-trans [2-Butene, (E)].        624-64-6     10,000  f
Carbon oxysulfide [Carbon oxide        463-58-1     10,000  f
 sulfide (COS)].
Chlorine monoxide [Chlorine           7791-21-1     10,000  f
 oxide].
2-Chloropropylene [1-Propene, 2-       557-98-2     10,000  g
 chloro-].
1-Chloropropylene [1-Propene, 1-       590-21-6     10,000  g
 chloro-].
Cyanogen [Ethanedinitrile].....        460-19-5     10,000  f
Cyclopropane...................         75-19-4     10,000  f
Dichlorosilane [Silane,               4109-96-0     10,000  f
 dichloro-].
Difluoroethane [Ethane, 1,1-            75-37-6     10,000  f
 difluoro-].
Dimethylamine [Methanamine, N-         124-40-3     10,000  f
 methyl-].
2,2-Dimethylpropane [Propane,          463-82-1     10,000  f
 2,2-dimethyl-].
Ethane.........................         74-84-0     10,000  f
Ethyl acetylene [1-Butyne].....        107-00-6     10,000  f
Ethylamine [Ethanamine]........         75-04-7     10,000  f
Ethyl chloride [Ethane, chloro-         75-00-3     10,000  f
 ].
Ethylene [Ethene]..............         74-85-1     10,000  f
Ethyl ether [Ethane, 1,1'-              60-29-7     10,000  g
 oxybis-].
Ethyl mercaptan [Ethanethiol]..         75-08-1     10,000  g
Ethyl nitrite [Nitrous acid,           109-95-5     10,000  f
 ethyl ester].
Hydrogen.......................       1333-74-0     10,000  f
Isobutane [Propane, 2-methyl]..         75-28-5     10,000  f
Isopentane [Butane, 2-methyl-].         78-78-4     10,000  g
Isoprene [1,3-Butadinene, 2-            78-79-5     10,000  g
 methyl-].
Isopropylamine [2-Propanamine].         75-31-0     10,000  g
Isopropyl chloride [Propane, 2-         75-29-6     10,000  g
 chloro-].
Methane........................         74-82-8     10,000  f
Methylamine [Methanamine]......         74-89-5     10,000  f
3-Methyl-1-butene..............        563-45-1     10,000  f
2-Methyl-1-butene..............        563-46-2     10,000  g
Methyl ether [Methane, oxybis-]        115-10-6     10,000  f
Methyl formate [Formic acid,           107-31-3     10,000  g
 methyl ester].
2-Methylpropene [1-Propene, 2-         115-11-7     10,000  f
 methyl-].
1,3-Pentadinene................        504-60-9     10,000  f
Pentane........................        109-66-0     10,000  g
1-Pentene......................        109-67-1     10,000  g
2-Pentene, (E)-................        646-04-8     10,000  g
2-Pentene, (Z)-................        627-20-3     10,000  g
Propadiene [1,2-Propadiene]....        463-49-0     10,000  f
Propane........................         74-98-6     10,000  f
Propylene [1-Propene]..........        115-07-1     10,000  f
Propyne [1-Propyne]............         74-99-7     10,000  f
Silane.........................       7803-62-5     10,000  f
Tetrafluoroethylene [Ethene,           116-14-3     10,000  f
 tetrafluoro-].
Tetramethylsilane [Silane,              75-76-3     10,000  g
 tetramethyl-].
Trichlorosilane [Silane,             10025-78-2     10,000  g
 trichloro-].
Trifluorochloroethylene                 79-38-9     10,000  f
 [Ethene, chlorotrifluoro-].
Trimethylamine [Methanamine,            75-50-3     10,000  f
 N,N-dimethyl-].
Vinyl acetylene [1-Buten-3-yne]        689-97-4     10,000  f
Vinyl chloride [Ethene, chloro-         75-01-4     10,000  a, f
 ].
Vinyl ethyl ether [Ethene,             109-92-2     10,000  g
 ethoxy-].
Vinyl fluoride [Ethene, fluoro-         75-02-5     10,000  f
 ].
Vinylidene chloride [Ethene,            75-35-4     10,000  g
 1,1-dichloro-].
Vinylidene fluoride [Ethene,            75-38-7     10,000  f
 1,1-difluoro-].
Vinyl methyl ether [Ethene,            107-25-5     10,000  f
 methoxy-].
------------------------------------------------------------------------
\1\ A flammable substance when used as a fuel or held for sale as a fuel
  at a retail facility is excluded from all provisions of this part (see
  Sec.  68.126).
 
 Note: Basis for Listing:
  a Mandated for listing by Congress.
  f Flammable gas.
  g Volatile flammable liquid.


[[Page 63]]


  Table 4 to Sec.  68.130.--List of Regulated Flammable Substances \1\ and Threshold Quantities for Accidental
                                               Release Prevention
                                        [CAS Number Order--63 Substances]
----------------------------------------------------------------------------------------------------------------
                                                                                 Threshold
            CAS No.                       Chemical name              CAS No.      quantity    Basis for listing
                                                                                   (lbs)
----------------------------------------------------------------------------------------------------------------
60-29-7........................  Ethyl ether [Ethane, 1,1'-             60-29-7     10,000  g
                                  oxybis-].
74-82-8........................  Methane.......................         74-82-8     10,000  f
74-84-0........................  Ethane........................         74-84-0     10,000  f
74-85-1........................  Ethylene [Ethene].............         74-85-1     10,000  f
74-86-2........................  Acetylene [Ethyne]............         74-86-2     10,000  f
74-89-5........................  Methylamine [Methanamine].....         74-89-5     10,000  f
74-98-6........................  Propane.......................         74-98-6     10,000  f
74-99-7........................  Propyne [1-Propyne]...........         74-99-7     10,000  f
75-00-3........................  Ethyl chloride [Ethane, chloro-        75-00-3     10,000  f
                                  ].
75-01-4........................  Vinyl chloride [Ethene, chloro-        75-01-4     10,000  a, f
                                  ].
75-02-5........................  Vinyl fluoride [Ethene, fluoro-        75-02-5     10,000  f
                                  ].
75-04-7........................  Ethylamine [Ethanamine].......         75-04-7     10,000  f
75-07-0........................  Acetaldehyde..................         75-07-0     10,000  g
75-08-1........................  Ethyl mercaptan [Ethanethiol].         75-08-1     10,000  g
75-19-4........................  Cyclopropane..................         75-19-4     10,000  f
75-28-5........................  Isobutane [Propane, 2-methyl].         75-28-5     10,000  f
75-29-6........................  Isopropyl chloride [Propane, 2-        75-29-6     10,000  g
                                  chloro-].
75-31-0........................  Isopropylamine [2-Propanamine]         75-31-0     10,000  g
75-35-4........................  Vinylidene chloride [Ethene,           75-35-4     10,000  g
                                  1,1-dichloro-].
75-37-6........................  Difluoroethane [Ethane, 1,1-           75-37-6     10,000  f
                                  difluoro-].
75-38-7........................  Vinylidene fluoride [Ethene,           75-38-7     10,000  f
                                  1,1-difluoro-].
75-50-3........................  Trimethylamine [Methanamine,           75-50-3     10,000  f
                                  N, N-dimethyl-].
75-76-3........................  Tetramethylsilane [Silane,             75-76-3     10,000  g
                                  tetramethyl-].
78-78-4........................  Isopentane [Butane, 2-methyl-]         78-78-4     10,000  g
78-79-5........................  Isoprene [1,3,-Butadiene, 2-           78-79-5     10,000  g
                                  methyl-].
79-38-9........................  Trifluorochloroethylene                79-38-9     10,000  f
                                  [Ethene, chlorotrifluoro-].
106-97-8.......................  Butane........................        106-97-8     10,000  f
106-98-9.......................  1-Butene......................        106-98-9     10,000  f
196-99-0.......................  1,3-Butadiene.................        106-99-0     10,000  f
107-00-6.......................  Ethyl acetylene [1-Butyne]....        107-00-6     10,000  f
107-01-7.......................  2-Butene......................        107-01-7     10,000  f
107-25-5.......................  Vinyl methyl ether [Ethene,           107-25-5     10,000  f
                                  methoxy-].
107-31-3.......................  Methyl formate [Formic acid,          107-31-3     10,000  g
                                  methyl ester].
109-66-0.......................  Pentane.......................        109-66-0     10,000  g
109-67-1.......................  1-Pentene.....................        109-67-1     10,000  g
109-92-2.......................  Vinyl ethyl ether [Ethene,            109-92-2     10,000  g
                                  ethoxy-].
109-95-5.......................  Ethyl nitrite [Nitrous acid,          109-95-5     10,000  f
                                  ethyl ester].
115-07-1.......................  Propylene [1-Propene].........        115-07-1     10,000  f
115-10-6.......................  Methyl ether [Methane, oxybis-        115-10-6     10,000  f
                                  ].
115-11-7.......................  2-Methylpropene [1-Propene, 2-        115-11-7     10,000  f
                                  methyl-].
116-14-3.......................  Tetrafluoroethylene [Ethene,          116-14-3     10,000  f
                                  tetrafluoro-].
124-40-3.......................  Dimethylamine [Methanamine, N-        124-40-3     10,000  f
                                  methyl-].
460-19-5.......................  Cyanogen [Ethanedinitrile]....        460-19-5     10,000  f
463-49-0.......................  Propadiene [1,2-Propadiene]...        463-49-0     10,000  f
463-58-1.......................  Carbon oxysulfide [Carbon             463-58-1     10,000  f
                                  oxide sulfide (COS)].
463-82-1.......................  2,2-Dimethylpropane [Propane,         463-82-1     10,000  f
                                  2,2-dimethyl-].
504-60-9.......................  1,3-Pentadiene................        504-60-9     10,000  f
557-98-2.......................  2-Chloropropylene [1-Propene,         557-98-2     10,000  g
                                  2-chloro-].
563-45-1.......................  3-Methyl-1-butene.............        563-45-1     10,000  f
563-46-2.......................  2-Methyl-1-butene.............        563-46-2     10,000  g
590-18-1.......................  2-Butene-cis..................        590-18-1     10,000  f
590-21-6.......................  1-Chloropropylene [1-Propene,         590-21-6     10,000  g
                                  1-chloro-].
598-73-2.......................  Bromotrifluorethylene [Ethene,        598-73-2     10,000  f
                                  bromotrifluoro-].
624-64-6.......................  2-Butene-trans [2-Butene, (E)]        624-64-6     10,000  f
627-20-3.......................  2-Pentene, (Z)-...............        627-20-3     10,000  g
646-04-8.......................  2-Pentene, (E)-...............        646-04-8     10,000  g
689-97-4.......................  Vinyl acetylene [1-Buten-3-           689-97-4     10,000  f
                                  yne].
1333-74-0......................  Hydrogen......................       1333-74-0     10,000  f
4109-96-0......................  Dichlorosilane [Silane,              4109-96-0     10,000  f
                                  dichloro-].
7791-21-1......................  Chlorine monoxide [Chlorine          7791-21-1     10,000  f
                                  oxide].
7803-62-5......................  Silane........................       7803-62-5     10,000  f
10025-78-2.....................  Trichlorosilane                     10025-78-2     10,000  g
                                  [Silane,trichloro-].
25167-67-3.....................  Butene........................      25167-67-3     10,000  f
----------------------------------------------------------------------------------------------------------------
\1\ A flammable substance when used as a fuel or held for sale as a fuel at a retail facility is excluded from
  all provisions of this part (see Sec.  68.126).
 
 Note: Basis for Listing:
  a Mandated for listing by Congress.

[[Page 64]]

 
  f Flammable gas.
  g Volatile flammable liquid.

[59 FR 4493, Jan. 31, 1994. Redesignated at 61 FR 31717, June 20, 1996, 
as amended at 62 FR 45132, Aug. 25, 1997; 63 FR 645, Jan. 6, 1998; 65 FR 
13250, Mar. 13, 2000]



                     Subpart G--Risk Management Plan

    Source: 61 FR 31726, June 20, 1996, unless otherwise noted.



Sec. 68.150  Submission.

    (a) The owner or operator shall submit a single RMP that includes 
the information required by Secs. 68.155 through 68.185 for all covered 
processes. The RMP shall be submitted in a method and format to a 
central point as specified by EPA prior to June 21, 1999.
    (b) The owner or operator shall submit the first RMP no later than 
the latest of the following dates:
    (1) June 21, 1999;
    (2) Three years after the date on which a regulated substance is 
first listed under Sec. 68.130; or
    (3) The date on which a regulated substance is first present above a 
threshold quantity in a process.
    (c) Subsequent submissions of RMPs shall be in accordance with 
Sec. 68.190.
    (d) Notwithstanding the provisions of Secs. 68.155 to 68.190, the 
RMP shall exclude classified information. Subject to appropriate 
procedures to protect such information from public disclosure, 
classified data or information excluded from the RMP may be made 
available in a classified annex to the RMP for review by Federal and 
state representatives who have received the appropriate security 
clearances.
    (e) Procedures for asserting that information submitted in the RMP 
is entitled to protection as confidential business information are set 
forth in Secs. 68.151 and 68.152.

[61 FR 31726, June 20, 1996, as amended at 64 FR 979, Jan. 6, 1999]



Sec. 68.151  Assertion of claims of confidential business information.

    (a) Except as provided in paragraph (b) of this section, an owner or 
operator of a stationary source required to report or otherwise provide 
information under this part may make a claim of confidential business 
information for any such information that meets the criteria set forth 
in 40 CFR 2.301.
    (b) Notwithstanding the provisions of 40 CFR part 2, an owner or 
operator of a stationary source subject to this part may not claim as 
confidential business information the following information:
    (1) Registration data required by Sec. 68.160(b)(1) through (b)(6) 
and (b)(8), (b)(10) through (b)(13) and NAICS code and Program level of 
the process set forth in Sec. 68.160(b)(7);
    (2) Offsite consequence analysis data required by Sec. 68.165(b)(4), 
(b)(9), (b)(10), (b)(11), and (b)(12).
    (3) Accident history data required by Sec. 68.168;
    (4) Prevention program data required by Sec. 68.170(b), (d), (e)(1), 
(f) through (k);
    (5) Prevention program data required by Sec. 68.175(b), (d), (e)(1), 
(f) through (p); and
    (6) Emergency response program data required by Sec. 68.180.
    (c) Notwithstanding the procedures specified in 40 CFR part 2, an 
owner or operator asserting a claim of CBI with respect to information 
contained in its RMP, shall submit to EPA at the time it submits the RMP 
the following:
    (1) The information claimed confidential, provided in a format to be 
specified by EPA;
    (2) A sanitized (redacted) copy of the RMP, with the notation 
``CBI'' substituted for the information claimed confidential, except 
that a generic category or class name shall be substituted for any 
chemical name or identity claimed confidential; and
    (3) The document or documents substantiating each claim of 
confidential business information, as described in Sec. 68.152.

[64 FR 979, Jan. 6, 1999]



Sec. 68.152  Substantiating claims of confidential business information.

    (a) An owner or operator claiming that information is confidential 
business information must substantiate that claim by providing 
documentation that demonstrates that the claim

[[Page 65]]

meets the substantive criteria set forth in 40 CFR 2.301.
    (b) Information that is submitted as part of the substantiation may 
be claimed confidential by marking it as confidential business 
information. Information not so marked will be treated as public and may 
be disclosed without notice to the submitter. If information that is 
submitted as part of the substantiation is claimed confidential, the 
owner or operator must provide a sanitized and unsanitized version of 
the substantiation.
    (c) The owner, operator, or senior official with management 
responsibility of the stationary source shall sign a certification that 
the signer has personally examined the information submitted and that 
based on inquiry of the persons who compiled the information, the 
information is true, accurate, and complete, and that those portions of 
the substantiation claimed as confidential business information would, 
if disclosed, reveal trade secrets or other confidential business 
information.

[64 FR 980, Jan. 6, 1999]



Sec. 68.155  Executive summary.

    The owner or operator shall provide in the RMP an executive summary 
that includes a brief description of the following elements:
    (a) The accidental release prevention and emergency response 
policies at the stationary source;
    (b) The stationary source and regulated substances handled;
    (c) The worst-case release scenario(s) and the alternative release 
scenario(s), including administrative controls and mitigation measures 
to limit the distances for each reported scenario;
    (d) The general accidental release prevention program and chemical-
specific prevention steps;
    (e) The five-year accident history;
    (f) The emergency response program; and
    (g) Planned changes to improve safety.



Sec. 68.160  Registration.

    (a) The owner or operator shall complete a single registration form 
and include it in the RMP. The form shall cover all regulated substances 
handled in covered processes.
    (b) The registration shall include the following data:
    (1) Stationary source name, street, city, county, state, zip code, 
latitude and longitude, method for obtaining latitude and longitude, and 
description of location that latitude and longitude represent;
    (2) The stationary source Dun and Bradstreet number;
    (3) Name and Dun and Bradstreet number of the corporate parent 
company;
    (4) The name, telephone number, and mailing address of the owner or 
operator;
    (5) The name and title of the person or position with overall 
responsibility for RMP elements and implementation;
    (6) The name, title, telephone number, and 24-hour telephone number 
of the emergency contact;
    (7) For each covered process, the name and CAS number of each 
regulated substance held above the threshold quantity in the process, 
the maximum quantity of each regulated substance or mixture in the 
process (in pounds) to two significant digits, the five- or six-digit 
NAICS code that most closely corresponds to the process, and the Program 
level of the process;
    (8) The stationary source EPA identifier;
    (9) The number of full-time employees at the stationary source;
    (10) Whether the stationary source is subject to 29 CFR 1910.119;
    (11) Whether the stationary source is subject to 40 CFR part 355;
    (12) If the stationary source has a CAA Title V operating permit, 
the permit number; and
    (13) The date of the last safety inspection of the stationary source 
by a Federal, state, or local government agency and the identity of the 
inspecting entity.
    (14) Source or Parent Company E-Mail Address (Optional);
    (15) Source Homepage address (Optional)
    (16) Phone number at the source for public inquiries (Optional);
    (17) Local Emergency Planning Committee (Optional);

[[Page 66]]

    (18) OSHA Voluntary Protection Program status (Optional);

[61 FR 31726, June 20, 1996, as amended at 64 FR 980, Jan. 6, 1999]



Sec. 68.165  Offsite consequence analysis.

    (a) The owner or operator shall submit in the RMP information:
    (1) One worst-case release scenario for each Program 1 process; and
    (2) For Program 2 and 3 processes, one worst-case release scenario 
to represent all regulated toxic substances held above the threshold 
quantity and one worst-case release scenario to represent all regulated 
flammable substances held above the threshold quantity. If additional 
worst-case scenarios for toxics or flammables are required by 
Sec. 68.25(a)(2)(iii), the owner or operator shall submit the same 
information on the additional scenario(s). The owner or operator of 
Program 2 and 3 processes shall also submit information on one 
alternative release scenario for each regulated toxic substance held 
above the threshold quantity and one alternative release scenario to 
represent all regulated flammable substances held above the threshold 
quantity.
    (b) The owner or operator shall submit the following data:
    (1) Chemical name;
    (2) Percentage weight of the chemical in a liquid mixture (toxics 
only);
    (3) Physical state (toxics only);
    (4) Basis of results (give model name if used);
    (5) Scenario (explosion, fire, toxic gas release, or liquid spill 
and evaporation);
    (6) Quantity released in pounds;
    (7) Release rate;
    (8) Release duration;
    (9) Wind speed and atmospheric stability class (toxics only);
    (10) Topography (toxics only);
    (11) Distance to endpoint;
    (12) Public and environmental receptors within the distance;
    (13) Passive mitigation considered; and
    (14) Active mitigation considered (alternative releases only);

[61 FR 31726, June 20, 1996, as amended at 64 FR 980, Jan. 6, 1999]



Sec. 68.168  Five-year accident history.

    The owner or operator shall submit in the RMP the information 
provided in Sec. 68.42(b) on each accident covered by Sec. 68.42(a).



Sec. 68.170  Prevention program/Program 2.

    (a) For each Program 2 process, the owner or operator shall provide 
in the RMP the information indicated in paragraphs (b) through (k) of 
this section. If the same information applies to more than one covered 
process, the owner or operator may provide the information only once, 
but shall indicate to which processes the information applies.
    (b) The five- or six-digit NAICS code that most closely corresponds 
to the process.
    (c) The name(s) of the chemical(s) covered.
    (d) The date of the most recent review or revision of the safety 
information and a list of Federal or state regulations or industry-
specific design codes and standards used to demonstrate compliance with 
the safety information requirement.
    (e) The date of completion of the most recent hazard review or 
update.
    (1) The expected date of completion of any changes resulting from 
the hazard review;
    (2) Major hazards identified;
    (3) Process controls in use;
    (4) Mitigation systems in use;
    (5) Monitoring and detection systems in use; and
    (6) Changes since the last hazard review.
    (f) The date of the most recent review or revision of operating 
procedures.
    (g) The date of the most recent review or revision of training 
programs;
    (1) The type of training provided--classroom, classroom plus on the 
job, on the job; and
    (2) The type of competency testing used.
    (h) The date of the most recent review or revision of maintenance 
procedures and the date of the most recent equipment inspection or test 
and the equipment inspected or tested.
    (i) The date of the most recent compliance audit and the expected 
date of

[[Page 67]]

completion of any changes resulting from the compliance audit.
    (j) The date of the most recent incident investigation and the 
expected date of completion of any changes resulting from the 
investigation.
    (k) The date of the most recent change that triggered a review or 
revision of safety information, the hazard review, operating or 
maintenance procedures, or training.

[61 FR 31726, June 20, 1996, as amended at 64 FR 980, Jan. 6, 1999]



Sec. 68.175  Prevention program/Program 3.

    (a) For each Program 3 process, the owner or operator shall provide 
the information indicated in paragraphs (b) through (p) of this section. 
If the same information applies to more than one covered process, the 
owner or operator may provide the information only once, but shall 
indicate to which processes the information applies.
    (b) The five- or six-digit NAICS code that most closely corresponds 
to the process.
    (c) The name(s) of the substance(s) covered.
    (d) The date on which the safety information was last reviewed or 
revised.
    (e) The date of completion of the most recent PHA or update and the 
technique used.
    (1) The expected date of completion of any changes resulting from 
the PHA;
    (2) Major hazards identified;
    (3) Process controls in use;
    (4) Mitigation systems in use;
    (5) Monitoring and detection systems in use; and
    (6) Changes since the last PHA.
    (f) The date of the most recent review or revision of operating 
procedures.
    (g) The date of the most recent review or revision of training 
programs;
    (1) The type of training provided--classroom, classroom plus on the 
job, on the job; and
    (2) The type of competency testing used.
    (h) The date of the most recent review or revision of maintenance 
procedures and the date of the most recent equipment inspection or test 
and the equipment inspected or tested.
    (i) The date of the most recent change that triggered management of 
change procedures and the date of the most recent review or revision of 
management of change procedures.
    (j) The date of the most recent pre-startup review.
    (k) The date of the most recent compliance audit and the expected 
date of completion of any changes resulting from the compliance audit;
    (l) The date of the most recent incident investigation and the 
expected date of completion of any changes resulting from the 
investigation;
    (m) The date of the most recent review or revision of employee 
participation plans;
    (n) The date of the most recent review or revision of hot work 
permit procedures;
    (o) The date of the most recent review or revision of contractor 
safety procedures; and
    (p) The date of the most recent evaluation of contractor safety 
performance.

[61 FR 31726, June 20, 1996, as amended at 64 FR 980, Jan. 6, 1999]



Sec. 68.180  Emergency response program.

    (a) The owner or operator shall provide in the RMP the following 
information:
    (1) Do you have a written emergency response plan?
    (2) Does the plan include specific actions to be taken in response 
to an accidental releases of a regulated substance?
    (3) Does the plan include procedures for informing the public and 
local agencies responsible for responding to accidental releases?
    (4) Does the plan include information on emergency health care?
    (5) The date of the most recent review or update of the emergency 
response plan;
    (6) The date of the most recent emergency response training for 
employees.
    (b) The owner or operator shall provide the name and telephone 
number of the local agency with which emergency response activities and 
the emergency response plan is coordinated.
    (c) The owner or operator shall list other Federal or state 
emergency plan

[[Page 68]]

requirements to which the stationary source is subject.

[61 FR 31726, June 20, 1996, as amended at 64 FR 980, Jan. 6, 1999]



Sec. 68.185  Certification.

    (a) For Program 1 processes, the owner or operator shall submit in 
the RMP the certification statement provided in Sec. 68.12(b)(4).
    (b) For all other covered processes, the owner or operator shall 
submit in the RMP a single certification that, to the best of the 
signer's knowledge, information, and belief formed after reasonable 
inquiry, the information submitted is true, accurate, and complete.



Sec. 68.190  Updates.

    (a) The owner or operator shall review and update the RMP as 
specified in paragraph (b) of this section and submit it in a method and 
format to a central point specified by EPA prior to June 21, 1999.
    (b) The owner or operator of a stationary source shall revise and 
update the RMP submitted under Sec. 68.150 as follows:
    (1) Within five years of its initial submission or most recent 
update required by paragraphs (b)(2) through (b)(7) of this section, 
whichever is later.
    (2) No later than three years after a newly regulated substance is 
first listed by EPA;
    (3) No later than the date on which a new regulated substance is 
first present in an already covered process above a threshold quantity;
    (4) No later than the date on which a regulated substance is first 
present above a threshold quantity in a new process;
    (5) Within six months of a change that requires a revised PHA or 
hazard review;
    (6) Within six months of a change that requires a revised offsite 
consequence analysis as provided in Sec. 68.36; and
    (7) Within six months of a change that alters the Program level that 
applied to any covered process.
    (c) If a stationary source is no longer subject to this part, the 
owner or operator shall submit a revised registration to EPA within six 
months indicating that the stationary source is no longer covered.



                      Subpart H--Other Requirements

    Source: 61 FR 31728, June 20, 1996, unless otherwise noted.



Sec. 68.200  Recordkeeping.

    The owner or operator shall maintain records supporting the 
implementation of this part for five years unless otherwise provided in 
subpart D of this part.



Sec. 68.210  Availability of information to the public.

    (a) The RMP required under subpart G of this part shall be available 
to the public under 42 U.S.C. 7414(c).
    (b) The disclosure of classified information by the Department of 
Defense or other Federal agencies or contractors of such agencies shall 
be controlled by applicable laws, regulations, or executive orders 
concerning the release of classified information.



Sec. 68.215  Permit content and air permitting authority or designated agency requirements.

    (a) These requirements apply to any stationary source subject to 
this part 68 and parts 70 or 71 of this chapter. The 40 CFR part 70 or 
part 71 permit for the stationary source shall contain:
    (1) A statement listing this part as an applicable requirement;
    (2) Conditions that require the source owner or operator to submit:
    (i) A compliance schedule for meeting the requirements of this part 
by the date provided in Sec. 68.10(a) or;
    (ii) As part of the compliance certification submitted under 40 CFR 
70.6(c)(5), a certification statement that the source is in compliance 
with all requirements of this part, including the registration and 
submission of the RMP.
    (b) The owner or operator shall submit any additional relevant 
information requested by the air permitting authority or designated 
agency.
    (c) For 40 CFR part 70 or part 71 permits issued prior to the 
deadline for registering and submitting the RMP and which do not contain 
permit conditions described in paragraph (a) of this section, the owner 
or operator or air

[[Page 69]]

permitting authority shall initiate permit revision or reopening 
according to the procedures of 40 CFR 70.7 or 71.7 to incorporate the 
terms and conditions consistent with paragraph (a) of this section.
    (d) The state may delegate the authority to implement and enforce 
the requirements of paragraph (e) of this section to a state or local 
agency or agencies other than the air permitting authority. An up-to-
date copy of any delegation instrument shall be maintained by the air 
permitting authority. The state may enter a written agreement with the 
Administrator under which EPA will implement and enforce the 
requirements of paragraph (e) of this section.
    (e) The air permitting authority or the agency designated by 
delegation or agreement under paragraph (d) of this section shall, at a 
minimum:
    (1) Verify that the source owner or operator has registered and 
submitted an RMP or a revised plan when required by this part;
    (2) Verify that the source owner or operator has submitted a source 
certification or in its absence has submitted a compliance schedule 
consistent with paragraph (a)(2) of this section;
    (3) For some or all of the sources subject to this section, use one 
or more mechanisms such as, but not limited to, a completeness check, 
source audits, record reviews, or facility inspections to ensure that 
permitted sources are in compliance with the requirements of this part; 
and
    (4) Initiate enforcement action based on paragraphs (e)(1) and 
(e)(2) of this section as appropriate.



Sec. 68.220  Audits.

    (a) In addition to inspections for the purpose of regulatory 
development and enforcement of the Act, the implementing agency shall 
periodically audit RMPs submitted under subpart G of this part to review 
the adequacy of such RMPs and require revisions of RMPs when necessary 
to ensure compliance with subpart G of this part.
    (b) The implementing agency shall select stationary sources for 
audits based on any of the following criteria:
    (1) Accident history of the stationary source;
    (2) Accident history of other stationary sources in the same 
industry;
    (3) Quantity of regulated substances present at the stationary 
source;
    (4) Location of the stationary source and its proximity to the 
public and environmental receptors;
    (5) The presence of specific regulated substances;
    (6) The hazards identified in the RMP; and
    (7) A plan providing for neutral, random oversight.
    (c) Exemption from audits. A stationary source with a Star or Merit 
ranking under OSHA's voluntary protection program shall be exempt from 
audits under paragraph (b)(2) and (b)(7) of this section.
    (d) The implementing agency shall have access to the stationary 
source, supporting documentation, and any area where an accidental 
release could occur.
    (e) Based on the audit, the implementing agency may issue the owner 
or operator of a stationary source a written preliminary determination 
of necessary revisions to the stationary source's RMP to ensure that the 
RMP meets the criteria of subpart G of this part. The preliminary 
determination shall include an explanation for the basis for the 
revisions, reflecting industry standards and guidelines (such as AIChE/
CCPS guidelines and ASME and API standards) to the extent that such 
standards and guidelines are applicable, and shall include a timetable 
for their implementation.
    (f) Written response to a preliminary determination. (1) The owner 
or operator shall respond in writing to a preliminary determination made 
in accordance with paragraph (e) of this section. The response shall 
state the owner or operator will implement the revisions contained in 
the preliminary determination in accordance with the timetable included 
in the preliminary determination or shall state that the owner or 
operator rejects the revisions in whole or in part. For each rejected 
revision, the owner or operator shall explain the basis for rejecting 
such revision. Such explanation may include substitute revisions.

[[Page 70]]

    (2) The written response under paragraph (f)(1) of this section 
shall be received by the implementing agency within 90 days of the issue 
of the preliminary determination or a shorter period of time as the 
implementing agency specifies in the preliminary determination as 
necessary to protect public health and the environment. Prior to the 
written response being due and upon written request from the owner or 
operator, the implementing agency may provide in writing additional time 
for the response to be received.
    (g) After providing the owner or operator an opportunity to respond 
under paragraph (f) of this section, the implementing agency may issue 
the owner or operator a written final determination of necessary 
revisions to the stationary source's RMP. The final determination may 
adopt or modify the revisions contained in the preliminary determination 
under paragraph (e) of this section or may adopt or modify the 
substitute revisions provided in the response under paragraph (f) of 
this section. A final determination that adopts a revision rejected by 
the owner or operator shall include an explanation of the basis for the 
revision. A final determination that fails to adopt a substitute 
revision provided under paragraph (f) of this section shall include an 
explanation of the basis for finding such substitute revision 
unreasonable.
    (h) Thirty days after completion of the actions detailed in the 
implementation schedule set in the final determination under paragraph 
(g) of this section, the owner or operator shall be in violation of 
subpart G of this part and this section unless the owner or operator 
revises the RMP prepared under subpart G of this part as required by the 
final determination, and submits the revised RMP as required under 
Sec. 68.150.
    (i) The public shall have access to the preliminary determinations, 
responses, and final determinations under this section in a manner 
consistent with Sec. 68.210.
    (j) Nothing in this section shall preclude, limit, or interfere in 
any way with the authority of EPA or the state to exercise its 
enforcement, investigatory, and information gathering authorities 
concerning this part under the Act.

[[Page 71]]

Pt. 68, App. A

                                 Appendix A to Part 68--Table of Toxic Endpoints
                                    [As defined in Sec.  68.22 of this part]
----------------------------------------------------------------------------------------------------------------
                                                                                                        Toxic
                   CAS No.                                        Chemical name                     endpoint (mg/
                                                                                                         L)
----------------------------------------------------------------------------------------------------------------
107-02-8.....................................  Acrolein [2-Propenal]..............................       0.0011
107-13-1.....................................  Acrylonitrile [2-Propenenitrile]...................       0.076
814-68-6.....................................  Acrylyl chloride [2-Propenoyl chloride]............       0.00090
107-18-6.....................................  Allyl alcohol [2-Propen-1-ol]......................       0.036
107-11-9.....................................  Allylamine [2-Propen-1-amine]......................       0.0032
7664-41-7....................................  Ammonia (anhydrous)................................       0.14
7664-41-7....................................  Ammonia (conc 20% or greater)......................       0.14
7784-34-1....................................  Arsenous trichloride...............................       0.010
7784-42-1....................................  Arsine.............................................       0.0019
10294-34-5...................................  Boron trichloride [Borane, trichloro-].............       0.010
7637-07-2....................................  Boron trifluoride [Borane, trifluoro-].............       0.028
353-42-4.....................................  Boron trifluoride compound with methyl ether (1:1)        0.023
                                                [Boron, trifluoro[oxybis[methane]]-, T-4.
7726-95-6....................................  Bromine............................................       0.0065
75-15-0......................................  Carbon disulfide...................................       0.16
7782-50-5....................................  Chlorine...........................................       0.0087
10049-04-4...................................  Chlorine dioxide [Chlorine oxide (ClO2)]...........       0.0028
67-66-3......................................  Chloroform [Methane, trichloro-]...................       0.49
542-88-1.....................................  Chloromethyl ether [Methane, oxybis[chloro-].......       0.00025
107-30-2.....................................  Chloromethyl methyl ether [Methane, chloromethoxy-]       0.0018
4170-30-3....................................  Crotonaldehyde [2-Butenal].........................       0.029
123-73-9.....................................  Crotonaldehyde, (E)-, [2-Butenal, (E)-]............       0.029
506-77-4.....................................  Cyanogen chloride..................................       0.030
108-91-8.....................................  Cyclohexylamine [Cyclohexanamine]..................       0.16
19287-45-7...................................  Diborane...........................................       0.0011
75-78-5......................................  Dimethyldichlorosilane [Silane, dichlorodimethyl-].       0.026
57-14-7......................................  1,1-Dimethylhydrazine [Hydrazine, 1,1-dimethyl-]...       0.012
106-89-8.....................................  Epichlorohydrin [Oxirane, (chloromethyl)-].........       0.076
107-15-3.....................................  Ethylenediamine [1,2-Ethanediamine]................       0.49
151-56-4.....................................  Ethyleneimine [Aziridine]..........................       0.018
75-21-8......................................  Ethylene oxide [Oxirane]...........................       0.090
7782-41-4....................................  Fluorine...........................................       0.0039
50-00-0......................................  Formaldehyde (solution)............................       0.012
110-00-9.....................................  Furan..............................................       0.0012
302-01-2.....................................  Hydrazine..........................................       0.011
7647-01-0....................................  Hydrochloric acid (conc 37% or greater)............       0.030
74-90-8......................................  Hydrocyanic acid...................................       0.011
7647-01-0....................................  Hydrogen chloride (anhydrous) [Hydrochloric acid]..       0.030
7664-39-3....................................  Hydrogen fluoride/Hydrofluoric acid (conc 50% or          0.016
                                                greater) [Hydrofluoric acid].
7783-07-5....................................  Hydrogen selenide..................................       0.00066
7783-06-4....................................  Hydrogen sulfide...................................       0.042
13463-40-6...................................  Iron, pentacarbonyl- [Iron carbonyl (Fe(CO)5), (TB-       0.00044
                                                5-11)-].
78-82-0......................................  Isobutyronitrile [Propanenitrile, 2-methyl-].......       0.14
108-23-6.....................................  Isopropyl chloroformate [Carbonochloride acid, 1-         0.10
                                                methylethyl ester].
126-98-7.....................................  Methacrylonitrile [2-Propenenitrile, 2-methyl-]....       0.0027

[[Page 72]]

 
74-87-3......................................  Methyl chloride [Methane, chloro-].................       0.82
79-22-1......................................  Methyl chloroformate [Carbonochloridic acid,              0.0019
                                                methylester].
60-34-4......................................  Methyl hydrazine [Hydrazine, methyl-]..............       0.0094
624-83-9.....................................  Methyl isocyanate [Methane, isocyanato-]...........       0.0012
74-93-1......................................  Methyl mercaptan [Methanethiol]....................       0.049
556-64-9.....................................  Methyl thiocyanate [Thiocyanic acid, methyl ester].       0.085
75-79-6......................................  Methyltrichlorosilane [Silane, trichloromethyl-]...       0.018
13463-39-3...................................  Nickel carbonyl....................................       0.00067
7697-37-2....................................  Nitric acid (conc 80% or greater)..................       0.026
10102-43-9...................................  Nitric oxide [Nitrogen oxide (NO)].................       0.031
8014-95-7....................................  Oleum (Fuming Sulfuric acid) [Sulfuric acid,              0.010
                                                mixture with sulfur trioxide].
79-21-0......................................  Peracetic acid [Ethaneperoxoic acid]...............       0.0045
594-42-3.....................................  Perchloromethylmercaptan [Methanesulfenyl chloride,       0.0076
                                                trichloro-].
75-44-5......................................  Phosgene [Carbonic dichloride].....................       0.00081
7803-51-2....................................  Phosphine..........................................       0.0035
10025-87-3...................................  Phosphorus oxychloride [Phosphoryl chloride].......       0.0030
7719-12-2....................................  Phosphorus trichloride [Phosphorous trichloride]...       0.028
110-89-4.....................................  Piperidine.........................................       0.022
107-12-0.....................................  Propionitrile [Propanenitrile].....................       0.0037
109-61-5.....................................  Propyl chloroformate [Carbonochloridic acid,              0.010
                                                propylester].
75-55-8......................................  Propyleneimine [Aziridine, 2-methyl-]..............       0.12
75-56-9......................................  Propylene oxide [Oxirane, methyl-].................       0.59
7446-09-5....................................  Sulfur dioxide (anhydrous).........................       0.0078
7783-60-0....................................  Sulfur tetrafluoride [Sulfur fluoride (SF4), (T-4)-       0.0092
                                                ].
7446-11-9....................................  Sulfur trioxide....................................       0.010
75-74-1......................................  Tetramethyllead [Plumbane, tetramethyl-]...........       0.0040
509-14-8.....................................  Tetranitromethane [Methane, tetranitro-]...........       0.0040
7750-45-0....................................  Titanium tetrachloride [Titanium chloride (TiCl4)         0.020
                                                (T-4)-].
584-84-9.....................................  Toluene 2,4-diisocyanate [Benzene, 2,4-diisocyanato-      0.0070
                                                1-methyl-].
91-08-7......................................  Toluene 2,6-diisocyanate [Benzene, 1,3-diisocyanato-      0.0070
                                                2-methyl-].
26471-62-5...................................  Toluene diisocyanate (unspecified isomer) [Benzene,       0.0070
                                                1,3-diisocyanatomethyl-].
75-77-4......................................  Trimethylchlorosilane [Silane, chlorotrimethyl-]...       0.050
108-05-4.....................................  Vinyl acetate monomer [Acetic acid ethenyl ester]..       0.26
----------------------------------------------------------------------------------------------------------------

[61 FR 31729, June 20, 1996, as amended at 62 FR 45132, Aug. 25, 1997]

[[Page 73]]



PART 69--SPECIAL EXEMPTIONS FROM REQUIREMENTS OF THE CLEAN AIR ACT--Table of Contents




                             Subpart A--Guam

Sec.
69.11  New exemptions.
69.12  Continuing exemptions.
69.13  Title V conditional exemption.

                        Subpart B--American Samoa

69.21  New exemptions. [Reserved]
69.22  Title V conditional exemption.

         Subpart C--Commonwealth of the Northern Mariana Islands

69.31  New exemptions. [Reserved]
69.32  Title V conditional exemption.

                   Subpart D--The U.S. Virgin Islands

69.41  New exemptions.

                            Subpart E--Alaska

69.51  Exemptions.

    Authority: 42 U.S.C. 7545(1) and (g), 7625-1.

    Source: 50 FR 25577, June 20, 1985, unless otherwise noted.



                             Subpart A--Guam



Sec. 69.11  New exemptions.

    (a) Pursuant to section 325(a) of the Clean Air Act (``CAA'') and a 
petition submitted by the Governor of Guam (``Petition''), the 
Administrator of the Environmental Protection Agency (``EPA'') 
conditionally exempts electric generating units on Guam from certain CAA 
requirements.
    (1) A waiver of the requirement to obtain a prevention of 
significant deterioration (``PSD'') permit prior to construction is 
granted for the electric generating units identified in the Petition as 
Cabras Diesel No. 1, the Tenjo project, and three 6-megawatt diesel 
generators to be constructed at Orote, with the following conditions:
    (i) Each electric generating unit shall not be operated until a 
final PSD permit is issued for that unit;
    (ii) Each electric generating unit shall not be operated until that 
unit complies with all requirements of its PSD permit, including, if 
necessary, retrofitting with the best available control technology 
(``BACT'');
    (iii) The PSD application for each electric generating unit shall be 
deemed complete without the submittal of the required one year of on-
site meteorological data, however, EPA will not issue a PSD permit to 
such a unit prior to submission of such data or data which the EPA finds 
to be an equivalent and acceptable substitute; and
    (iv) If any electric generating unit covered by this paragraph is 
operated either prior to the issuance of a final PSD permit or without 
BACT equipment, that electric generating unit shall be deemed in 
violation of this waiver and the CAA beginning on the date of 
commencement of construction of that unit.
    (2) A waiver of the three nonattainment area requirements (a 
construction ban, the use of lowest achievable emission rate control 
equipment, and emission offset requirements) currently applicable to the 
Cabras-Piti area is granted for electric generating units with the 
following conditions:
    (i) A tower and meteorological station shall be constructed in the 
Cabras-Piti area by May 1, 1993;
    (ii) Meteorological data shall be collected from the Cabras-Piti 
station which is sufficient to run air quality models both to 
demonstrate no current exceedences of the primary national ambient air 
quality standard for sulfur dioxide (``sulfur dioxide NAAQS''), as set 
forth at 40 CFR 50.4, and sufficient to submit a complete request for 
redesignation of the area to attainment;
    (iii) Ambient sulfur dioxide monitors shall be installed and 
operated in accordance with the procedures set forth at 40 CFR part 58, 
the PSD air monitoring requirements, and any additional monitoring 
requested by EPA to verify the efficacy of the intermittent control 
strategy (``ICS'') of fuel switching;
    (iv) Within three years from the effective date of this waiver, the 
Governor of Guam shall submit to the EPA a complete request that the 
Cabras-Piti area be redesignated to attainment for the sulfur dioxide 
NAAQS;
    (v) Electric generating units to be constructed in the Cabras-Piti 
area

[[Page 74]]

must submit applications for PSD permits as though the area had been 
redesignated to attainment for the sulfur dioxide NAAQS;
    (vi) The Cabras-Piti area electric generating units shall comply 
with the fuel switching ICS described in paragraph (a)(3)(i) of this 
section;
    (vii) If the collected data and air quality analysis does not 
demonstrate to the EPA's satisfaction that there are no current or 
likely future exceedences of the sulfur dioxide NAAQS, the EPA will so 
notify the Governor of Guam;
    (viii) Within six months of such notification, the Governor of Guam 
shall submit to the EPA an implementation plan which includes a schedule 
of emission reductions and/or control measures that will ensure 
achievement of the sulfur dioxide NAAQS within one year of submission of 
the implementation plan; and
    (ix) If the Governor of Guam fails to submit an implementation plan 
in a timely fashion, or if EPA disapproves that implementation plan, all 
electric generating units subject to the fuel switching ICS described in 
paragraph (a)(3)(i) of this section shall be fueled exclusively with low 
sulfur fuel.
    (3) A waiver of the prohibition on the use of the ICS of fuel 
switching is granted for electric generating units with the following 
conditions:
    (i) The protocol to be followed for the ICS of fuel switching for 
electric generating units shall be the one set forth in a separate EPA 
document entitled Cabras-Piti Area Intermittent Control Strategy; and
    (ii) This protocol may be modified by the EPA to protect against 
exceedences of the sulfur dioxide NAAQS and to accommodate additional 
electric generating units.
    (b) The waiver will be periodically reviewed (at intervals no longer 
than three years) and, as deemed appropriate by the Administrator, can 
be modified or terminated at any time through rulemaking procedures.
    (c) Pursuant to Section 325(a) of the CAA and a petition submitted 
by the Governor of Guam on July 14, 1995 (``1995 Petition''), the 
Administrator of EPA conditionally exempts Guam Power Authority 
(``GPA'') from certain CAA requirements.
    (1) A waiver of the requirement to obtain a PSD permit prior to 
construction is granted for the electric generating unit identified in 
the 1995 Petition as Cabras Unit No. 4, with the following conditions:
    (i) Cabras Unit No. 4 shall not operate until a final PSD permit is 
received by GPA for this unit;
    (ii) Cabras Unit No. 4 shall not operate until it complies with all 
requirements of its PSD permit, including, if necessary, retrofitting 
with BACT;
    (iii) If Cabras Unit No. 4 operates either prior to the issuance of 
a final PSD permit or without BACT equipment, Cabras Unit No. 4 shall be 
deemed in violation of this waiver and the CAA beginning on the date of 
commencement of construction of the unit.
    (2) A waiver of the requirement to obtain a PSD permit prior to the 
operation of the unit identified in the 1995 Petition as Cabras Unit No. 
3 is granted subject to the following conditions:
    (i) The protocol to be followed for the ICS of fuel switching for 
electric generating units shall be modified to require the use of fuel 
oil with a sulfur content of 2.00 percent or less during offshore wind 
conditions. This fuel shall be fired in Cabras Power Plant Units Nos. 1 
through 3 and in Piti Power Plant Units Nos. 4 and 5.
    (ii) Cabras Unit No. 3 shall operate in compliance with all 
applicable requirements in its permits to construct and to operate as 
issued by Guam Environmental Protection Agency.
    (iii) The waiver provisions allowing Cabras Unit No. 3 to operate 
prior to issuance of a PSD permit shall expire on August 15, 1996, or 
upon the receipt by GPA of a PSD permit for Cabras Unit No. 3, whichever 
event occurs first.
    (3) On or before October 15, 1995, GPA shall submit to EPA, Region 
IX, a report concerning the operation of Cabras Unit No. 3 and the 
construction of Cabras Unit No. 4. The report shall contain:
    (i) A summary of GPA's conclusions from its wind tunnel study;
    (ii) A description of the alternatives available to assure 
compliance with all air quality requirements, including

[[Page 75]]

PSD requirements, during the operation of Cabras Units Nos. 3 and 4;
    (iii) A description of the alternative GPA chooses to assure 
compliance with all air quality requirements, including PSD 
requirements, during the operation of Cabras Units Nos. 3 and 4; and
    (iv) A plan of implementation by GPA.
    (d)(1) Pursuant to Section 325(a) of the CAA and a petition 
submitted by the Governor of Guam on February 11, 1997 (``1997 
Petition''), the Administrator of EPA conditionally exempts Piti Power 
Plant Units No. 8 and No. 9 from certain CAA requirements.
    (2) A waiver of the requirement to obtain a PSD permit prior to 
construction is granted for the electric generating units identified in 
the 1997 Petition as Piti Units No. 8 and No. 9 (two 45 megawatt 
baseload diesel electric generators and associated waste heat recovery 
boilers with a steam generator), with the following conditions:
    (i) Piti Units No. 8 and No. 9 shall not operate until final PSD 
permits are received for these units;
    (ii) Piti Units No. 8 and No. 9 shall not operate until they comply 
with all requirements of their PSD permits, including, if necessary, 
retrofitting with BACT;
    (iii) If either Piti Units No. 8 or No. 9 operate either prior to 
the issuance of a final PSD permit or without BACT equipment, the Piti 
Unit(s) shall be deemed in violation of this waiver and the CAA 
beginning on the date of commencement of construction of the unit(s).

[58 FR 43043, Aug. 12, 1993, as amended at 60 FR 48038, Sept. 18, 1995; 
62 FR 44416, Aug. 21, 1997]



Sec. 69.12  Continuing exemptions.

    (a) Effective on the expiration date of the initial eighteen month 
exemption provided under section 325(b) of ``the Act'', the 
Administrator of the Environmental Protection Agency (EPA) exempts the 
Guam Power Authority's two sixty-six megawatt oil-fired steam units 
which comprise the Cabras Power Plant from sulfur dioxide requirements 
associated with New Source Performance Standards (NSPS) under section 
111 of the Clean Air Act and from the related NSPS limitation on sulfur 
dioxide emissions contained in the Guam SIP.
    (b) The exemption will be reviewed at intervals and upon occasions 
to be specified by EPA (not longer than 2 years), allowing EPA to 
determine whether the factual circumstances upon which it is based, 
including commitments made by GPA in the application for extension and 
the continuing attainment of the National Ambient Air Quality Standards 
(NAAQS) for Sulfur Dioxide, have changed. The commitments include 
reporting requirements specified by the Guam Environmental Protection 
Agency (GEPA), including but not limited to strict implementation of 
both the monitoring (wind direction and ambient SO2 
concentration) and fuel switching portions of the control strategy, 
reporting to GEPA of all applications of the strategy, and reporting to 
GEPA of laboratory analyses of percent sulfur in all new fuel stocks 
acquired GPA. A finding by EPA that the source is not in compliance with 
the terms of the exemption will be grounds for enforcement of the terms 
of the exemption under section 113. A finding by EPA that factual 
circumstances have changed will be grounds for revocation of the 
exemption and enforcement of the underlying Clean Air Act requirements.
    (c) It is a condition of this action that GPA provide to EPA a copy 
of any GPA application for rate changes or for commercial credit for 
construction or replacement of capital assets, simultaneously with 
submission of such application to the rate making authority or 
commercial credit institution. No later than the 90th day after a 
finding by EPA that the circumstances upon which the determination for 
continuing the exemption was originally made have changed, this 
exemption shall terminate unless within that time GPA submits 
information that it is taking all practicable steps to comply with NSPS 
and SIP requirements related to SO2. EPA shall review such 
information under the procedures it has established and shall, as 
appropriate, extend or terminate the exemption.

[[Page 76]]



Sec. 69.13  Title V conditional exemption.

    (a) Conditional exemption. In response to a petition submitted by 
the Governor of Guam and pursuant to section 325(a) of the Clean Air Act 
(Act), the Administrator of the United States EPA (EPA) grants the 
following conditional exemptions:
    (1) Guam is exempted from the requirement to develop, submit for 
approval, and implement an operating permit program under title V of the 
Clean Air Act on the condition that Guam meets the requirements of 
paragraph (b) of this section and subject to the provisions of 
paragraphs (c) through (e) of this section.
    (2) Except for sources listed under paragraph (a)(4) of this 
section, owners or operators of sources located in Guam subject to the 
operating permit requirements of title V of the Clean Air Act are exempt 
from the requirement to apply for and obtain a title V operating permit, 
on the condition that the owner or operator of each such source must 
apply for and obtain an operating permit under an EPA approved alternate 
program that meets the requirements of paragraph (b) of this section and 
subject to the provisions of paragraphs (c) through (e) of this section. 
The owner or operator of each such source shall apply for and obtain a 
permit under the alternate operating permit program by the deadlines set 
forth in the approved program, but in any event shall obtain a permit no 
later than January 13, 2003. If the owner or operator of any source has 
not obtained an operating permit under an alternate operating program 
approved by EPA for Guam by January 13, 2003, the exemption for such 
source shall expire and the owner or operator of such source shall 
become subject to the permitting requirements of 40 CFR part 71 on that 
date, consistent with paragraph (d)(4) of this section.
    (3) Upon EPA approval of an alternate operating permit program 
adopted by Guam in accordance with this Sec. 69.13, a person shall not 
violate any permit condition or term in a permit that has been issued 
under such alternate permit program.
    (4) This exemption does not apply to owners or operators of major 
sources of hazardous air pollutants (HAPs) as defined under section 112 
of the Clean Air Act or to owners or operators of solid waste 
incinerators subject to the title V requirements of section 129(e) of 
the Act. Owners or operators of major sources of HAPs or solid waste 
incinerators shall be subject to the requirements of 40 CFR part 71 and 
shall apply for and obtain a part 71 permit by the deadlines specified 
in 40 CFR part 71. Any owner or operator of a major source of HAPs 
subject to 40 CFR part 63, subpart B, shall submit a timely part 71 
permit application as required by 40 CFR part 71 and 40 CFR part 63, 
subpart B, requesting a case-by-case section 112(g) or 112(j) Maximum 
Achievable Control Technology (MACT) determination.
    (b) Requirements for the alternate operating program. Guam shall 
develop and submit an alternate operating permit program (the program) 
to EPA for approval. Upon approval by EPA, Guam shall implement the 
program. The program, including the necessary statutory and regulatory 
authority, must be submitted by January 13, 1999 for approval. The 
submittal shall include the following elements:
    (1) The program must contain regulations that ensure that:
    (i) The permits shall include emission limits and standards, and 
other terms or conditions necessary to ensure compliance with all 
applicable federal requirements, as defined under 40 CFR 70.2.
    (ii) The limitations, controls, and requirements in the permits 
shall be permanent, quantifiable, and otherwise enforceable as a 
practical matter.
    (iii) Permits shall contain monitoring, recordkeeping and reporting 
requirements sufficient to ensure compliance with applicable federal 
requirements during the reporting period.
    (iv) The program shall require that the owner or operator of each 
source submit permit applications with compliance certifications 
describing the source's compliance status with all applicable 
requirements. The program shall also provide that each permit contain a 
requirement that the owner or operator of a source submit annual

[[Page 77]]

compliance certifications. The compliance certification shall contain a 
compliance plan, and shall contain a schedule for expeditiously 
achieving compliance if the source is not in compliance with all 
applicable requirements. The program must provide that approval of a 
permit with a compliance plan and schedule does not sanction 
noncompliance.
    (2) The program shall provide for the collection of fees from 
permitted sources or other revenues in an amount that will pay for the 
cost of operation of such a program and ensure that these funds are used 
solely to support the program.
    (3) The program shall provide for public notice and a public comment 
period of at least 30 days for each permit, significant permit 
modification, and permit renewal, and shall include submittal to EPA of 
each permit, significant permit modification, and permit renewal.
    (4) The program shall provide EPA at least 45 days from receipt of a 
permit, modification, or renewal for EPA review and objection prior to 
issuance. The program shall provide that if EPA objects to a permit sent 
to EPA for review, Guam cannot issue such permit until the permit is 
revised in a manner that resolves EPA's objections. The program shall 
provide that Guam will have no more than 180 days to resolve EPA's 
objections and that if the objections are not resolved within that time 
period, EPA shall issue the permit under 40 CFR part 71.
    (5) The program shall provide that all documents other than 
confidential business information will be made available to the public.
    (6) The program shall provide Guam with the authority to enforce 
permits, including the authority to assess civil and criminal penalties 
up to $10,000 per day per violation and to enjoin activities that are in 
violation of the permit, the program, or the Act without first revoking 
the permit.
    (7) The program shall require that owners or operators of nonmajor 
sources of hazardous air pollutants that are required to obtain title V 
permits, and owners or operators of major sources of all other air 
pollutants as defined at 40 CFR 70.2 that are exempted from 40 CFR part 
71 under paragraph (a) of this section, obtain an operating permit under 
the approved program. The program shall include a schedule for issuing 
permits to all subject sources within three years of EPA approval of the 
program.
    (8) The program shall include a system of regular inspections of 
permitted sources, a system to identify any unpermitted major sources, 
and guidelines for appropriate responses to violations.
    (9) The program shall provide for the issuance of permits with a 
fixed term that shall not exceed five years.
    (10) The program shall allow Guam or the EPA to reopen a permit for 
cause. The program shall provide that if EPA provides Guam with written 
notice that a permit must be reopened for cause, Guam shall issue a 
revised permit within 180 days (including public notice and comment) 
that sufficiently addresses EPA's concerns. The program shall provide 
that if Guam fails to issue a permit that resolves EPA's concerns within 
180 days, then EPA will terminate, modify, or revoke and reissue the 
permit under part 71 after providing the permittee and the public with 
notice and opportunity for comment.
    (c) State Implementation Plan (SIP) submittal. In conjunction with 
the submittal of the alternative operating permit program, Guam shall, 
no later than January 13, 1999 submit a revision to its SIP that 
provides that a person shall not violate a permit condition or term in 
an operating permit that has been issued under an EPA approved alternate 
operating permit program adopted by Guam pursuant to the exemption 
authorized in this Sec. 69.13.
    (d) Expiration and revocation of the exemption. This exemption shall 
expire or may be revoked under the following circumstances:
    (1) If Guam fails to submit an alternate operating permit program by 
January 13, 1999, the exemption shall automatically expire with no 
further rulemaking and 40 CFR part 71 shall become effective for all 
subject sources in Guam on that date.
    (2) In the event that EPA disapproves Guam's alternate operating 
permit program because the program does not

[[Page 78]]

meet the requirements set forth in paragraph (b) of this section, EPA 
will revoke the exemption by rulemaking.
    (3) If, by January 13, 2003, the owner or operator of any subject 
source has not obtained a federally enforceable operating permit under 
an EPA approved program, the exemption shall automatically expire for 
such source and such source shall be subject to the permitting 
requirements of 40 CFR part 71. Guam will work with EPA to identify such 
sources prior to expiration of the exemption under this paragraph (d).
    (4) EPA shall revoke the exemption in its entirety through 
rulemaking if Guam does not adequately administer and enforce an 
alternate operating permit program approved by EPA.
    (5) EPA shall revoke the exemption by rulemaking with respect to the 
owner or operator of any source if, during the 45-day review period, EPA 
objects to issuance of a permit and Guam fails to resolve EPA's 
objections within 180 days. EPA shall also revoke the exemption by 
rulemaking for the owner or operator of any source in the event that EPA 
reopens a permit for cause and Guam does not issue a permit that 
resolves the concerns as set forth in EPA's notice to reopen within 180 
days.
    (6) EPA reserves its authority to revoke or modify this exemption in 
whole or in part.
    (e) Scope of the exemption. This exemption applies solely to the 
requirement that an owner or operator obtain an operating permit under 
title V of the Clean Air Act and the requirement that Guam implement a 
title V permit program. In addition, this exemption does not apply to 
owners or operators of sources set forth in paragraph (a)(4) of this 
section. Owners and operators of air pollutant sources are required to 
comply with all other applicable requirements of the Clean Air Act. For 
purposes of complying with any applicable requirement that is triggered 
or implemented by the approval of a title V permit program, the approval 
date for owners or operators to which this exemption applies shall be 
the date that EPA approves the alternate program for each territory or, 
for owners or operators of sources that are subject to 40 CFR part 71, 
the approval date shall be the effective date of 40 CFR part 71, which 
is July 31, 1996.

[61 FR 58289, Nov. 13, 1996; 61 FR 66077, Dec. 16, 1996]



                        Subpart B--American Samoa



Sec. 69.21  New exemptions. [Reserved]



Sec. 69.22  Title V conditional exemption.

    (a) Conditional exemption. In response to a petition submitted by 
the Governor of American Samoa (American Samoa) and pursuant to section 
325(a) of the Clean Air Act (Act), the Administrator of the United 
States EPA (EPA) grants the following conditional exemptions:
    (1) American Samoa is exempted from the requirement to develop, 
submit for approval, and implement an operating permit program under 
title V of the Clean Air Act on the condition that American Samoa meets 
the requirements of paragraph (b) of this section and subject to the 
provisions of paragraphs (c) through (f) of this section.
    (2) Except for sources listed under paragraph (a)(4) of this 
section, owners or operators of sources located in American Samoa 
subject to the operating permit requirements of title V of the Clean Air 
Act are exempt from the requirement to apply for and obtain a title V 
operating permit, on the condition that the owner or operator of each 
such source must apply for and obtain an operating permit under an EPA 
approved alternate program that meets the requirements of paragraph (b) 
of this section and subject to the provisions of paragraphs (c) through 
(f) of this section. The owner or operator of each such source shall 
apply for and obtain a permit under the alternate operating permit 
program by the deadlines set forth in the approved program, but in any 
event shall obtain a permit no later than January 13, 2003. If the owner 
or operator of any source has not obtained an operating permit under an 
alternate operating program approved by EPA for American Samoa by 
January 13, 2003, the exemption for such source shall expire and the 
owner or operator of such source shall become subject to the permitting 
requirements

[[Page 79]]

of 40 CFR part 71 on that date, consistent with paragraph (e)(4) of this 
section.
    (3) Upon EPA approval of an alternate operating permit program 
adopted by American Samoa in accordance with this Sec. 69.22, a person 
shall not violate any permit condition or term in a permit that has been 
issued under such alternate permit program.
    (4) This exemption does not apply to owners or operators of major 
sources of hazardous air pollutants (HAPs) as defined under section 112 
of the Clean Air Act or to owners or operators of solid waste 
incinerators subject to the title V requirements of section 129(e) of 
the Act. Owners or operators of major sources of HAPs or solid waste 
incinerators shall be subject to the requirements of 40 CFR part 71 and 
shall apply for and obtain a part 71 permit by the deadlines specified 
in 40 CFR part 71. Any owner or operator of a major source of HAPs 
subject to 40 CFR part 63, subpart B, shall submit a timely part 71 
permit application as required by 40 CFR part 71 and 40 CFR part 63, 
subpart B, requesting a case-by-case 112(g) or 112(j) Maximum Achievable 
Control Technology (MACT) determination.
    (b) Requirements for the alternate operating program. American Samoa 
shall develop and submit an alternate operating permit program (the 
program) to EPA for approval. Upon approval by EPA, American Samoa shall 
implement the program. The program, including the necessary statutory 
and regulatory authority, must be submitted by January 13, 1999 for 
approval. The submittal shall include the following elements:
    (1) The program must contain regulations that ensure that:
    (i) The permits shall include emission limits and standards, and 
other terms or conditions necessary to ensure compliance with all 
applicable federal requirements, as defined under 40 CFR 70.2.
    (ii) The limitations, controls, and requirements in the permits 
shall be permanent, quantifiable, and otherwise enforceable as a 
practical matter.
    (iii) Permits shall contain monitoring, recordkeeping and reporting 
requirements sufficient to ensure compliance with applicable federal 
requirements during the reporting period.
    (iv) The program shall require that the owner or operator of each 
source submit permit applications with compliance certifications 
describing the source's compliance status with all applicable 
requirements. The program shall also provide that each permit contain a 
requirement that the owner or operator of a source submit annual 
compliance certifications. The compliance certification shall contain a 
compliance plan, and shall contain a schedule for expeditiously 
achieving compliance if the source is not in compliance with all 
applicable requirements. The program must provide that approval of a 
permit with a compliance plan and schedule does not sanction 
noncompliance.
    (2) The program shall provide for the collection of fees from 
permitted sources or other revenues in an amount that will pay for the 
cost of operation of such a program and ensure that these funds are used 
solely to support the program.
    (3) The program shall provide for public notice and a public comment 
period of at least 30 days for each permit, significant permit 
modification, and permit renewal, and shall include submittal to EPA of 
each permit, significant permit modification, and permit renewal.
    (4) The program shall provide EPA at least 45 days from receipt of a 
permit, modification, or renewal for EPA review and objection prior to 
issuance. The program shall provide that if EPA objects to a permit sent 
to EPA for review, American Samoa cannot issue such permit until the 
permit is revised in a manner that resolves EPA's objections. The 
program will provide that American Samoa will have no more than 180 days 
to resolve EPA's objections and that if the objections are not resolved 
within that time period, EPA shall issue the permit under 40 CFR part 
71.
    (5) The program shall provide that all documents other than 
confidential business information will be made available to the public.
    (6) The program shall provide American Samoa with the authority to 
enforce permits, including the authority

[[Page 80]]

to assess civil and criminal penalties up to $10,000 per day per 
violation and to enjoin activities that are in violation of the permit, 
the program, or the Act without first revoking the permit.
    (7) The program shall require that owners or operators of nonmajor 
sources of hazardous air pollutants that are required to obtain title V 
permits, and owners or operators of major sources of all other air 
pollutants as defined in 40 CFR 70.2 that are exempted from 40 CFR part 
71 under paragraph (a) of this section, obtain an operating permit under 
the approved program. The program shall include a schedule for issuing 
permits to all subject sources within three years of EPA approval of the 
program.
    (8) The program shall include a system of regular inspections of 
permitted sources, a system to identify any unpermitted major sources, 
and guidelines for appropriate responses to violations.
    (9) The program shall provide for the issuance of permits with a 
fixed term that shall not exceed five years.
    (10) The program shall allow American Samoa or the EPA to reopen a 
permit for cause. The program shall provide that if EPA provides 
American Samoa with written notice that a permit must be reopened for 
cause, American Samoa shall issue a revised permit within 180 days 
(including public notice and comment) that sufficiently addresses EPA's 
concerns. The program shall provide that if American Samoa fails to 
issue a permit that resolves EPA's concerns within 180 days, then EPA 
will terminate, modify, or revoke and reissue the permit under part 71 
after providing the permittee and the public with notice and opportunity 
for comment.
    (c) Ambient air quality program. American Samoa shall implement the 
following program to address the National Ambient Air Quality Standards 
(NAAQS) as a condition of the waiver:
    (1) American Samoa shall collect complete meteorological data and 
complete refined air quality modeling for the Pago Pago Harbor and 
submit such data and modeling results to EPA by January 13, 1999.
    (2) American Samoa shall address any NAAQS exceedances demonstrated 
through the modeling results with revisions to its SIP that shall be 
submitted by January 13, 2000. The plan shall ensure compliance with the 
NAAQS is achieved by January 14, 2002.
    (d) State Implementation Plan (SIP) submittal. In conjunction with 
the submittal of the alternative operating permit program, American 
Samoa shall, no later than January 13, 1999, submit a revision to its 
SIP that provides that a person shall not violate a permit condition or 
term in an operating permit that has been issued under an EPA approved 
alternate operating permit program adopted by American Samoa pursuant to 
the exemption authorized in this Sec. 69.22.
    (e) Expiration and revocation of the exemption. This exemption shall 
expire or may be revoked under the following circumstances:
    (1) If American Samoa fails to submit the required alternate 
operating permit program or modeling (and supporting data) by March 15, 
1999, the exemption shall automatically expire with no further 
rulemaking and 40 CFR part 71 shall become effective for all subject 
sources in American Samoa on that date. The exemption will also expire 
with no further rulemaking in the event that American Samoa fails to 
submit a SIP revision by January 13, 2000, consistent with paragraph 
(c)(2) of this section.
    (2) In the event that EPA disapproves American Samoa's alternate 
operating permit program because the program does not meet the 
requirements set forth in paragraph (b) of this section, EPA will revoke 
the exemption by rulemaking.
    (3) If, by March 14, 2003, the owner or operator of any subject 
source has not obtained a federally enforceable operating permit under 
an EPA approved program, the exemption shall automatically expire for 
such source and such source shall be subject to the permitting 
requirements of 40 CFR part 71. American Samoa will work with EPA to 
identify such sources prior to expiration of the exemption under this 
paragraph (d).
    (4) EPA shall revoke the exemption in its entirety through 
rulemaking if American Samoa does not adequately

[[Page 81]]

administer and enforce an alternate operating permit program approved by 
EPA.
    (5) EPA shall revoke the exemption by rulemaking with respect to the 
owner or operator of any source if, during the 45-day review period, EPA 
objects to issuance of a permit and American Samoa fails to resolve 
EPA's objections within 180 days. EPA shall also revoke the exemption by 
rulemaking for the owner or operator of any source in the event that EPA 
reopens a permit for cause and American Samoa does not issue a permit 
that resolves the concerns as set forth in EPA's notice to reopen within 
180 days.
    (6) EPA reserves its authority to revoke or modify this exemption in 
whole or in part.
    (f) Scope of the exemption. This exemption applies solely to the 
requirement that an owner or operator obtain an operating permit under 
title V of the Clean Air Act and the requirement that American Samoa 
implement a title V permit program. In addition, this exemption does not 
apply to owners or operators of sources set forth in paragraph (a)(4) of 
this section. Owners and operators of air pollutant sources are required 
to comply with all other applicable requirements of the Clean Air Act. 
For purposes of complying with any applicable requirement that is 
triggered or implemented by the approval of a title V permit program, 
the approval date for owners or operators to which this exemption 
applies shall be the date that EPA approves the alternate program for 
each territory or, for owners or operators of sources that are subject 
to 40 CFR part 71, the approval date shall be the effective date of 40 
CFR part 71, which is July 31, 1996.

[61 FR 58291, Nov. 13, 1996; 61 FR 66077, Dec. 16, 1996]



         Subpart C--Commonwealth of the Northern Mariana Islands



Sec. 69.31  New exemptions. [Reserved]



Sec. 69.32  Title V conditional exemption.

    (a) Conditional exemption. In response to a petition submitted by 
the Governor of The Commonwealth of the Northern Mariana Islands (CNMI) 
and pursuant to section 325(a) of the Clean Air Act (Act), the 
Administrator of the United States EPA (EPA) grants the following 
conditional exemptions:
    (1) CNMI is exempted from the requirement to develop, submit for 
approval, and implement an operating permit program under title V of the 
Clean Air Act on the condition that CNMI meets the requirements of 
paragraph (b) of this section and subject to the provisions of 
paragraphs (c) through (f) of this section.
    (2) Except for sources listed under paragraph (a)(4) of this 
section, owners or operators of sources located in CNMI subject to the 
operating permit requirements of title V of the Clean Air Act are exempt 
from the requirement to apply for and obtain a title V operating permit, 
on the condition that the owner or operator of each such source must 
apply for and obtain an operating permit under an EPA approved alternate 
program that meets the requirements of paragraph (b) of this section and 
subject to the provisions of paragraphs (c) through (f) of this section. 
The owner or operator of each such source shall apply for and obtain a 
permit under the alternate operating permit program by the deadlines set 
forth in the approved program, but in any event shall obtain a permit no 
later than January 13, 2003. If the owner or operator of any source has 
not obtained an operating permit under an alternate operating program 
approved by EPA for CNMI by January 13, 2003, the exemption for such 
source shall expire and the owner or operator of such source shall 
become subject to the permitting requirements of 40 CFR part 71 on that 
date, consistent with paragraph (e)(3) of this section.
    (3) Upon EPA approval of an alternate operating permit program 
adopted by CNMI in accordance with this Sec. 69.32, a person shall not 
violate any permit condition or term in a permit that has been issued 
under such alternate permit program.
    (4) This exemption does not apply to owners or operators of major 
sources of hazardous air pollutants (HAPs) as defined under section 112 
of the Clean Air Act or to owners or operators of solid waste 
incinerators subject to the title V requirements of section 129(e) of 
the Act. Owners or operators of major

[[Page 82]]

sources of HAPs or solid waste incinerators shall be subject to the 
requirements of 40 CFR part 71 and shall apply for and obtain a part 71 
permit by the deadlines specified in 40 CFR part 71. Any owner or 
operator of a major source of HAPs subject to 40 CFR part 63, subpart B, 
shall submit a timely part 71 permit application as required by 40 CFR 
part 71 and 40 CFR part 63, subpart B, requesting a case-by-case section 
112(g) or 112(j) Maximum Achievable Control Technology (MACT) 
determination.
    (b) Requirements for the alternate operating program. CNMI shall 
develop and submit an alternate operating permit program (the program) 
to EPA for approval. Upon approval by EPA, CNMI shall implement the 
program. The program, including the necessary statutory and regulatory 
authority, must be submitted by January 13, 1999 for approval. The 
submittal shall include the following elements:
    (1) The program must contain regulations that ensure that:
    (i) The permits shall include emission limits and standards, and 
other terms or conditions necessary to ensure compliance with all 
applicable federal requirements, as defined under 40 CFR 70.2.
    (ii) The limitations, controls, and requirements in the permits 
shall be permanent, quantifiable, and otherwise enforceable as a 
practical matter.
    (iii) Permits shall contain monitoring, recordkeeping and reporting 
requirements sufficient to ensure compliance with applicable federal 
requirements during the reporting period.
    (iv) The program shall require that the owner or operator of each 
source submit permit applications with compliance certifications 
describing the source's compliance status with all applicable 
requirements. The program shall also provide that each permit contain a 
requirement that the owner or operator of a source submit annual 
compliance certifications. The compliance certification shall contain a 
compliance plan, and shall contain a schedule for expeditiously 
achieving compliance if the source is not in compliance with all 
applicable requirements. The program must provide that approval of a 
permit with a compliance plan and schedule does not sanction 
noncompliance.
    (2) The program shall provide for the collection of fees from 
permitted sources or other revenues in an amount that will pay for the 
cost of operation of such a program and ensure that these funds are used 
solely to support the program.
    (3) The program shall provide for public notice and a public comment 
period of at least 30 days for each permit, significant permit 
modification, and permit renewal, and shall include submittal to EPA of 
each permit, significant permit modification, and permit renewal.
    (4) The program shall provide EPA at least 45 days from receipt of a 
permit, modification, or renewal for EPA review and objection prior to 
issuance. The program shall provide that if EPA objects to a permit sent 
to EPA for review, CNMI cannot issue such permit until the permit is 
revised in a manner that resolves EPA's objections. The program will 
provide that CNMI will have no more than 180 days to resolve EPA's 
objections and that if the objections are not resolved within that time 
period, EPA shall issue the permit under 40 CFR part 71.
    (5) The program shall provide that all documents other than 
confidential business information will be made available to the public.
    (6) The program shall provide CNMI with the authority to enforce 
permits, including the authority to assess civil and criminal penalties 
up to $10,000 per day per violation and to enjoin activities that are in 
violation of the permit, the program, or the Act without first revoking 
the permit.
    (7) The program shall require that owners or operators of nonmajor 
sources of hazardous air pollutants that are required to obtain title V 
permits, and owners or operators of major sources of all other air 
pollutants as defined at 40 CFR 70.2 that are exempted from 40 CFR part 
71 under paragraph (a) of this section, obtain an operating permit under 
the approved program. The program shall include a schedule for issuing 
permits to all subject sources within three years of EPA approval of the 
program.

[[Page 83]]

    (8) The program shall include a system of regular inspections of 
permitted sources, a system to identify any unpermitted major sources, 
and guidelines for appropriate responses to violations.
    (9) The program shall provide for the issuance of permits with a 
fixed term that shall not exceed five years.
    (10) The program shall allow CNMI or the EPA to reopen a permit for 
cause. The program shall provide that if EPA provides CNMI with written 
notice that a permit must be reopened for cause, CNMI shall issue a 
revised permit within 180 days (including public notice and comment) 
that sufficiently addresses EPA's concerns. The program shall provide 
that if CNMI fails to issue a permit that resolves EPA's concerns within 
180 days, then EPA will terminate, modify, or revoke and reissue the 
permit under part 71 after providing the permittee and the public with 
notice and opportunity for comment.
    (c) Ambient air quality program. CNMI shall implement the following 
program to protect attainment of National Ambient Air Quality Standards 
(NAAQS) as a condition of the waiver:
    (1) CNMI shall enforce its January 19, 1987 Air Pollution Control 
(APC) regulations, including the requirement that all new or modified 
sources comply with the NAAQS and Prevention of Significant 
Deterioration (PSD) increments.
    (2) CNMI may conduct air emissions modeling, using EPA guidelines, 
for power plants located on Saipan to assess EPA's preliminary 
determination of non-compliance with the NAAQS for sulfur dioxide 
(SO2). CNMI shall complete and submit any additional modeling 
to EPA by January 13, 1998 to determine whether existing power plants 
cause or contribute to violation of the NAAQS and PSD increments in the 
APC regulations and 40 CFR 52.21.
    (3) If CNMI's additional modeling, based on EPA guidelines, predicts 
exceedances of the NAAQS for SO2, or if CNMI elects to accept 
EPA's preliminary determination that the NAAQS for SO2 have 
been exceeded, CNMI shall submit a revised SIP that ensures compliance 
with the NAAQS for SO2. CNMI shall submit the proposed 
revision to the SIP by January 13, 1998 or, if CNMI elects to conduct 
additional modeling, by January 13, 1999. CNMI shall take appropriate 
corrective actions through the SIP to demonstrate compliance with the 
NAAQS for SO2 by January 15, 2001.
    (d) State Implementation Plan (SIP) submittal. In conjunction with 
the submittal of the alternative operating permit program, CNMI shall, 
no later than January 13, 1999 submit a revision to its SIP that 
provides that a person shall not violate a permit condition or term in 
an operating permit that has been issued under an EPA approved alternate 
operating permit program adopted by CNMI pursuant to the exemption 
authorized in this Sec. 69.32.
    (e) Expiration and revocation of the exemption. This exemption shall 
expire or may be revoked under the following circumstances:
    (1) If CNMI fails to submit the required alternate operating permit 
program or any required SIP revision by January 13, 1999, the exemption 
shall automatically expire with no further rulemaking and 40 CFR part 71 
shall become effective for all subject sources in CNMI on that date, 
consistent with paragraph (c)(3) of this section.
    (2) In the event that EPA disapproves CNMI's alternate operating 
permit program because the program does not meet the requirements set 
forth in paragraph (b) of this section, EPA will revoke the exemption by 
rulemaking.
    (3) If, by January 13, 2003, the owner or operator of any subject 
source has not obtained a federally enforceable operating permit under 
an EPA approved program, the exemption shall automatically expire for 
such source and such source shall be subject to the permitting 
requirements of 40 CFR part 71. CNMI will work with EPA to identify such 
sources prior to expiration of the exemption under this paragraph (e).
    (4) EPA shall revoke the exemption in its entirety through 
rulemaking if CNMI does not adequately administer and enforce an 
alternate operating permit program approved by EPA.
    (5) EPA shall revoke the exemption by rulemaking with respect to the 
owner or operator of any source if, during the 45-day review period, EPA 
objects to issuance of a permit and CNMI

[[Page 84]]

fails to resolve EPA's objections within 180 days. EPA shall also revoke 
the exemption by rulemaking for the owner or operator of any source in 
the event that EPA reopens a permit for cause and CNMI does not issue a 
permit that resolves the concerns as set forth in EPA's notice to reopen 
within 180 days.
    (6) EPA reserves its authority to revoke or modify this exemption in 
whole or in part.
    (f) Scope of the exemption. This exemption applies solely to the 
requirement that an owner or operator obtain an operating permit under 
title V of the Clean Air Act and the requirement that CNMI implement a 
title V permit program. In addition, this exemption does not apply to 
owners or operators of sources set forth in paragraph (a)(4) of this 
section. Owners and operators of air pollutant sources are required to 
comply with all other applicable requirements of the Clean Air Act. For 
purposes of complying with any applicable requirement that is triggered 
or implemented by the approval of a title V permit program, the approval 
date for owners or operators to which this exemption applies shall be 
the date that EPA approves the alternate program for each territory or, 
for owners or operators of sources that are subject to 40 CFR part 71, 
the approval date shall be the effective date of 40 CFR part 71, which 
is July 31, 1996.

[61 FR 58292, Nov. 13, 1996; 61 FR 66077, Dec. 16, 1996]



                   Subpart D--The U.S. Virgin Islands



Sec. 69.41  New exemptions.

    (a) Pursuant to section 325(a) of the Clean Air Act and a petition 
submitted by the Governor of the Virgin Islands, an exemption to section 
123 of the Clean Air Act is granted to the Hess Oil Virgin Islands 
Corporation (HOVIC) at the St. Croix refinery. Specifically, the 
exemption waives the prohibition on the implementation of an 
Intermittent Control Strategy (ICS) based upon atmospheric conditions in 
order to set emission limitations. The emission limitations shall depend 
upon the sulfur content in the residual oil burned at the refinery.
    (b) The protocol to be followed for the ICS shall be set forth in a 
Prevention of Significant Deterioration of Air Quality (PSD) permit 
issued to HOVIC; and shall include as a minimum, the conditions listed 
in paragraphs (b)(1), (b)(2), (b)(3), and (b)(4) of this section.
    (1) HOVIC shall maintain a meteorological tower on its property for 
the purpose of the ICS which meets the required EPA QA/QC operating 
specifications. At a minimum, the wind direction data will be monitored, 
collected and reported as 1-hour averages, starting on the hour. If the 
average wind direction for a given hour is from within the designated 
sector, the wind will be deemed to have flowed from within the sector 
for that hour. Each ``day'' or ``block period'', for these purposes will 
start at midnight and end the following midnight.
    (2) HOVIC shall maintain SO2 ambient monitors and collect ambient 
SO2 concentration data for the purpose of implementing the ICS at nearby 
locations approved by EPA and specified in the PSD permit. The ambient 
monitors must follow the required EPA QA/QC operating specifications. At 
a minimum, the data will be collected according to EPA approved State 
and Local Ambient Monitoring Stations procedures found at 40 CFR 58.20, 
but will, for these purposes, be averaged by the hour, starting on the 
hour.
    (3) The switch to a lower sulfur fuel (0.5%) will take place when 
paragraphs (b)(3)(i) or (b)(3)(ii) of this section are met.
    (i) The winds blow from a 45 degree sector defined as 143 to 187 
degrees inclusive, where zero degrees is due north, for at least 6 
consecutive hours during a 24-hour block period or any 12 non-
consecutive hours during a 24 hour block period.
    (ii) One of HOVIC's ICS monitors measures an average ambient SO2 
concentration that is 75% of the 24-hour NAAQS during any rolling 24-
hour average. (75% of the 24-hour NAAQS = 274 ug/m3 or 0.105 ppm).
    (4) The switch back to the higher sulfur fuel (1.0%) may occur if 
the conditions in paragraphs (b)(4)(i), (b)(4)(ii), and (b)(4)(iii) of 
this section are met.
    (i) If the ICS was triggered by paragraph (b)(3)(i) of this section, 
the switch back may occur when the winds

[[Page 85]]

blow outside the sector listed in paragraph (b)(3)(i) of this section 
for at least 3 consecutive hours following the period during which the 
winds were blowing inside the sector.
    (ii) If the ICS was triggered by paragraph (b)(3)(ii) of this 
section, the switch back may occur after all of HOVIC's ICS ambient 
monitors measure a 24-hour average concentration which is less than 75% 
of the NAAQS for at least one 24-hour block period following any 
occurrence when the monitor measured the concentration which was 75% of 
the NAAQS.
    (iii) If the ICS was triggered by both paragraphs (b)(3)(i) and 
(b)(3)(ii) of this section, the switch back may occur when both of the 
conditions in paragraphs (b)(4)(i) and (b)(4)(ii) of this section are 
met.
    (c) The protocol may be modified by EPA to protect against 
exceedances of the sulfur dioxide NAAQS.
    (d) In the event that there is an exceedance of the NAAQS, HOVIC 
will report the exceedance to EPA and recommend corrective action as 
well as amendments to the protocol to ensure the protection of the 
NAAQS.
    (e) HOVIC must comply with all fuel switching requirements, 
contained in HOVIC's PSD permit.
    (f) This exemption shall take effect only in the event that a final 
PSD permit modification becomes effective.
    (g) The Administrator may terminate the exemption through rulemaking 
procedures upon determining that HOVIC's use of the ICS is causing or 
contributing to an exceedance of the NAAQS.

[62 FR 61205, Nov. 14, 1997]



                            Subpart E--Alaska



Sec. 69.51  Exemptions.

    (a) Persons in the state of Alaska, including but not limited to, 
refiners, importers, distributors, resellers, carriers, retailers or 
wholesale purchaser-consumers may manufacture, introduce into commerce, 
sell, offer for sale, supply, dispense, offer for supply, or transport 
diesel fuel, which fails to meet the sulfur concentration or dye 
requirements of 40 CFR 80.29, in the state of Alaska if the fuel is used 
only in the state of Alaska.
    (b) Persons outside the state of Alaska, including but not limited 
to, refiners, importers, distributors, resellers, carriers, retailers or 
wholesale purchaser-consumers may manufacture, introduce into commerce, 
sell, offer for sale, supply, offer for supply, or transport diesel 
fuel, which fails to meet the sulfur concentration or dye requirements 
of Sec. 80.29, outside the state of Alaska if the fuel is:
    (1) Used only in the state of Alaska; and
    (2) Accompanied by supporting documentation that clearly 
substantiates the fuel is for use only in the state of Alaska and does 
not comply with the Federal sulfur standard applicable to motor vehicle 
diesel fuel.
    (c) Beginning January 1, 2004, the exemptions provided in paragraphs 
(a) and (b) of this section are applicable only to fuel used in those 
areas of Alaska that are not served by the Federal Aid Highway System.

[63 FR 49465, Sept. 16, 1998, as amended at 64 FR 34133, June 25, 1999]



PART 70--STATE OPERATING PERMIT PROGRAMS--Table of Contents




Sec.
70.1  Program overview.
70.2  Definitions.
70.3  Applicability.
70.4  State program submittals and transition.
70.5  Permit applications.
70.6  Permit content.
70.7  Permit issuance, renewal, reopenings, and revisions.
70.8  Permit review by EPA and affected States.
70.9  Fee determination and certification.
70.10  Federal oversight and sanctions.
70.11  Requirements for enforcement authority.

Appendix A to Part 70--Approval Status of State and Local Operating 
          Permits Programs

    Authority: 42 U.S.C. 7401, et seq.

    Source: 57 FR 32295, July 21, 1992, unless otherwise noted.



Sec. 70.1  Program overview.

    (a) The regulations in this part provide for the establishment of 
comprehensive State air quality permitting

[[Page 86]]

systems consistent with the requirements of title V of the Clean Air Act 
(Act) (42 U.S.C. 7401, et seq.). These regulations define the minimum 
elements required by the Act for State operating permit programs and the 
corresponding standards and procedures by which the Administrator will 
approve, oversee, and withdraw approval of State operating permit 
programs.
    (b) All sources subject to these regulations shall have a permit to 
operate that assures compliance by the source with all applicable 
requirements. While title V does not impose substantive new 
requirements, it does require that fees be imposed on sources and that 
certain procedural measures be adopted especially with respect to 
compliance.
    (c) Nothing in this part shall prevent a State, or interstate 
permitting authority, from establishing additional or more stringent 
requirements not inconsistent with this Act. The EPA will approve State 
program submittals to the extent that they are not inconsistent with the 
Act and these regulations. No permit, however, can be less stringent 
than necessary to meet all applicable requirements. In the case of 
Federal intervention in the permit process, the Administrator reserves 
the right to implement the State operating permit program, in whole or 
in part, or the Federal program contained in regulations promulgated 
under title V of the Act.
    (d) The requirements of part 70, including provisions regarding 
schedules for submission and approval or disapproval of permit 
applications, shall apply to the permitting of affected sources under 
the acid rain program, except as provided herein or modified in 
regulations promulgated under title IV of the Act (acid rain program).
    (e) Issuance of State permits under this part may be coordinated 
with issuance of permits under the Resource Conservation and Recovery 
Act and under the Clean Water Act, whether issued by the State, the U.S. 
Environmental Protection Agency (EPA), or the U.S. Army Corps of 
Engineers.



Sec. 70.2  Definitions.

    The following definitions apply to part 70. Except as specifically 
provided in this section, terms used in this part retain the meaning 
accorded them under the applicable requirements of the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401, et seq.
    Affected source shall have the meaning given to it in the 
regulations promulgated under title IV of the Act.
    Affected States are all States:
    (1) Whose air quality may be affected and that are contiguous to the 
State in which a part 70 permit, permit modification or permit renewal 
is being proposed; or
    (2) That are within 50 miles of the permitted source.
    Affected unit shall have the meaning given to it in the regulations 
promulgated under title IV of the Act.
    Applicable requirement means all of the following as they apply to 
emissions units in a part 70 source (including requirements that have 
been promulgated or approved by EPA through rulemaking at the time of 
issuance but have future-effective compliance dates):
    (1) Any standard or other requirement provided for in the applicable 
implementation plan approved or promulgated by EPA through rulemaking 
under title I of the Act that implements the relevant requirements of 
the Act, including any revisions to that plan promulgated in part 52 of 
this chapter;
    (2) Any term or condition of any preconstruction permits issued 
pursuant to regulations approved or promulgated through rulemaking under 
title I, including parts C or D, of the Act;
    (3) Any standard or other requirement under section 111 of the Act, 
including section 111(d);
    (4) Any standard or other requirement under section 112 of the Act, 
including any requirement concerning accident prevention under section 
112(r)(7) of the Act;
    (5) Any standard or other requirement of the acid rain program under 
title IV of the Act or the regulations promulgated thereunder;
    (6) Any requirements established pursuant to section 504(b) or 
section 114(a)(3) of the Act;

[[Page 87]]

    (7) Any standard or other requirement governing solid waste 
incineration, under section 129 of the Act;
    (8) Any standard or other requirement for consumer and commercial 
products, under section 183(e) of the Act;
    (9) Any standard or other requirement for tank vessels under section 
183(f) of the Act;
    (10) Any standard or other requirement of the program to control air 
pollution from outer continental shelf sources, under section 328 of the 
Act;
    (11) Any standard or other requirement of the regulations 
promulgated to protect stratospheric ozone under title VI of the Act, 
unless the Administrator has determined that such requirements need not 
be contained in a title V permit; and
    (12) Any national ambient air quality standard or increment or 
visibility requirement under part C of title I of the Act, but only as 
it would apply to temporary sources permitted pursuant to section 504(e) 
of the Act.
    Designated representative shall have the meaning given to it in 
section 402(26) of the Act and the regulations promulgated thereunder.
    Draft permit means the version of a permit for which the permitting 
authority offers public participation under Sec. 70.7(h) or affected 
State review under Sec. 70.8 of this part.
    Emissions allowable under the permit means a federally enforceable 
permit term or condition determined at issuance to be required by an 
applicable requirement that establishes an emissions limit (including a 
work practice standard) or a federally enforceable emissions cap that 
the source has assumed to avoid an applicable requirement to which the 
source would otherwise be subject.
    Emissions unit means any part or activity of a stationary source 
that emits or has the potential to emit any regulated air pollutant or 
any pollutant listed under section 112(b) of the Act. This term is not 
meant to alter or affect the definition of the term ``unit'' for 
purposes of title IV of the Act.
    The EPA or the Administrator means the Administrator of the EPA or 
his designee.
    Final permit means the version of a part 70 permit issued by the 
permitting authority that has completed all review procedures required 
by Secs. 70.7 and 70.8 of this part.
    Fugitive emissions are those emissions which could not reasonably 
pass through a stack, chimney, vent, or other functionally-equivalent 
opening.
    General permit means a part 70 permit that meets the requirements of 
Sec. 70.6(d).
    Major source means any stationary source (or any group of stationary 
sources that are located on one or more contiguous or adjacent 
properties, and are under common control of the same person (or persons 
under common control)) belonging to a single major industrial grouping 
and that are described in paragraph (1), (2), or (3) of this definition. 
For the purposes of defining ``major source,'' a stationary source or 
group of stationary sources shall be considered part of a single 
industrial grouping if all of the pollutant emitting activities at such 
source or group of sources on contiguous or adjacent properties belong 
to the same Major Group (i.e., all have the same two-digit code) as 
described in the Standard Industrial Classification Manual, 1987.
    (1) A major source under section 112 of the Act, which is defined 
as:
    (i) For pollutants other than radionuclides, any stationary source 
or group of stationary sources located within a contiguous area and 
under common control that emits or has the potential to emit, in the 
aggregate, 10 tons per year (tpy) or more of any hazardous air pollutant 
which has been listed pursuant to section 112(b) of the Act, 25 tpy or 
more of any combination of such hazardous air pollutants, or such lesser 
quantity as the Administrator may establish by rule. Notwithstanding the 
preceding sentence, emissions from any oil or gas exploration or 
production well (with its associated equipment) and emissions from any 
pipeline compressor or pump station shall not be aggregated with 
emissions from other similar units, whether or not such units are in a 
contiguous area or under common control, to determine whether such units 
or stations are major sources; or

[[Page 88]]

    (ii) For radionuclides, ``major source'' shall have the meaning 
specified by the Administrator by rule.
    (2) A major stationary source of air pollutants, as defined in 
section 302 of the Act, that directly emits or has the potential to 
emit, 100 tpy or more of any air pollutant (including any major source 
of fugitive emissions of any such pollutant, as determined by rule by 
the Administrator). The fugitive emissions of a stationary source shall 
not be considered in determining whether it is a major stationary source 
for the purposes of section 302(j) of the Act, unless the source belongs 
to one of the following categories of stationary source:
    (i) Coal cleaning plants (with thermal dryers);
    (ii) Kraft pulp mills;
    (iii) Portland cement plants;
    (iv) Primary zinc smelters;
    (v) Iron and steel mills;
    (vi) Primary aluminum ore reduction plants;
    (vii) Primary copper smelters;
    (viii) Municipal incinerators capable of charging more than 250 tons 
of refuse per day;
    (ix) Hydrofluoric, sulfuric, or nitric acid plants;
    (x) Petroleum refineries;
    (xi) Lime plants;
    (xii) Phosphate rock processing plants;
    (xiii) Coke oven batteries;
    (xiv) Sulfur recovery plants;
    (xv) Carbon black plants (furnace process);
    (xvi) Primary lead smelters;
    (xvii) Fuel conversion plants;
    (xviii) Sintering plants;
    (xix) Secondary metal production plants;
    (xx) Chemical process plants;
    (xxi) Fossil-fuel boilers (or combination thereof) totaling more 
than 250 million British thermal units per hour heat input;
    (xxii) Petroleum storage and transfer units with a total storage 
capacity exceeding 300,000 barrels;
    (xxiii) Taconite ore processing plants;
    (xxiv) Glass fiber processing plants;
    (xxv) Charcoal production plants;
    (xxvi) Fossil-fuel-fired steam electric plants of more than 250 
million British thermal units per hour heat input; or
    (xxvii) All other stationary source categories regulated by a 
standard promulgated under section 111 or 112 of the Act, but only with 
respect to those air pollutants that have been regulated for that 
category;
    (3) A major stationary source as defined in part D of title I of the 
Act, including:
    (i) For ozone nonattainment areas, sources with the potential to 
emit 100 tpy or more of volatile organic compounds or oxides of nitrogen 
in areas classified as ``marginal'' or ``moderate,'' 50 tpy or more in 
areas classified as ``serious,'' 25 tpy or more in areas classified as 
``severe,'' and 10 tpy or more in areas classified as ``extreme''; 
except that the references in this paragraph to 100, 50, 25 and 10 tpy 
of nitrogen oxides shall not apply with respect to any source for which 
the Administrator has made a finding, under section 182(f) (1) or (2) of 
the Act, that requirements under section 182(f) of the Act do not apply;
    (ii) For ozone transport regions established pursuant to section 184 
of the Act, sources with the potential to emit 50 tpy or more of 
volatile organic compounds;
    (iii) For carbon monoxide nonattainment areas:
    (A) That are classified as ``serious,'' and
    (B) in which stationary sources contribute significantly to carbon 
monoxide levels as determined under rules issued by the Administrator, 
sources with the potential to emit 50 tpy or more of carbon monoxide; 
and
    (iv) For particulate matter (PM-10) nonattainment areas classified 
as ``serious,'' sources with the potential to emit 70 tpy or more of PM-
10.
    Part 70 permit or permit (unless the context suggests otherwise) 
means any permit or group of permits covering a part 70 source that is 
issued, renewed, amended, or revised pursuant to this part.
    Part 70 program or State program means a program approved by the 
Administrator under this part.
    Part 70 source means any source subject to the permitting 
requirements of

[[Page 89]]

this part, as provided in Sec. Sec. 70.3(a) and 70.3(b) of this part.
    Permit modification means a revision to a part 70 permit that meets 
the requirements of Sec. 70.7(e) of this part.
    Permit program costs means all reasonable (direct and indirect) 
costs required to develop and administer a permit program, as set forth 
in Sec. 70.9(b) of this part (whether such costs are incurred by the 
permitting authority or other State or local agencies that do not issue 
permits directly, but that support permit issuance or administration).
    Permit revision means any permit modification or administrative 
permit amendment.
    Permitting authority means either of the following:
    (1) The Administrator, in the case of EPA-implemented programs; or
    (2) The State air pollution control agency, local agency, other 
State agency, or other agency authorized by the Administrator to carry 
out a permit program under this part.
    Potential to emit means the maximum capacity of a stationary source 
to emit any air pollutant under its physical and operational design. Any 
physical or operational limitation on the capacity of a source to emit 
an air 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 part of its design 
if the limitation is enforceable by the Administrator. This term does 
not alter or affect the use of this term for any other purposes under 
the Act, or the term ``capacity factor'' as used in title IV of the Act 
or the regulations promulgated thereunder.
    Proposed permit means the version of a permit that the permitting 
authority proposes to issue and forwards to the Administrator for review 
in compliance with Sec. 70.8.
    Regulated air pollutant means the following:
    (1) Nitrogen oxides or any volatile organic compounds;
    (2) Any pollutant for which a national ambient air quality standard 
has been promulgated;
    (3) Any pollutant that is subject to any standard promulgated under 
section 111 of the Act;
    (4) Any Class I or II substance subject to a standard promulgated 
under or established by title VI of the Act; or
    (5) Any pollutant subject to a standard promulgated under section 
112 or other requirements established under section 112 of the Act, 
including sections 112(g), (j), and (r) of the Act, including the 
following:
    (i) Any pollutant subject to requirements under section 112(j) of 
the Act. If the Administrator fails to promulgate a standard by the date 
established pursuant to section 112(e) of the Act, any pollutant for 
which a subject source would be major shall be considered to be 
regulated on the date 18 months after the applicable date established 
pursuant to section 112(e) of the Act; and
    (ii) Any pollutant for which the requirements of section 112(g)(2) 
of the Act have been met, but only with respect to the individual source 
subject to section 112(g)(2) requirement.
    Regulated pollutant (for presumptive fee calculation), which is used 
only for purposes of Sec. 70.9(b)(2), means any ``regulated air 
pollutant'' except the following:
    (1) Carbon monoxide;
    (2) Any pollutant that is a regulated air pollutant solely because 
it is a Class I or II substance to a standard promulgated under or 
established by title VI of the Act; or
    (3) Any pollutant that is a regulated air pollutant solely because 
it is subject to a standard or regulation under section 112(r) of the 
Act.
    Renewal means the process by which a permit is reissued at the end 
of its term.
    Responsible official means one of the following:
    (1) For a corporation: a president, secretary, treasurer, or vice-
president of the corporation in charge of a principal business function, 
or any other person who performs similar policy or decision-making 
functions for the corporation, or a duly authorized representative of 
such person if the representative is responsible for the overall 
operation of one or more manufacturing, production, or operating 
facilities applying for or subject to a permit and either:

[[Page 90]]

    (i) The facilities employ more than 250 persons or have gross annual 
sales or expenditures exceeding $25 million (in second quarter 1980 
dollars); or
    (ii) The delegation of authority to such representatives is approved 
in advance by the permitting authority;
    (2) For a partnership or sole proprietorship: a general partner or 
the proprietor, respectively;
    (3) For a municipality, State, Federal, or other public agency: 
Either a principal executive officer or ranking elected official. For 
the purposes of this part, a principal executive officer of a Federal 
agency includes the chief executive officer having responsibility for 
the overall operations of a principal geographic unit of the agency 
(e.g., a Regional Administrator of EPA); or
    (4) For affected sources:
    (i) The designated representative in so far as actions, standards, 
requirements, or prohibitions under title IV of the Act or the 
regulations promulgated thereunder are concerned; and
    (ii) The designated representative for any other purposes under part 
70.
    Section 502(b)(10) changes are changes that contravene an express 
permit term. Such changes do not include changes that would violate 
applicable requirements or contravene federally enforceable permit terms 
and conditions that are monitoring (including test methods), 
recordkeeping, reporting, or compliance certification requirements.
    State means any non-Federal permitting authority, including any 
local agency, interstate association, or statewide program. The term 
``State'' also includes the District of Columbia, the Commonwealth of 
Puerto Rico, the Virgin Islands, Guam, American Samoa, and the 
Commonwealth of the Northern Mariana Islands. Where such meaning is 
clear from the context, ``State'' shall have its conventional meaning. 
For purposes of the acid rain program, the term ``State'' shall be 
limited to authorities within the 48 contiguous States and the District 
of Columbia as provided in section 402(14) of the Act.
    Stationary source means any building, structure, facility, or 
installation that emits or may emit any regulated air pollutant or any 
pollutant listed under section 112(b) of the Act.
    Whole program means a part 70 permit program, or any combination of 
partial programs, that meet all the requirements of these regulations 
and cover all the part 70 sources in the entire State. For the purposes 
of this definition, the term ``State'' does not include local permitting 
authorities, but refers only to the entire State, Commonwealth, or 
Territory.



Sec. 70.3  Applicability.

    (a) Part 70 sources. A State program with whole or partial approval 
under this part must provide for permitting of at least the following 
sources:
    (1) Any major source;
    (2) Any source, including an area source, subject to a standard, 
limitation, or other requirement under section 111 of the Act;
    (3) Any source, including an area source, subject to a standard or 
other requirement under section 112 of the Act, except that a source is 
not required to obtain a permit solely because it is subject to 
regulations or requirements under section 112(r) of this Act;
    (4) Any affected source; and
    (5) Any source in a source category designated by the Administrator 
pursuant to this section.
    (b) Source category exemptions. (1) All sources listed in paragraph 
(a) of this section that are not major sources, affected sources, or 
solid waste incineration units required to obtain a permit pursuant to 
section 129(e) of the Act, may be exempted by the State from the 
obligation to obtain a part 70 permit until such time as the 
Administrator completes a rulemaking to determine how the program should 
be structured for nonmajor sources and the appropriateness of any 
permanent exemptions in addition to those provided for in paragraph 
(b)(4) of this section.
    (2) In the case of nonmajor sources subject to a standard or other 
requirement under either section 111 or section 112 of the Act after 
July 21, 1992 publication, the Administrator will determine whether to 
exempt any or all such applicable sources from the requirement to obtain 
a part 70 permit at

[[Page 91]]

the time that the new standard is promulgated.
    (3) Any source listed in paragraph (a) of this section exempt from 
the requirement to obtain a permit under this section may opt to apply 
for a permit under a part 70 program.
    (4) Unless otherwise required by the State to obtain a part 70 
permit, the following source categories are exempted from the obligation 
to obtain a part 70 permit:
    (i) All sources and source categories that would be required to 
obtain a permit solely because they are subject to part 60, subpart 
AAA--Standards of Performance for New Residential Wood Heaters; and
    (ii) All sources and source categories that would be required to 
obtain a permit solely because they are subject to part 61, subpart M--
National Emission Standard for Hazardous Air Pollutants for Asbestos, 
Sec. 61.145, Standard for Demolition and Renovation.
    (c) Emissions units and part 70 sources. (1) For major sources, the 
permitting authority shall include in the permit all applicable 
requirements for all relevant emissions units in the major source.
    (2) For any nonmajor source subject to the part 70 program under 
paragraph (a) or (b) of this section, the permitting authority shall 
include in the permit all applicable requirements applicable to 
emissions units that cause the source to be subject to the part 70 
program.
    (d) Fugitive emissions. Fugitive emissions from a part 70 source 
shall be included in the permit application and the part 70 permit in 
the same manner as stack emissions, regardless of whether the source 
category in question is included in the list of sources contained in the 
definition of major source.



Sec. 70.4  State program submittals and transition.

    (a) Date for submittal. Not later than November 15, 1993, the 
Governor of each State shall submit to the Administrator for approval a 
proposed part 70 program, under State law or under an interstate 
compact, meeting the requirements of this part. If part 70 is 
subsequently revised such that the Administrator determines that it is 
necessary to require a change to an approved State program, the required 
revisions to the program shall be submitted within 12 months of the 
final changes to part 70 or within such other period as authorized by 
the Administrator.
    (b) Elements of the initial program submission. Any State that seeks 
to administer a program under this part shall submit to the 
Administrator a letter of submittal from the Governor or his designee 
requesting EPA approval of the program and at least three copies of a 
program submission. The submission shall contain the following:
    (1) A complete program description describing how the State intends 
to carry out its responsibilities under this part.
    (2) The regulations that comprise the permitting program, reasonably 
available evidence of their procedurally correct adoption, (including 
any notice of public comment and any significant comments received on 
the proposed part 70 program as requested by the Administrator), and 
copies of all applicable State or local statutes and regulations 
including those governing State administrative procedures that either 
authorize the part 70 program or restrict its implementation. The State 
shall include with the regulations any criteria used to determine 
insignificant activities or emission levels for purposes of determining 
complete applications consistent with Sec. 70.5(c) of this part.
    (3) A legal opinion from the Attorney General for the State, or the 
attorney for those State, local, or interstate air pollution control 
agencies that have independent legal counsel, stating that the laws of 
the State, locality, or interstate compact provide adequate authority to 
carry out all aspects of the program. This statement shall include 
citations to the specific states, administrative regulations, and, where 
appropriate, judicial decisions that demonstrate adequate authority. 
State statutes and regulations cited by the State Attorney General or 
independent legal counsel shall be in the form of lawfully adopted State 
states and regulations at the time the statement is signed and shall be 
fully effective by

[[Page 92]]

the time the program is approved. To qualify as ``independent legal 
counsel,'' the attorney signing the statement required by this section 
shall have full authority to independently represent the State agency in 
court on all matters pertaining to the State program. The legal opinion 
shall also include a demonstration of adequate legal authority to carry 
out the requirements of this part, including authority to carry out each 
of the following:
    (i) Issue permits and assure compliance with each applicable 
requirement and requirement of this part by all part 70 sources.
    (ii) Incorporate monitoring, recordkeeping, reporting, and 
compliance certification requirements into part 70 permits consistent 
with Sec. 70.6.
    (iii) Issue permits for a fixed term of 5 years in the case of 
permits with acid rain provisions and issue all other permits for a 
period not to exceed 5 years, except for permits issued for solid waste 
incineration units combusting municipal waste subject to standards under 
section 129(e) of the Act.
    (iv) Issue permits for solid waste incineration units combusting 
municipal waste subject to standards under section 129(e) of the Act for 
a period not to exceed 12 years and review such permits at least every 5 
years. No permit for a solid waste incineration unit may be issued by an 
agency, instrumentality or person that is also responsible, in whole or 
in part, for the design and construction or operation of the unit.
    (v) Incorporate into permits all applicable requirements and 
requirements of this part.
    (vi) Terminate, modify, or revoke and reissue permits for cause.
    (vii) Enforce permits, permit fee requirements, and the requirement 
to obtain a permit, as specified in Sec. 70.11.
    (viii) Make available to the public any permit application, 
compliance plan, permit, and monitoring and compliance, certification 
report pursuant to section 503(e) of the Act, except for information 
entitled to confidential treatment pursuant to section 114(c) of the 
Act. The contents of a part 70 permit shall not be entitled to 
protection under section 115(c) of the Act.
    (ix) Not issue a permit if the Administrator timely objects to its 
issuance pursuant to Sec. 70.8(c) of this part or, if the permit has not 
already been issued, to Sec. 70.8(d) of this part.
    (x) Provide an opportunity for judicial review in State court of the 
final permit action by the applicant, any person who participated in the 
public participation process provided pursuant to Sec. 70.7(h) of this 
part, and any other person who could obtain judicial review of such 
actions under State laws.
    (xi) Provide that, solely for the purposes of obtaining judicial 
review in State court for failure to take final action, final permit 
action shall include the failure of the permitting authority to take 
final action on an application for a permit, permit renewal, or permit 
revision within the time specified in the State program. If the State 
program allows sources to make changes subject to post hoc review [as 
set forth in Secs. 70.7(e)(2) and (3) of this part], the permitting 
authority's failure to take final action within 90 days of receipt of an 
application requesting minor permit modification procedures (or 180 days 
for modifications subject to group processing requirements) must be 
subject to judicial review in State court.
    (xii) Provide that the opportunity for judicial review described in 
paragraph (b)(3)(x) of this section shall be the exclusive means for 
obtaining judicial review of the terms and conditions of permits, and 
require that such petitions for judicial review must be filed no later 
than 90 days after the final permit action, or such shorter time as the 
State shall designate. Notwithstanding the preceding requirement, 
petitions for judicial review of final permit actions can be filed after 
the deadline designated by the State, only if they are based solely on 
grounds arising after the deadline for judicial review. Such petitions 
shall be filed no later than 90 days after the new grounds for review 
arise or such shorter time as the State shall designate. If the final 
permit action being challenged is the permitting authority's failure to 
take final action, a petition for judicial review may be filed any time 
before the permitting authority

[[Page 93]]

denies the permit or issues the final permit.
    (xiii) Ensure that the authority of the State/local permitting 
Agency is not used to modify the acid rain program requirements.
    (4) Relevant permitting program documentation not contained in the 
State regulations, including the following:
    (i) Copies of the permit form(s), application form(s), and reporting 
form(s) the State intends to employ in its program; and
    (ii) Relevant guidance issued by the State to assist in the 
implementation of its permitting program, including criteria for 
monitoring source compliance (e.g., inspection strategies).
    (5) A complete description of the State's compliance tracking and 
enforcement program or reference to any agreement the State has with EPA 
that provides this information.
    (6) A showing of adequate authority and procedures to determine 
within 60 days of receipt whether applications (including renewal 
applications) are complete, to request such other information as needed 
to process the application, and to take final action on complete 
applications within 18 months of the date of their submittal, except for 
initial permit applications, for which the permitting authority may take 
up to 3 years from the effective date of the program to take final 
action on the application, as provided for in the transition plan.
    (7) A demonstration, consistent with Sec. 70.9, that the permit fees 
required by the State program are sufficient to cover permit program 
costs.
    (8) A statement that adequate personnel and funding have been made 
available to develop, administer, and enforce the program. This 
statement shall include the following:
    (i) A description in narrative form of the scope, structure, 
coverage, and processes of the State program.
    (ii) A description of the organization and structure of the agency 
or agencies that will have responsibility for administering the program, 
including the information specified in this paragraph. If more than one 
agency is responsible for administration of a program, the 
responsibilities of each agency must be delineated, their procedures for 
coordination must be set forth, and an agency shall be designated as a 
``lead agency'' to facilitate communications between EPA and the other 
agencies having program responsibility.
    (iii) A description of the agency staff who will carry out the State 
program, including the number, occupation, and general duties of the 
employees. The State need not submit complete job descriptions for every 
employee carrying out the State program.
    (iv) A description of applicable State procedures, including 
permitting procedures and any State administrative or judicial review 
procedures.
    (v) An estimate of the permit program costs for the first 4 years 
after approval, and a description of how the State plans to cover those 
costs.
    (9) A commitment from the State to submit, at least annually to the 
Administrator, information regarding the State's enforcement activities 
including, but not limited to, the number of criminal and civil, 
judicial and administrative enforcement actions either commenced or 
concluded; the penalties, fines, and sentences obtained in those 
actions; and the number of administrative orders issued.
    (10) A requirement under State law that, if a timely and complete 
application for a permit renewal is submitted, consistent with 
Sec. 70.5(a)(2), but the State has failed to issue or deny the renewal 
permit before the end of the term of the previous permit, then:
    (i) The permit shall not expire until the renewal permit has been 
issued or denied and any permit shield that may be granted pursuant to 
Sec. 70.6(f) may extend beyond the original permit term until renewal; 
or
    (ii) All the terms and conditions of the permit including any permit 
shield that may be granted pursuant to Sec. 70.6(f) shall remain in 
effect until the renewal permit has been issued or denied.
    (11) A transition plan providing a schedule for submittal and final 
action on initial permit applications for all part 70 sources. This plan 
shall provide that:
    (i) Submittal of permit applications by all part 70 sources 
(including any sources subject to a partial or interim program) shall 
occur within 1 year

[[Page 94]]

after the effective date of the permit program;
    (ii) Final action shall be taken on at least one-third of such 
applications annually over a period not to exceed 3 years after such 
effective date;
    (iii) Any complete permit application containing an early reduction 
demonstration under section 112(i)(5) of the Act shall be acted on 
within 9 months of receipt of the complete application; and
    (iv) Submittal of permit applications and the permitting of affected 
sources shall occur in accordance with the deadlines in title IV of the 
Act and the regulations promulgated thereunder.
    (12) Provisions consistent with paragraphs (b)(12)(i) through (iii) 
of this section to allow changes within a permitted facility without 
requiring a permit revision, if the changes are not modifications under 
any provision of title I of the Act and the changes do not exceed the 
emissions allowable under the permit (whether expressed therein as a 
rate of emissions or in the terms of total emissions): Provided, That 
the facility provides the Administrator and the permitting authority 
with written notification as required below in advance of the proposed 
changes, which shall be a minimum of 7 days, unless the permitting 
authority provides in its regulations a different time frame for 
emergencies. The source, permitting authority, and EPA shall attach each 
such notice to their copy of the relevant permit. The following 
provisions implement this requirement of an approvable part 70 permit 
program:
    (i) The program shall allow permitted sources to make section 
502(b)(10) changes without requiring a permit revision, if the changes 
are not modifications under any provision of title I of the Act and the 
changes do not exceed the emissions allowable under the permit (whether 
expressed therein as a rate of emissions or in terms of total 
emissions).
    (A) For each such change, the written notification required above 
shall include a brief description of the change within the permitted 
facility, the date on which the change will occur, any change in 
emissions, and any permit term or condition that is no longer applicable 
as a result of the change.
    (B) The permit shield described in Sec. 70.6(f) of this part shall 
not apply to any change made pursuant to this paragraph (b)(12)(i) of 
this section.
    (ii) The program may provide for permitted sources to trade 
increases and decreases in emissions in the permitted facility, where 
the applicable implementation plan provides for such emissions trades 
without requiring a permit revision and based on the 7-day notice 
prescribed in this paragraph (b)(12)(ii) of this section. This provision 
is available in those cases where the permit does not already provide 
for such emissions trading.
    (A) Under this paragraph (b)(12)(ii) of this section, the written 
notification required above shall include such information as may be 
required by the provision in the applicable implementation plan 
authorizing the emissions trade, including at a minimum, when the 
proposed change will occur, a description of each such change, any 
change in emissions, the permit requirements with which the source will 
comply using the emissions trading provisions of the applicable 
implementation plan, and the pollutants emitted subject to the emissions 
trade. The notice shall also refer to the provisions with which the 
source will comply in the applicable implementation plan and that 
provide for the emissions trade.
    (B) The permit shield described in Sec. 70.6(f) of this part shall 
not extend to any change made under this paragraph (b)(12)(ii) of this 
section. Compliance with the permit requirements that the source will 
meet using the emissions trade shall be determined according to 
requirements of the applicable implementation plan authorizing the 
emissions trade.
    (iii) The program shall require the permitting authority, if a 
permit applicant requests it, to issue permits that contain terms and 
conditions, including all terms required under Sec. 70.6 (a) and (c) of 
this part to determine compliance, allowing for the trading of emissions 
increases and decreases in the permitted facility solely for the purpose 
of complying with a federally-

[[Page 95]]

enforceable emissions cap that is established in the permit independent 
of otherwise applicable requirements. The permit applicant shall include 
in its application proposed replicable procedures and permit terms that 
ensure the emissions trades are quantifiable and enforceable. The 
permitting authority shall not be required to include in the emissions 
trading provisions any emissions units for which emissions are not 
quantifiable or for which there are no replicable procedures to enforce 
the emissions trades. The permit shall also require compliance with all 
applicable requirements.
    (A) Under this paragraph (b)(12)(iii) of this section, the written 
notification required above shall state when the change will occur and 
shall describe the changes in emissions that will result and how these 
increases and decreases in emissions will comply with the terms and 
conditions of the permit.
    (B) The permit shield described in Sec. 70.6(f) of this part may 
extend to terms and conditions that allow such increases and decreases 
in emissions.
    (13) Provisions for adequate, streamlined, and reasonable procedures 
for expeditious review of permit revisions or modifications. The program 
may meet this requirement by using procedures that meet the requirements 
of Sec. 70.7(e) or that are substantially equivalent to those provided 
in Sec. 70.7(e) of this part.
    (14) If a State allows changes that are not addressed or prohibited 
by the permit, other than those described in paragraph (b)(15) of this 
section, to be made without a permit revision, provisions meeting the 
requirements of paragraphs (b)(14) (i) through (iii) of this section. 
Although a State may, as a matter of State law, prohibit sources from 
making such changes without a permit revision, any such prohibition 
shall not be enforceable by the Administrator or by citizens under the 
Act unless the prohibition is required by an applicable requirement. Any 
State procedures implementing such a State law prohibition must include 
the requirements of paragraphs (b)(14) (i) through (iii) of this 
section.
    (i) Each such change shall meet all applicable requirements and 
shall not violate any existing permit term or condition.
    (ii) Sources must provide contemporaneous written notice to the 
permitting authority and EPA of each such change, except for changes 
that qualify as insignificant under the provisions adopted pursuant to 
Sec. 70.5(c) of this part. Such written notice shall describe each such 
change, including the date, any change in emissions, pollutants emitted, 
and any applicable requirement that would apply as a result of the 
change.
    (iii) The change shall not qualify for the shield under Sec. 70.6(f) 
of this part.
    (iv) The permittee shall keep a record describing changes made at 
the source that result in emissions of a regulated air pollutant subject 
to an applicable requirement, but not otherwise regulated under the 
permit, and the emissions resulting from those changes.
    (15) Provisions prohibiting sources from making, without a permit 
revision, changes that are not addressed or prohibited by the part 70 
permit, if such changes are subject to any requirements under title IV 
of the Act or are modifications under any provision of title I of the 
Act.
    (16) Provisions requiring the permitting authority to implement the 
requirements of Secs. 70.6 and 70.7 of this part.
    (c) Partial programs. (1) The EPA may approve a partial program that 
applies to all part 70 sources within a limited geographic area (e.g., a 
local agency program covering all sources within the agency's 
jurisdiction). To be approvable, any partial program must, at a minimum, 
ensure compliance with all of the following applicable requirements, as 
they apply to the sources covered by the partial program:
    (i) All requirements of title V of the Act and of part 70;
    (ii) All applicable requirements of title IV of the Act and 
regulations promulgated thereunder which apply to affected sources; and
    (iii) All applicable requirements of title I of the Act, including 
those established under sections 111 and 112 of the Act.
    (2) Any partial permitting program, such as that of a local air 
pollution control agency, providing for the

[[Page 96]]

issuance of permits by a permitting authority other than the State, 
shall be consistent with all the elements required in paragraphs (b) (1) 
through (16) of this section.
    (3) Approval of any partial program does not relieve the State from 
its obligation to submit a whole program or from application of any 
sanctions for failure to submit a fully-approvable whole program.
    (4) Any partial program may obtain interim approval under paragraph 
(d) of this section if it substantially meets the requirements of this 
paragraph (c) of this section.
    (d) Interim approval. (1) If a program (including a partial permit 
program) submitted under this part substantially meets the requirements 
of this part, but is not fully approvable, the Administrator may be rule 
grant the program interim approval.
    (2) Interim approval shall expire on a date set by the Administrator 
(but not later than 2 years after such approval unless a longer period 
of time up to 10 months is provided on an individual basis by the 
Administrator through rulemaking), and may not be renewed. 
Notwithstanding the previous sentence, the Administrator may, through 
rulemaking, provide for a longer period of time on an individual basis, 
but only once per State, as necessary to allow for a State to submit one 
set of program changes addressing both interim approval deficiencies and 
program changes necessary to comport with the next revision to Sec. 70.7 
that is made after [date of publication]. Any longer period of time 
provided by the Administrator shall not exceed 2 years after publication 
in the Federal Register of that revision. Sources shall become subject 
to the program according to the schedule approved in the State program. 
Permits granted under an interim approval shall be fully effective and 
expire at the end of their fixed term, unless renewed under a part 70 
program.
    (3) The EPA may grant interim approval to any program if it meets 
each of the following minimum requirements and otherwise substantially 
meets the requirements of this part:
    (i) Adequate fees. The program must provide for collecting permit 
fees adequate for it to meet the requirements of Sec. 70.9 of this part.
    (ii) Applicable requirements. (A) The program must provide for 
adequate authority to issue permits that assure compliance with the 
requirements of paragraph (c)(1) of this section for those major sources 
covered by the program.
    (B) Notwithstanding paragraph (d)(3)(ii)(A) of this section, where a 
State or local permitting authority lacks adequate authority to issue or 
revise permits that assure compliance with applicable requirements 
established exclusively through an EPA-approved minor NSR program, EPA 
may grant interim approval to the program upon a showing by the 
permitting authority of compelling reasons which support the interim 
approval.
    (C) Any part 70 permit issued during an interim approval granted 
under paragraph (d)(3)(ii)(B) of this section that does not incorporate 
minor NSR requirements shall:
    (1) Note this fact in the permit;
    (2) Indicate how citizens may obtain access to excluded minor NSR 
permits;
    (3) Provide a cross reference, such as a listing of the permit 
number, for each minor NSR permit containing an excluded minor NSR term; 
and
    (4) State that the minor NSR requirements which are excluded are not 
eligible for the permit shield under Sec. 70.6(f).
    (D) A program receiving interim approval for the reason specified in 
(d)(3)(ii)(B) of this section must, upon or before granting of full 
approval, institute proceedings to reopen part 70 permits to incorporate 
excluded minor NSR permits as terms of the part 70 permits, as required 
by Sec. 70.7(f)(1)(iv). Such reopening need not follow full permit 
issuance procedures nor the notice requirement of Sec. 70.7(f)(3), but 
may instead follow the permit revision procedure in effect under the 
State's approved part 70 program for incorporation of minor NSR permits.
    (iii) Fixed term. The program must provide for fixed permit terms, 
consistent with paragraphs (b)(3) (iii) and (iv) of this section.
    (iv) Public participation. The program must provide for adequate 
public notice of and an opportunity for public

[[Page 97]]

comment and a hearing on draft permits and revisions, except for 
modifications qualifying for minor permit modification procedures under 
Sec. 70.7(e) of this part.
    (v) EPA and affected State review. The program must allow EPA an 
opportunity to review each proposed permit, including permit revisions, 
and to object to its issuance consistent with Sec. 70.8(c) of this part. 
The program must provide for affected State review consistent with 
Sec. 70.8(b) of this part.
    (vi) Permit issuance. The program must provide that the proposed 
permit will not be issued if EPA objects to its issuance.
    (vii) Enforcement. The program must contain authority to enforce 
permits, including the authority to assess penalties against sources 
that do not comply with their permits or with the requirement to obtain 
a permit.
    (viii) Operational flexibility. The program must allow changes 
within a permitted facility without requiring a permit revision, if the 
changes are not modifications under any provision of title I of the act 
and the changes do not exceed the emissions allowable under the permit, 
consistent with paragraph (b)(12) of this section.
    (ix) Streamlined procedures. The program must provide for 
streamlined procedures for issuing and revising permits and determining 
expeditiously after receipt of a permit application or application for a 
permit revision whether such application is complete.
    (x) Permit application. The program submittal must include copies of 
the permit application and reporting form(s) that the State will use in 
implementing the interim program.
    (xi) Alternative scenarios. The program submittal must include 
provisions to insure that alternate scenarios requested by the source 
are included in the part 70 permit pursuant to Sec. 70.6(a)(9) of this 
part.
    (e) EPA review of permit program submittals. Within 1 year after 
receiving a program submittal, the Administrator shall approve or 
disapprove the program, in whole or in part, by publishing a notice in 
the Federal Register. Prior to such notice, the Administrator shall 
provide an opportunity for public comment on such approval or 
disapproval. Any EPA action disapproving a program, in whole or in part, 
shall include a statement of the revisions or modifications necessary to 
obtain full approval. The Administrator shall approve State programs 
that conform to the requirements of this part.
    (1) Within 60 days of receipt by EPA of a State program submission, 
EPA will notify the State whether its submission is complete enough to 
warrant review by EPA for either full, partial, or interim approval. If 
EPA finds that a State's submission is complete, the 1-year review 
period (i.e., the period of time allotted for formal EPA review of a 
proposed State program) shall be deemed to have begun on the date of 
receipt of the State's submission. If EPA finds that a State's 
submission is incomplete, the 1-year review period shall not begin until 
all the necessary information is received by EPA.
    (2) If the State's submission is materially changed during the 1-
year review period, the Administrator may extend the review period for 
no more than 1 year following receipt of the revised submission.
    (3) In any notice granting interim or partial approval, the 
Administrator shall specify the changes or additions that must be made 
before the program can receive full approval and the conditions for 
implementation of the program until that time.
    (f) State response to EPA review of program--(1) Disapproval. The 
State shall submit to EPA program revisions or modifications required by 
the Administrator's action disapproving the program, or any part 
thereof, within 180 days of receiving notification of the disapproval.
    (2) Interim approval. The State shall submit to EPA changes to the 
program addressing the deficiencies specified in the interim approval no 
later than 6 months prior to the expiration of the interim approval.
    (g) Effective date. The effective date of a part 70 program, 
including any partial or interim program approved under this part, shall 
be the effective date of approval by the Administrator.
    (h) Individual permit transition. Upon approval of a State program, 
the Administrator shall suspend the issuance

[[Page 98]]

of Federal permits for those activities subject to the approved State 
program, except that the Administrator will continue to issue phase I 
acid rain permits. After program approval, EPA shall retain jurisdiction 
over any permit (including any general permit) that it has issued unless 
arrangements have been made with the State to assume responsibility for 
these permits. Where EPA retains jurisdiction, it will continue to 
process permit appeals and modification requests, to conduct 
inspections, and to receive and review monitoring reports. If any permit 
appeal or modification request is not finally resolved when the 
federally-issued permit expires, EPA may, with the consent of the State, 
retain jurisdiction until the matter is resolved. Upon request by a 
State, the Administrator may delegate authority to implement all or part 
of a permit issued by EPA, if a part 70 program has been approved for 
the State. The delegation may include authorization for the State to 
collect appropriate fees, consistent with Sec. 70.9 of this part.
    (i) Program revisions. Either EPA or a State with an approved 
program may initiate a program revision. Program revision may be 
necessary when the relevant Federal or State statutes or regulations are 
modified or supplemented. The State shall keep EPA apprised of any 
proposed modifications to its basic statutory or regulatory authority or 
procedures.
    (1) If the Administrator determines pursuant to Sec. 70.10 of this 
part that a State is not adequately administering the requirements of 
this part, or that the State's permit program is inadequate in any other 
way, the State shall revise the program or its means of implementation 
to correct the inadequacy. The program shall be revised within 180 days, 
or such other period as the Administrator may specify, following 
notification by the Administrator, or within 2 years if the State 
demonstrates that additional legal authority is necessary to make the 
program revision.
    (2) Revision of a State program shall be accomplished as follows:
    (i) The State shall submit a modified program description, Attorney 
General's statement, or such other documents as EPA determines to be 
necessary.
    (ii) After EPA receives a proposed program revision, it will publish 
in the Federal Register a public notice summarizing the proposed change 
and provide a public comment period of at least 30 days.
    (iii) The Administrator shall approve or disapprove program 
revisions based on the requirements of this part and of the Act.
    (iv) A program revision shall become effective upon the approval of 
the Administrator. Notice of approval of any substantial revision shall 
be published in the Federal Register. Notice of approval of 
nonsubstantial program revisions may be given by a letter from the 
Administrator to the Governor or a designee.
    (v) The Governor of any State with an approved part 70 program shall 
notify EPA whenever the Governor proposes to transfer all or part of the 
program to any other agency, and shall identify any new division of 
responsibilities among the agencies involved. The new agency is not 
authorized to administer the program until the revision has been 
approved by the Administrator under this paragraph.
    (3) Whenever the Administrator has reason to believe that 
circumstances have changed with respect to a State program, he may 
request, and the State shall provide, a supplemental Attorney General's 
statement, program description, or such other documents or information 
as he determines are necessary.
    (j) Sharing of information. (1) Any information obtained or used in 
the administration of a State program shall be available to EPA upon 
request without restriction and in a form specified by the 
Administrator, including computer-readable files to the extent 
practicable. If the information has been submitted to the State under a 
claim of confidentiality, the State may require the source to submit 
this information to the Administrator directly. Where the State submits 
information to the Administrator under a claim of confidentiality, the 
State shall submit that claim to EPA when providing information to EPA 
under this section. Any information obtained from a State

[[Page 99]]

or part 70 source accompanied by a claim of confidentiality will be 
treated in accordance with the regulations in part 2 of this chapter.
    (2) The EPA will furnish to States with approved programs the 
information in its files that the State needs to implement its approved 
program. Any such information submitted to EPA under a claim of 
confidentiality will be subject to the regulations in part 2 of this 
chapter.
    (k) Administration and enforcement. Any State that fails to adopt a 
complete, approvable part 70 program, or that EPA determines is not 
adequately administering or enforcing such program shall be subject to 
certain Federal sanctions as set forth in Sec. 70.10 of this part.

[57 FR 32295, July 21, 1992, as amended at 61 FR 31448, June 20, 1996; 
61 FR 56370, Oct. 31, 1996]



Sec. 70.5  Permit applications.

    (a) Duty to apply. For each part 70 source, the owner or operator 
shall submit a timely and complete permit application in accordance with 
this section.
    (1) Timely application. (i) A timely application for a source 
applying for a part 70 permit for the first time is one that is 
submitted within 12 months after the source becomes subject to the 
permit program or on or before such earlier date as the permitting 
authority may establish.
    (ii) Part 70 sources required to meet the requirements under section 
112(g) of the Act, or to have a permit under the preconstruction review 
program approved into the applicable implementation plan under part C or 
D of title I of the Act, shall file a complete application to obtain the 
part 70 permit or permit revision within 12 months after commencing 
operation or on or before such earlier date as the permitting authority 
may establish. Where an existing part 70 permit would prohibit such 
construction or change in operation, the source must obtain a permit 
revision before commencing operation.
    (iii) For purposes of permit renewal, a timely application is one 
that is submitted at least 6 months prior to the date of permit 
expiration, or such other longer time as may be approved by the 
Administrator that ensures that the term of the permit will not expire 
before the permit is renewed. In no event shall this time be greater 
than 18 months.
    (iv) Applications for initial phase II acid rain permits shall be 
submitted to the permitting authority by January 1, 1996 for sulfur 
dioxide, and by January 1, 1998 for nitrogen oxides.
    (2) Complete application. The program shall provide criteria and 
procedures for determining in a timely fashion when applications are 
complete. To be deemed complete, an application must provide all 
information required pursuant to paragraph (c) of this section, except 
that applications for permit revision need supply such information only 
if it is related to the proposed change. Information required under 
paragraph (c) of this section must be sufficient to evaluate the subject 
source and its application and to determine all applicable requirements. 
The program shall require that a responsible official certify the 
submitted information consistent with paragraph (d) of this section. 
Unless the permitting authority determines that an application is not 
complete within 60 days of receipt of the application, such application 
shall be deemed to be complete, except as otherwise provided in 
Sec. 70.7(a)(4) of this part. If, while processing an application that 
has been determined or deemed to be complete, the permitting authority 
determines that additional information is necessary to evaluate or take 
final action on that application, it may request such information in 
writing and set a reasonable deadline for a response. The source's 
ability to operate without a permit, as set forth in Sec. 70.7(b) of 
this part, shall be in effect from the date the application is 
determined or deemed to be complete until the final permit is issued, 
provided that the applicant submits any requested additional information 
by the deadline specified by the permitting authority.
    (3) Confidential information. In the case where a source has 
submitted information to the State under a claim of confidentiality, the 
permitting authority may also require the source to submit a copy of 
such information directly to the Administrator.

[[Page 100]]

    (b) Duty to supplement or correct application. Any applicant who 
fails to submit any relevant facts or who has submitted incorrect 
information in a permit application shall, upon becoming aware of such 
failure or incorrect submittal, promptly submit such supplementary facts 
or corrected information. In addition, an applicant shall provide 
additional information as necessary to address any requirements that 
become applicable to the source after the date it filed a complete 
application but prior to release of a draft permit.
    (c) Standard application form and required information. The State 
program under this part shall provide for a standard application form or 
forms. Information as described below for each emissions unit at a part 
70 source shall be included in the application. The Administrator may 
approve as part of a State program a list of insignificant activities 
and emissions levels which need not be included in permit applications. 
However, for insignificant activities which are exempted because of size 
or production rate, a list of such insignificant activities must be 
included in the application. An application may not omit information 
needed to determine the applicability of, or to impose, any applicable 
requirement, or to evaluate the fee amount required under the schedule 
approved pursuant to Sec. 70.9 of this part. The permitting authority 
may use discretion in developing application forms that best meet 
program needs and administrative efficiency. The forms and attachments 
chosen, however, shall include the elements specified below:
    (1) Identifying information, including company name and address (or 
plant name and address if different from the company name), owner's name 
and agent, and telephone number and names of plant site manager/contact.
    (2) A description of the source's processes and products (by 
Standard Industrial Classification Code) including any associated with 
alternate scenario identified by the source.
    (3) The following emission-related information:
    (i) All emissions of pollutants for which the source is major, and 
all emissions of regulated air pollutants. A permit application shall 
describe all emissions of regulated air pollutants emitted from any 
emissions unit, except where such units are exempted under this 
paragraph (c) of this section. The permitting authority shall require 
additional information related to the emissions of air pollutants 
sufficient to verify which requirements are applicable to the source, 
and other information necessary to collect any permit fees owed under 
the fee schedule approved pursuant to Sec. 70.9(b) of this part.
    (ii) Identification and description of all points of emissions 
described in paragraph (c)(3)(i) of this section in sufficient detail to 
establish the basis for fees and applicability of requirements of the 
Act.
    (iii) Emissions rate in tpy and in such terms as are necessary to 
establish compliance consistent with the applicable standard reference 
test method.
    (iv) The following information to the extent it is needed to 
determine or regulate emissions: Fuels, fuel use, raw materials, 
production rates, and operating schedules.
    (v) Identification and description of air pollution control 
equipment and compliance monitoring devices or activities.
    (vi) Limitations on source operation affecting emissions or any work 
practice standards, where applicable, for all regulated pollutants at 
the part 70 source.
    (vii) Other information required by any applicable requirement 
(including information related to stack height limitations developed 
pursuant to section 123 of the Act).
    (viii) Calculations on which the information in paragraphs (c)(3 (i) 
through (vii) of this section is based.
    (4) The following air pollution control requirements:
    (i) Citation and description of all applicable requirements, and
    (ii) Description of or reference to any applicable test method for 
determining compliance with each applicable requirement.
    (5) Other specific information that may be necessary to implement 
and enforce other applicable requirements of the Act or of this part or 
to determine the applicability of such requirements.

[[Page 101]]

    (6) An explanation of any proposed exemptions from otherwise 
applicable requirements.
    (7) Additional information as determined to be necessary by the 
permitting authority to define alternative operating scenarios 
identified by the source pursuant to Sec. 70.6(a)(9) of this part or to 
define permit terms and conditions implementing Sec. 70.4 (b) (12) or 
Sec. 70.6 (a) (10) of this part.
    (8) A compliance plan for all part 70 sources that contains all the 
following:
    (i) A description of the compliance status of the source with 
respect to all applicable requirements.
    (ii) A description as follows:
    (A) For applicable requirements with which the source is in 
compliance, a statement that the source will continue to comply with 
such requirements.
    (B) For applicable requirements that will become effective during 
the permit term, a statement that the source will meet such requirements 
on a timely basis.
    (C) For requirements for which the source is not in compliance at 
the time or permit issuance, a narrative description of how the source 
will achieve compliance with such requirements.
    (iii) A compliance schedule as follows:
    (A) For applicable requirements with which the source is in 
compliance, a statement that the source will continue to comply with 
such requirements.
    (B) For applicable requirements that will become effective during 
the permit term, a statement that the source will meet such requirements 
on a timely basis. A statement that the source will meet in a timely 
manner applicable requirements that become effective during the permit 
term shall satisfy this provision, unless a more detailed schedule is 
expressly required by the applicable requirement.
    (C) A schedule of compliance for sources that are not in compliance 
with all applicable requirements at the time of permit issuance. Such a 
schedule shall include a schedule of remedial measures, including an 
enforceable sequence of actions with milestones, leading to compliance 
with any applicable requirements for which the source will be in 
noncompliance at the time of permit issuance. This compliance schedule 
shall resemble and be at least as stringent as that contained in any 
judicial consent decree or administrative order to which the source is 
subject. Any such schedule of compliance shall be supplemental to, and 
shall not sanction noncompliance with, the applicable requirements on 
which it is based.
    (iv) A schedule for submission of certified progress reports no less 
frequently than every 6 months for sources required to have a schedule 
of compliance to remedy a violation.
    (v) The compliance plan content requirements specified in this 
paragraph shall apply and be included in the acid rain portion of a 
compliance plan for an affected source, except as specifically 
superseded by regulations promulgated under title IV of the Act with 
regard to the schedule and method(s) the source will use to achieve 
compliance with the acid rain emissions limitations.
    (9) Requirements for compliance certification, including the 
following:
    (i) A certification of compliance with all applicable requirements 
by a responsible official consistent with paragraph (d) of this section 
and section 114(a)(3) of the Act;
    (ii) A statement of methods used for determining compliance, 
including a description of monitoring, recordkeeping, and reporting 
requirements and test methods;
    (iii) A schedule for submission of compliance certifications during 
the permit term, to be submitted no less frequently than annually, or 
more frequently if specified by the underlying applicable requirement or 
by the permitting authority; and
    (iv) A statement indicating the source's compliance status with any 
applicable enhanced monitoring and compliance certification requirements 
of the Act.
    (10) The use of nationally-standardized forms for acid rain portions 
of permit applications and compliance plans, as required by regulations 
promulgated under title IV of the Act.
    (d) Any application form, report, or compliance certification 
submitted pursuant to these regulations shall

[[Page 102]]

contain certification by a responsible official of truth, accuracy, and 
completeness. This certification and any other certification required 
under this part shall state that, based on information and belief formed 
after reasonable inquiry, the statements and information in the document 
are true, accurate, and complete.



Sec. 70.6  Permit content.

    (a) Standard permit requirements. Each permit issued under this part 
shall include the following elements:
    (1) Emission limitations and standards, including those operational 
requirements and limitations that assure compliance with all applicable 
requirements at the time of permit issuance.
    (i) The permit shall specify and reference the origin of and 
authority for each term or condition, and identify any difference in 
form as compared to the applicable requirement upon which the term or 
condition is based.
    (ii) The permit shall state that, where an applicable requirement of 
the Act is more stringent than an applicable requirement of regulations 
promulgated under title IV of the Act, both provisions shall be 
incorporated into the permit and shall be enforceable by the 
Administrator.
    (iii) If an applicable implementation plan allows a determination of 
an alternative emission limit at a part 70 source, equivalent to that 
contained in the plan, to be made in the permit issuance, renewal, or 
significant modification process, and the State elects to use such 
process, any permit containing such equivalency determination shall 
contain provisions to ensure that any resulting emissions limit has been 
demonstrated to be quantifiable, accountable, enforceable, and based on 
replicable procedures.
    (2) Permit duration. The permitting authority shall issue permits 
for a fixed term of 5 years in the case of affected sources, and for a 
term not to exceed 5 years in the case of all other sources. 
Notwithstanding this requirement, the permitting authority shall issue 
permits for solid waste incineration units combusting municipal waste 
subject to standards under section 129(e) of the Act for a period not to 
exceed 12 years and shall review such permits at least every 5 years.
    (3) Monitoring and related recordkeeping and reporting requirements. 
(i) Each permit shall contain the following requirements with respect to 
monitoring:
    (A) All monitoring and analysis procedures or test methods required 
under applicable monitoring and testing requirements, including part 64 
of this chapter and any other procedures and methods that may be 
promulgated pursuant to sections 114(a)(3) or 504(b) of the Act. If more 
than one monitoring or testing requirement applies, the permit may 
specify a streamlined set of monitoring or testing provisions provided 
the specified monitoring or testing is adequate to assure compliance at 
least to the same extent as the monitoring or testing applicable 
requirements that are not included in the permit as a result of such 
streamlining;
    (B) Where the applicable requirement does not require periodic 
testing or instrumental or noninstrumental monitoring (which may consist 
of recordkeeping designed to serve as monitoring), periodic monitoring 
sufficient to yield reliable data from the relevant time period that are 
representative of the source's compliance with the permit, as reported 
pursuant to paragraph (a)(3)(iii) of this section. Such monitoring 
requirements shall assure use of terms, test methods, units, averaging 
periods, and other statistical conventions consistent with the 
applicable requirement. Recordkeeping provisions may be sufficient to 
meet the requirements of this paragraph (a)(3)(i)(B) of this section; 
and
    (C) As necessary, requirements concerning the use, maintenance, and, 
where appropriate, installation of monitoring equipment or methods.
    (ii) With respect to recordkeeping, the permit shall incorporate all 
applicable recordkeeping requirements and require, where applicable, the 
following:
    (A) Records of required monitoring information that include the 
following:
    (1) The date, place as defined in the permit, and time of sampling 
or measurements;
    (2) The date(s) analyses were performed;

[[Page 103]]

    (3) The company or entity that performed the analyses;
    (4) The analytical techniques or methods used;
    (5) The results of such analyses; and
    (6) The operating conditions as existing at the time of sampling or 
measurement;
    (B) Retention of records of all required monitoring data and support 
information for a period of at least 5 years from the date of the 
monitoring sample, measurement, report, or application. Support 
information includes all calibration and maintenance records and all 
original strip-chart recordings for continuous monitoring 
instrumentation, and copies of all reports required by the permit.
    (iii) With respect to reporting, the permit shall incorporate all 
applicable reporting requirements and require the following:
    (A) Submittal of reports of any required monitoring at least every 6 
months. All instances of deviations from permit requirements must be 
clearly identified in such reports. All required reports must be 
certified by a responsible official consistent with Sec. 70.5(d) of this 
part.
    (B) Prompt reporting of deviations from permit requirements, 
including those attributable to upset conditions as defined in the 
permit, the probable cause of such deviations, and any corrective 
actions or preventive measures taken. The permitting authority shall 
define ``prompt'' in relation to the degree and type of deviation likely 
to occur and the applicable requirements.
    (4) A permit condition prohibiting emissions exceeding any 
allowances that the source lawfully holds under title IV of the Act or 
the regulations promulgated thereunder.
    (i) No permit revision shall be required for increases in emissions 
that are authorized by allowances acquired pursuant to the acid rain 
program, provided that such increases do not require a permit revision 
under any other applicable requirement.
    (ii) No limit shall be placed on the number of allowances held by 
the source. The source may not, however, use allowances as a defense to 
noncompliance with any other applicable requirement.
    (iii) Any such allowance shall be accounted for according to the 
procedures established in regulations promulgated under title IV of the 
Act.
    (5) A severability clause to ensure the continued validity of the 
various permit requirements in the event of a challenge to any portions 
of the permit.
    (6) Provisions stating the following:
    (i) The permittee must comply with all conditions of the part 70 
permit. Any permit noncompliance constitutes a violation of the Act and 
is grounds for enforcement action; for permit termination, revocation 
and reissuance, or modification; or for denial of a permit renewal 
application.
    (ii) Need to halt or reduce activity not a defense. It shall not be 
a defense for a permittee in an enforcement action that it would have 
been necessary to halt or reduce the permitted activity in order to 
maintain compliance with the conditions of this permit.
    (iii) The permit may be modified, revoked, reopened, and reissued, 
or terminated for cause. The filing of a request by the permittee for a 
permit modification, revocation and reissuance, or termination, or of a 
notification of planned changes or anticipated noncompliance does not 
stay any permit condition.
    (iv) The permit does not convey any property rights of any sort, or 
any exclusive privilege.
    (v) The permittee shall furnish to the permitting authority, within 
a reasonable time, any information that the permitting authority may 
request in writing to determine whether cause exists for modifying, 
revoking and reissuing, or terminating the permit or to determine 
compliance with the permit. Upon request, the permittee shall also 
furnish to the permitting authority copies of records required to be 
kept by the permit or, for information claimed to be confidential, the 
permittee may furnish such records directly to the Administrator along 
with a claim of confidentiality.
    (7) A provision to ensure that a part 70 source pays fees to the 
permitting authority consistent with the fee schedule approved pursuant 
to Sec. 70.9 of this part.

[[Page 104]]

    (8) Emissions trading. A provision stating that no permit revision 
shall be required, under any approved economic incentives, marketable 
permits, emissions trading and other similar programs or processes for 
changes that are provided for in the permit.
    (9) Terms and conditions for reasonably anticipated operating 
scenarios identified by the source in its application as approved by the 
permitting authority. Such terms and conditions:
    (i) Shall require the source, contemporaneously with making a change 
from one operating scenario to another, to record in a log at the 
permitted facility a record of the scenario under which it is operating;
    (ii) May extend the permit shield described in paragraph (f) of this 
section to all terms and conditions under each such operating scenario; 
and
    (iii) Must ensure that the terms and conditions of each such 
alternative scenario meet all applicable requirements and the 
requirements of this part.
    (10) Terms and conditions, if the permit applicant requests them, 
for the trading of emissions increases and decreases in the permitted 
facility, to the extent that the applicable requirements provide for 
trading such increases and decreases without a case-by-case approval of 
each emissions trade. Such terms and conditions:
    (i) Shall include all terms required under paragraphs (a) and (c) of 
this section to determine compliance;
    (ii) May extend the permit shield described in paragraph (f) of this 
section to all terms and conditions that allow such increases and 
decreases in emissions; and
    (iii) Must meet all applicable requirements and requirements of this 
part.
    (b) Federally-enforceable requirements. (1) All terms and conditions 
in a part 70 permit, including any provisions designed to limit a 
source's potential to emit, are enforceable by the Administrator and 
citizens under the Act.
    (2) Notwithstanding paragraph (b)(1) of this section, the permitting 
authority shall specifically designate as not being federally 
enforceable under the Act any terms and conditions included in the 
permit that are not required under the Act or under any of its 
applicable requirements. Terms and conditions so designated are not 
subject to the requirements of Secs. 70.7, 70.8, or of this part, other 
than those contained in this paragraph (b) of this section.
    (c) Compliance requirements. All part 70 permits shall contain the 
following elements with respect to compliance:
    (1) Consistent with paragraph (a)(3) of this section, compliance 
certification, testing, monitoring, reporting, and recordkeeping 
requirements sufficient to assure compliance with the terms and 
conditions of the permit. Any document (including reports) required by a 
part 70 permit shall contain a certification by a responsible official 
that meets the requirements of Sec. 70.5(d) for this part.
    (2) Inspection and entry requirements that require that, upon 
presentation of credentials and other documents as may be required by 
law, the permittee shall allow the permitting authority or an authorized 
representative to perform the following:
    (i) Enter upon the permittee's premises where a part 70 source is 
located or emissions-related activity is conducted, or where records 
must be kept under the conditions of the permit;
    (ii) Have access to and copy, at reasonable times, any records that 
must be kept under the conditions of the permit;
    (iii) Inspect at reasonable times any facilities, equipment 
(including monitoring and air pollution control equipment), practices, 
or operations regulated or required under the permit; and
    (iv) As authorized by the Act, sample or monitor at reasonable times 
substances or parameters for the purpose of assuring compliance with the 
permit or applicable requirements.
    (3) A schedule of compliance consistent with Sec. 70.5(c)(8) of this 
part.
    (4) Progress reports consistent with an applicable schedule of 
compliance and Sec. 70.5(c)(8) of this part to be submitted at least 
semiannually, or at a more frequent period if specified in the 
applicable requirement or by the permitting authority. Such progress 
reports shall contain the following:
    (i) Dates for achieving the activities, milestones, or compliance 
required in the schedule of compliance, and dates when such activities, 
milestones or compliance were achieved; and

[[Page 105]]

    (ii) An explanation of why any dates in the schedule of compliance 
were not or will not be met, and any preventive or corrective measures 
adopted.
    (5) Requirements for compliance certification with terms and 
conditions contained in the permit, including emission limitations, 
standards, or work practices. Permits shall include each of the 
following:
    (i) The frequency (not less than annually or such more frequent 
periods as specified in the applicable requirement or by the permitting 
authority) of submissions of compliance certifications;
    (ii) In accordance with Sec. 70.6(a)(3) of this part, a means for 
monitoring the compliance of the source with its emissions limitations, 
standards, and work practices;
    (iii) A requirement that the compliance certification include all of 
the following (provided that the identification of applicable 
information may cross-reference the permit or previous reports, as 
applicable):
    (A) The identification of each term or condition of the permit that 
is the basis of the certification;
    (B) The identification of the method(s) or other means used by the 
owner or operator for determining the compliance status with each term 
and condition during the certification period, and whether such methods 
or other means provide continuous or intermittent data. Such methods and 
other means shall include, at a minimum, the methods and means required 
under paragraph (a)(3) of this section. If necessary, the owner or 
operator also shall identify any other material information that must be 
included in the certification to comply with section 113(c)(2) of the 
Act, which prohibits knowingly making a false certification or omitting 
material information;
    (C) The status of compliance with the terms and conditions of the 
permit for the period covered by the certification, based on the method 
or means designated in paragraph (c)(5)(iii)(B) of this section. The 
certification shall identify each deviation and take it into account in 
the compliance certification. The certification shall also identify as 
possible exceptions to compliance any periods during which compliance is 
required and in which an excursion or exceedance as defined under part 
64 of this chapter occurred; and
    (D) Such other facts as the permitting authority may require to 
determine the compliance status of the source.
    (iv) A requirement that all compliance certifications be submitted 
to the Administrator as well as to the permitting authority.
    (6) Such other provisions as the permitting authority may require.
    (d) General permits. (1) The permitting authority may, after notice 
and opportunity for public participation provided under Sec. 70.7(h) of 
this part, issue a general permit covering numerous similar sources. Any 
general permit shall comply with all requirements applicable to other 
part 70 permits and shall identify criteria by which sources may qualify 
for the general permit. To sources that qualify, the permitting 
authority shall grant the conditions and terms of the general permit. 
Notwithstanding the shield provisions of paragraph (f) of this section, 
the source shall be subject to enforcement action for operation without 
a part 70 permit if the source is later determined not to qualify for 
the conditions and terms of the general permit. General permits shall 
not be authorized for affected sources under the acid rain program 
unless otherwise provided in regulations promulgated under title IV of 
the Act.
    (2) Part 70 sources that would qualify for a general permit must 
apply to the permitting authority for coverage under the terms of the 
general permit or must apply for a part 70 permit consistent with 
Sec. 70.5 of this part. The permitting authority may, in the general 
permit, provide for applications which deviate from the requirements of 
Sec. 70.5 of this part, provided that such applications meet the 
requirements of title V of the Act, and include all information 
necessary to determine qualification for, and to assure compliance with, 
the general permit. Without repeating the public participation 
procedures required under Sec. 70.7(h) of this part, the permitting 
authority may grant a source's request for authorization to operate 
under a general permit, but such a grant shall not be a final permit 
action for purposes of judicial review.

[[Page 106]]

    (e) Temporary sources. The permitting authority may issue a single 
permit authorizing emissions from similar operations by the same source 
owner or operator at multiple temporary locations. The operation must be 
temporary and involve at least one change of location during the term of 
the permit. No affected source shall be permitted as a temporary source. 
Permits for temporary sources shall include the following:
    (1) Conditions that will assure compliance with all applicable 
requirements at all authorized locations;
    (2) Requirements that the owner or operator notify the permitting 
authority at least 10 days in advance of each change in location; and
    (3) Conditions that assure compliance with all other provisions of 
this section.
    (f) Permit shield. (1) Except as provided in this part, the 
permitting authority may expressly include in a part 70 permit a 
provision stating that compliance with the conditions of the permit 
shall be deemed compliance with any applicable requirements as of the 
date of permit issuance, provided that:
    (i) Such applicable requirements are included and are specifically 
identified in the permit; or
    (ii) The permitting authority, in acting on the permit application 
or revision, determines in writing that other requirements specifically 
identified are not applicable to the source, and the permit includes the 
determination or a concise summary thereof.
    (2) A part 70 permit that does not expressly state that a permit 
shield exists shall be presumed not to provide such a shield.
    (3) Nothing in this paragraph or in any part 70 permit shall alter 
or affect the following:
    (i) The provisions of section 303 of the Act (emergency orders), 
including the authority of the Administrator under that section;
    (ii) The liability of an owner or operator of a source for any 
violation of applicable requirements prior to or at the time of permit 
issuance;
    (iii) The applicable requirements of the acid rain program, 
consistent with section 408(a) of the Act; or
    (iv) The ability of EPA to obtain information from a source pursuant 
to section 114 of the Act.
    (g) Emergency provision--(1) Definition. An ``emergency'' means any 
situation arising from sudden and reasonably unforeseeable events beyond 
the control of the source, including acts of God, which situation 
requires immediate corrective action to restore normal operation, and 
that causes the source to exceed a technology-based emission limitation 
under the permit, due to unavoidable increases in emissions attributable 
to the emergency. An emergency shall not include noncompliance to the 
extent caused by improperly designed equipment, lack of preventative 
maintenance, careless or improper operation, or operator error.
    (2) Effect of an emergency. An emergency constitutes an affirmative 
defense to an action brought for noncompliance with such technology-
based emission limitations if the conditions of paragraph (g)(3) of this 
section are met.
    (3) The affirmative defense of emergency shall be demonstrated 
through properly signed, contemporaneous operating logs, or other 
relevant evidence that:
    (i) An emergency occurred and that the permittee can identify the 
cause(s) of the emergency;
    (ii) The permitted facility was at the time being properly operated;
    (iii) During the period of the emergency the permittee took all 
reasonable steps to minimize levels of emissions that exceeded the 
emission standards, or other requirements in the permit; and
    (iv) The permittee submitted notice of the emergency to the 
permitting authority within 2 working days of the time when emission 
limitations were exceeded due to the emergency. This notice fulfills the 
requirement of paragraph (a)(3)(iii)(B) of this section. This notice 
must contain a description of the emergency, any steps taken to mitigate 
emissions, and corrective actions taken.
    (4) In any enforcement proceeding, the permittee seeking to 
establish the occurrence of an emergency has the burden of proof.

[[Page 107]]

    (5) This provision is in addition to any emergency or upset 
provision contained in any applicable requirement.

[57 FR 32295, July 21, 1992, as amended at 62 FR 54946, Oct. 22, 1997]



Sec. 70.7  Permit issuance, renewal, reopenings, and revisions.

    (a) Action on application. (1) A permit, permit modification, or 
renewal may be issued only if all of the following condition have been 
met:
    (i) The permitting authority has received a complete application for 
a permit, permit modification, or permit renewal, except that a complete 
application need not be received before issuance of a general permit 
under Sec. 70.6(d) of this part;
    (ii) Except for modifications qualifying for minor permit 
modification procedures under paragraphs (e) (2) and (3) of this 
section, the permitting authority has complied with the requirements for 
public participation under paragraph (h) of this section;
    (iii) The permitting authority has complied with the requirements 
for notifying and responding to affected States under Sec. 70.8(b) of 
this part;
    (iv) The conditions of the permit provide for compliance with all 
applicable requirements and the requirements of this part; and
    (v) The Administrator has received a copy of the proposed permit and 
any notices required under Secs. 70.8(a) and 70.8(b) of this part, and 
has not objected to issuance of the permit under Sec. 70.8(c) of this 
part within the time period specified therein.
    (2) Except as provided under the initial transition plan provided 
for under Sec. 70.4(b)(11) of this part or under regulations promulgated 
under title IV of title V of the Act for the permitting of affected 
sources under the acid rain program, the program shall provide that the 
permitting authority take final action on each permit application 
(including a request for permit modification or renewal) within 18 
months, or such lesser time approved by the Administrator, after 
receiving a complete application.
    (3) The program shall also contain reasonable procedures to ensure 
priority is given to taking action on applications for construction or 
modification under title I, parts C and D of the Act.
    (4) The permitting authority shall promptly provide notice to the 
applicant of whether the application is complete. Unless the permitting 
authority requests additional information or otherwise notifies the 
applicant of incompleteness within 60 days of receipt of an application, 
the application shall be deemed complete. For modifications processed 
through minor permit modification procedures, such as those in 
paragraphs (e) (2) and (3) of this section, the State program need not 
require a completeness determination.
    (5) The permitting authority shall provide a statement that sets 
forth the legal and factual basis for the draft permit conditions 
(including references to the applicable statutory or regulatory 
provisions). The permitting authority shall send this statement to EPA 
and to any other person who requests it.
    (6) The submittal of a complete application shall not affect the 
requirement that any source have a preconstruction permit under title I 
of the Act.
    (b) Requirement for a permit. Except as provided in the following 
sentence, Sec. 70.4(b)(12)(i), and paragraphs (e) (2)(v) and (3)(v) of 
this section, no part 70 source may operate after the time that it is 
required to submit a timely and complete application under an approved 
permit program, except in compliance with a permit issued under a part 
70 program. The program shall provide that, if a part 70 source submits 
a timely and complete application for permit issuance (including for 
renewal), the source's failure to have a part 70 permit is not a 
violation of this part until the permitting authority takes final action 
on the permit application, except as noted in this section. This 
protection shall cease to apply if, subsequent to the completeness 
determination made pursuant to paragraph (a)(4) of this section, and as 
required by Sec. 70.5(a)(2) of this part, the applicant fails to submit 
by the deadline specified in writing by the permitting authority any 
additional information identified as being needed to process the 
application.
    (c) Permit renewal and expiration. (1) The program shall provide 
that:

[[Page 108]]

    (i) Permits being renewed are subject to the same procedural 
requirements, including those for public participation, affected State 
and EPA review, that apply to initial permit issuance; and
    (ii) Permit expiration terminates the source's right to operate 
unless a timely and complete renewal application has been submitted 
consistent with paragraph (b) of this section and Sec. 70.5(a)(1)(iii) 
of this part.
    (2) If the permitting authority fails to act in a timely way on a 
permit renewal, EPA may invoke its authority under section 505(e) of the 
Act to terminate or revoke and reissue the permit.
    (d) Administrative permit amendments. (1) An ``administrative permit 
amendment'' is a permit revision that:
    (i) Corrects typographical errors;
    (ii) Identifies a change in the name, address, or phone number of 
any person identified in the permit, or provides a similar minor 
administrative change at the source;
    (iii) Requires more frequent monitoring or reporting by the 
permittee;
    (iv) Allows for a change in ownership or operational control of a 
source where the permitting authority determines that no other change in 
the permit is necessary, provided that a written agreement containing a 
specific date for transfer of permit responsibility, coverage, and 
liability between the current and new permittee has been submitted to 
the permitting authority;
    (v) Incorporates into the part 70 permit the requirements from 
preconstruction review permits authorized under an EPA-approved program, 
provided that such a program meets procedural requirements substantially 
equivalent to the requirements of Secs. 70.7 and 70.8 of this part that 
would be applicable to the change if it were subject to review as a 
permit modification, and compliance requirements substantially 
equivalent to those contained in Sec. 70.6 of this part; or
    (vi) Incorporates any other type of change which the Administrator 
has determined as part of the approved part 70 program to be similar to 
those in paragraphs (d)(1) (i) through (iv) of this section.
    (2) Administrative permit amendments for purposes of the acid rain 
portion of the permit shall be governed by regulations promulgated under 
title IV of the Act.
    (3) Administrative permit amendment procedures. An administrative 
permit amendment may be made by the permitting authority consistent with 
the following:
    (i) The permitting authority shall take no more than 60 days from 
receipt of a request for an administrative permit amendment to take 
final action on such request, and may incorporate such changes without 
providing notice to the public or affected States provided that it 
designates any such permit revisions as having been made pursuant to 
this paragraph.
    (ii) The permitting authority shall submit a copy of the revised 
permit to the Administrator.
    (iii) The source may implement the changes addressed in the request 
for an administrative amendment immediately upon submittal of the 
request.
    (4) The permitting authority may, upon taking final action granting 
a request for an administrative permit amendment, allow coverage by the 
permit shield in Sec. 70.6(f) for administrative permit amendments made 
pursuant to paragraph (d)(1)(v) of this section which meet the relevant 
requirements of Secs. 70.6, 70.7, and 70.8 for significant permit 
modifications.
    (e) Permit modification. A permit modification is any revision to a 
part 70 permit that cannot be accomplished under the program's 
provisions for administrative permit amendments under paragraph (d) of 
this section. A permit modification for purposes of the acid rain 
portion of the permit shall be governed by regulations promulgated under 
title IV of the Act.
    (1) Program description. The State shall provide adequate, 
streamlined, and reasonable procedures for expeditiously processing 
permit modifications. The State may meet this obligation by adopting the 
procedures set forth below or ones substantially equivalent. The State 
may also develop different procedures for different types of 
modifications depending on the significance and complexity of the 
requested modification, but EPA will not

[[Page 109]]

approve a part 70 program that has modification procedures that provide 
for less permitting authority, EPA, or affected State review or public 
participation than is provided for in this part.
    (2) Minor permit modification procedures--(i) Criteria. (A) Minor 
permit modification procedures may be used only for those permit 
modifications that:
    (1) Do not violate any applicable requirement;
    (2) Do not involve significant changes to existing monitoring, 
reporting, or recordkeeping requirements in the permit;
    (3) Do not require or change a case-by-case determination of an 
emission limitation or other standard, or a source-specific 
determination for temporary sources of ambient impacts, or a visibility 
or increment analysis;
    (4) Do not seek to establish or change a permit term or condition 
for which there is no corresponding underlying applicable requirement 
and that the source has assumed to avoid an applicable requirement to 
which the source would otherwise be subject. Such terms and conditions 
include:
    (A) A federally enforceable emissions cap assumed to avoid 
classification as a modification under any provision of title I; and
    (B) An alternative emissions limit approved pursuant to regulations 
promulgated under section 112(i)(5) of the Act;
    (5) Are not modifications under any provision of title I of the Act; 
and
    (6) Are not required by the State program to be processed as a 
significant modification.
    (B) Notwithstanding paragraphs (e)(2)(i)(A) and (e)(3)(i) of this 
section, minor permit modification procedures may be used for permit 
modifications involving the use of economic incentives, marketable 
permits, emissions trading, and other similar approaches, to the extent 
that such minor permit modification procedures are explicitly provided 
for in an applicable implementation plan or in applicable requirements 
promulgated by EPA.
    (ii) Application. An application requesting the use of minor permit 
modification procedures shall meet the requirements of Sec. 70.5(c) of 
this part and shall include the following:
    (A) A description of the change, the emissions resulting from the 
change, and any new applicable requirements that will apply if the 
change occurs;
    (B) The source's suggested draft permit;
    (C) Certification by a responsible official, consistent with 
Sec. 70.5(d), that the proposed modification meets the criteria for use 
of minor permit modification procedures and a request that such 
procedures be used; and
    (D) Completed forms for the permitting authority to use to notify 
the Administrator and affected States as required under Sec. 70.8.
    (iii) EPA and affected State notification. Within 5 working days of 
receipt of a complete permit modification application, the permitting 
authority shall meet its obligation under Sec. 70.8 (a)(1) and (b)(1) to 
notify the Administrator and affected States of the requested permit 
modification. The permitting authority promptly shall send any notice 
required under Sec. 70.8(b)(2) to the Administrator.
    (iv) Timetable for issuance. The permitting authority may not issue 
a final permit modification until after EPA's 45-day review period or 
until EPA has notified the permitting authority that EPA will not object 
to issuance of the permit modification, whichever is first, although the 
permitting authority can approve the permit modification prior to that 
time. Within 90 days of the permitting authority's receipt of an 
application under minor permit modification procedures or 15 days after 
the end of the Administrator's 45-day review period under Sec. 70.8(c), 
whichever is later, the permitting authority shall:
    (A) Issue the permit modification as proposed;
    (B) Deny the permit modification application;
    (C) Determine that the requested modification does not meet the 
minor permit modification criteria and should be reviewed under the 
significant modification procedures; or
    (D) Revise the draft permit modification and transmit to the 
Administrator the new proposed permit modification as required by 
Sec. 70.8(a) of this part.

[[Page 110]]

    (v) Source's ability to make change. The State program may allow the 
source to make the change proposed in its minor permit modification 
application immediately after it files such application. After the 
source makes the change allowed by the preceding sentence, and until the 
permitting authority takes any of the actions specified in paragraphs 
(e)(2)(v) (A) through (C) of this section, the source must comply with 
both the applicable requirements governing the change and the proposed 
permit terms and conditions. During this time period, the source need 
not comply with the existing permit terms and conditions it seeks to 
modify. However, if the source fails to comply with its proposed permit 
terms and conditions during this time period, the existing permit terms 
and conditions it seeks to modify may be enforced against it.
    (vi) Permit shield. The permit shield under Sec. 70.6(f) of this 
part may not extend to minor permit modifications.
    (3) Group processing of minor permit modifications. Consistent with 
this paragraph, the permitting authority may modify the procedure 
outlined in paragraph (e)(2) of this section to process groups of a 
source's applications for certain modifications eligible for minor 
permit modification processing.
    (i) Criteria. Group processing of modifications may be used only for 
those permit modifications:
    (A) That meet the criteria for minor permit modification procedures 
under paragraph (e)(2)(i)(A) of this section; and
    (B) That collectively are below the threshold level approved by the 
Administrator as part of the approved program. Unless the State sets an 
alternative threshold consistent with the criteria set forth in 
paragraphs (e)(3)(i)(B) (1) and (2) of this section, this threshold 
shall be 10 percent of the emissions allowed by the permit for the 
emissions unit for which the change is requested, 20 percent of the 
applicable definition of major source in Sec. 70.2 of this part, or 5 
tons per year, whichever is least. In establishing any alternative 
threshold, the State shall consider:
    (1) Whether group processing of amounts below the threshold levels 
reasonably alleviates severe administrative burdens that would be 
imposed by immediate permit modification review, and
    (2) Whether individual processing of changes below the threshold 
levels would result in trivial environmental benefits.
    (ii) Application. An application requesting the use of group 
processing procedures shall meet the requirements of Sec. 70.5(c) of 
this part and shall include the following:
    (A) A description of the change, the emissions resulting from the 
change, and any new applicable requirements that will apply if the 
change occurs.
    (B) The source's suggested draft permit.
    (C) Certification by a responsible official, consistent with 
Sec. 70.5(d) of this part, that the proposed modification meets the 
criteria for use of group processing procedures and a request that such 
procedures be used.
    (D) A list of the source's other pending applications awaiting group 
processing, and a determination of whether the requested modification, 
aggregated with these other applications, equals or exceeds the 
threshold set under paragraph (e)(3)(i)(B) of this section.
    (E) Certification, consistent with Sec. 70.5(d) of this part, that 
the source has notified EPA of the proposed modification. Such 
notification need only contain a brief description of the requested 
modification.
    (F) Completed forms for the permitting authority to use to notify 
the Administrator and affected States as required under Sec. 70.8 of 
this part.
    (iii) EPA and affected State notification. On a quarterly basis or 
within 5 business days of receipt of an application demonstrating that 
the aggregate of a source's pending applications equals or exceeds the 
threshold level set under paragraph (e)(3)(i)(B) of this section, 
whichever is earlier, the permitting authority promptly shall meet its 
obligations under Secs. 70.8 (a)(1) and (b)(1) to notify the 
Administrator and affected States of the requested permit modifications. 
The permitting authority shall send any notice required under 
Sec. 70.8(b)(2) of this part to the Administrator.

[[Page 111]]

    (iv) Timetable for issuance. The provisions of paragraph (e)(2)(iv) 
of this section shall apply to modifications eligible for group 
processing, except that the permitting authority shall take one of the 
actions specified in paragraphs (e)(2)(iv) (A) through (D) of this 
section within 180 days of receipt of the application or 15 days after 
the end of the Administrator's 45-day review period under Sec. 70.8(c) 
of this part, whichever is later.
    (v) Source's ability to make change. The provisions of paragraph 
(e)(2)(v) of this section shall apply to modifications eligible for 
group processing.
    (vi) Permit shield. The provisions of paragraph (e)(2)(vi) of this 
section shall also apply to modifications eligible for group processing.
    (4) Significant modification procedures--(i) Criteria. Significant 
modification procedures shall be used for applications requesting permit 
modifications that do not qualify as minor permit modifications or as 
administrative amendments. The State program shall contain criteria for 
determining whether a change is significant. At a minimum, every 
significant change in existing monitoring permit terms or conditions and 
every relaxation of reporting or recordkeeping permit terms or 
conditions shall be considered significant. Nothing herein shall be 
construed to preclude the permittee from making changes consistent with 
this part that would render existing permit compliance terms and 
conditions irrelevant.
    (ii) The State program shall provide that significant permit 
modifications shall meet all requirements of this part, including those 
for applications, public participation, review by affected States, and 
review by EPA, as they apply to permit issuance and permit renewal. The 
permitting authority shall design and implement this review process to 
complete review on the majority of significant permit modifications 
within 9 months after receipt of a complete application.
    (f) Reopening for cause. (1) Each issued permit shall include 
provisions specifying the conditions under which the permit will be 
reopened prior to the expiration of the permit. A permit shall be 
reopened and revised under any of the following circumstances:
    (i) Additional applicable requirements under the Act become 
applicable to a major part 70 source with a remaining permit term of 3 
or more years. Such a reopening shall be completed not later than 18 
months after promulgation of the applicable requirement. No such 
reopening is required if the effective date of the requirement is later 
than the date on which the permit is due to expire, unless the original 
permit or any of its terms and conditions has been extended pursuant to 
Sec. 70.4(b)(10) (i) or (ii) of this part.
    (ii) Additional requirements (including excess emissions 
requirements) become applicable to an affected source under the acid 
rain program. Upon approval by the Administrator, excess emissions 
offset plans shall be deemed to be incorporated into the permit.
    (iii) The permitting authority or EPA determines that the permit 
contains a material mistake or that inaccurate statements were made in 
establishing the emissions standards or other terms or conditions of the 
permit.
    (iv) The Administrator or the permitting authority determines that 
the permit must be revised or revoked to assure compliance with the 
applicable requirements.
    (2) Proceedings to reopen and issue a permit shall follow the same 
procedures as apply to initial permit issuance and shall affect only 
those parts of the permit for which cause to reopen exists. Such 
reopening shall be made as expeditiously as practicable.
    (3) Reopenings under paragraph (f)(1) of this section shall not be 
initiated before a notice of such intent is provided to the part 70 
source by the permitting authority at least 30 days in advance of the 
date that the permit is to be reopened, except that the permitting 
authority may provide a shorter time period in the case of an emergency.
    (g) Reopenings for cause by EPA. (1) If the Administrator finds that 
cause exists to terminate, modify, or revoke and reissue a permit 
pursuant to paragraph (f) of this section, the Administrator will notify 
the permitting authority and the permittee of such finding in writing.

[[Page 112]]

    (2) The permitting authority shall, within 90 days after receipt of 
such notification, forward to EPA a proposed determination of 
termination, modification, or revocation and reissuance, as appropriate. 
The Administrator may extend this 90-day period for an additional 90 
days if he finds that a new or revised permit application is necessary 
or that the permitting authority must require the permittee to submit 
additional information.
    (3) The Administrator will review the proposed determination from 
the permitting authority within 90 days of receipt.
    (4) The permitting authority shall have 90 days from receipt of an 
EPA objection to resolve any objection that EPA makes and to terminate, 
modify, or revoke and reissue the permit in accordance with the 
Administrator's objection.
    (5) If the permitting authority fails to submit a proposed 
determination pursuant to paragraph (g)(2) of this section or fails to 
resolve any objection pursuant to paragraph (g)(4) of this section, the 
Administrator will terminate, modify, or revoke and reissue the permit 
after taking the following actions:
    (i) Providing at least 30 days' notice to the permittee in writing 
of the reasons for any such action. This notice may be given during the 
procedures in paragraphs (g) (1) through (4) of this section.
    (ii) Providing the permittee an opportunity for comment on the 
Administrator's proposed action and an opportunity for a hearing.
    (h) Public participation. Except for modifications qualifying for 
minor permit modification procedures, all permit proceedings, including 
initial permit issuance, significant modifications, and renewals, shall 
provide adequate procedures for public notice including offering an 
opportunity for public comment and a hearing on the draft permit. These 
procedures shall include the following:
    (1) Notice shall be given: by publication in a newspaper of general 
circulation in the area where the source is located or in a State 
publication designed to give general public notice; to persons on a 
mailing list developed by the permitting authority, including those who 
request in writing to be on the list; and by other means if necessary to 
assure adequate notice to the affected public;
    (2) The notice shall identify the affected facility; the name and 
address of the permittee; the name and address of the permitting 
authority processing the permit; the activity or activities involved in 
the permit action; the emissions change involved in any permit 
modification; the name, address, and telephone number of a person from 
whom interested persons may obtain additional information, including 
copies of the permit draft, the application, all relevant supporting 
materials, including those set forth in Sec. 70.4(b)(3)(viii) of this 
part, and all other materials available to the permitting authority that 
are relevant to the permit decision; a brief description of the comment 
procedures required by this part; and the time and place of any hearing 
that may be held, including a statement of procedures to request a 
hearing (unless a hearing has already been scheduled);
    (3) The permitting authority shall provide such notice and 
opportunity for participation by affected States as is provided for by 
Sec. 70.8 of this part;
    (4) Timing. The permitting authority shall provide at least 30 days 
for public comment and shall give notice of any public hearing at least 
30 days in advance of the hearing.
    (5) The permitting authority shall keep a record of the commenters 
and also of the issues raised during the public participation process so 
that the Administrator may fulfill his obligation under section 
505(b)(2) of the Act to determine whether a citizen petition may be 
granted, and such records shall be available to the public.



Sec. 70.8  Permit review by EPA and affected States.

    (a) Transmission of information to the Administrator. (1) The permit 
program shall require that the permitting authority provide to the 
Administrator a copy of each permit application (including any 
application for permit modification), each proposed permit, and each 
final part 70 permit. The applicant may be required by the permitting 
authority to provide a copy of the

[[Page 113]]

permit application (including the compliance plan) directly to the 
Administrator. Upon agreement with the Administrator, the permitting 
authority may submit to the Administrator a permit application summary 
form and any relevant portion of the permit application and compliance 
plan, in place of the complete permit application and compliance plan. 
To the extent practicable, the preceding information shall be provided 
in computer-readable format compatible with EPA's national database 
management system.
    (2) The Administrator may waive the requirements of paragraphs 
(a)(1) and (b)(1) of this section for any category of sources (including 
any class, type, or size within such category) other than major sources 
according to the following:
    (i) By regulation for a category of sources nationwide, or
    (ii) At the time of approval of a State program for a category of 
sources covered by an individual permitting program.
    (3) Each State permitting authority shall keep for 5 years such 
records and submit to the Administrator such information as the 
Administrator may reasonably require to ascertain whether the State 
program complies with the requirements of the Act or of this part.
    (b) Review by affected States. (1) The permit program shall provide 
that the permitting authority give notice of each draft permit to any 
affected State on or before the time that the permitting authority 
provides this notice to the public under Sec. 70.7(h) of this part, 
except to the extent Sec. 70.7(e) (2) or (3) of this part requires the 
timing of the notice to be different.
    (2) The permit program shall provide that the permitting authority, 
as part of the submittal of the proposed permit to the Administrator [or 
as soon as possible after the submittal for minor permit modification 
procedures allowed under Sec. 70.7(e) (2) or (3) of this part], shall 
notify the Administrator and any affected State in writing of any 
refusal by the permitting authority to accept all recommendations for 
the proposed permit that the affected State submitted during the public 
or affected State review period. The notice shall include the permitting 
authority's reasons for not accepting any such recommendation. The 
permitting authority is not required to accept recommendations that are 
not based on applicable requirements or the requirements of this part.
    (c) EPA objection. (1) The Administrator will object to the issuance 
of any proposed permit determined by the Administrator not to be in 
compliance with applicable requirements or requirements under this part. 
No permit for which an application must be transmitted to the 
Administrator under paragraph (a) of this section shall be issued if the 
Administrator objects to its issuance in writing within 45 days of 
receipt of the proposed permit and all necessary supporting information.
    (2) Any EPA objection under paragraph (c)(1) of this section shall 
include a statement of the Administrator's reasons for objection and a 
description of the terms and conditions that the permit must include to 
respond to the objections. The Administrator will provide the permit 
applicant a copy of the objection.
    (3) Failure of the permitting authority to do any of the following 
also shall constitute grounds for an objection:
    (i) Comply with paragraphs (a) or (b) of this section;
    (ii) Submit any information necessary to review adequately the 
proposed permit; or
    (iii) Process the permit under the procedures approved to meet 
Sec. 70.7(h) of this part except for minor permit modifications.
    (4) If the permitting authority fails, within 90 days after the date 
of an objection under paragraph (c)(1) of this section, to revise and 
submit a proposed permit in response to the objection, the Administrator 
will issue or deny the permit in accordance with the requirements of the 
Federal program promulgated under title V of this Act.
    (d) Public petitions to the Administrator. The program shall provide 
that, if the Administrator does not object in writing under paragraph 
(c) of this section, any person may petition the Administrator within 60 
days after the expiration of the Administrator's 45-day review period to 
make such objection. Any such petition shall be based only on objections 
to the permit that were

[[Page 114]]

raised with reasonable specificity during the public comment period 
provided for in Sec. 70.7(h) of this part, unless the petitioner 
demonstrates that it was impracticable to raise such objections within 
such period, or unless the grounds for such objection arose after such 
period. If the Administrator objects to the permit as a result of a 
petition filed under this paragraph, the permitting authority shall not 
issue the permit until EPA's objection has been resolved, except that a 
petition for review does not stay the effectiveness of a permit or its 
requirements if the permit was issued after the end of the 45-day review 
period and prior to an EPA objection. If the permitting authority has 
issued a permit prior to receipt of an EPA objection under this 
paragraph, the Administrator will modify, terminate, or revoke such 
permit, and shall do so consistent with the procedures in Sec. 70.7(g) 
(4) or (5) (i) and (ii) of this part except in unusual circumstances, 
and the permitting authority may thereafter issue only a revised permit 
that satisfies EPA's objection. In any case, the source will not be in 
violation of the requirement to have submitted a timely and complete 
application.
    (e) Prohibition on default issuance. Consistent with 
Sec. 70.4(b)(3)(ix) of this part, for the purposes of Federal law and 
title V of the Act, no State program may provide that a part 70 permit 
(including a permit renewal or modification) will issue until affected 
States and EPA have had an opportunity to review the proposed permit as 
required under this section. When the program is submitted for EPA 
review, the State Attorney General or independent legal counsel shall 
certify that no applicable provision of State law requires that a part 
70 permit or renewal be issued after a certain time if the permitting 
authority has failed to take action on the application (or includes any 
other similar provision providing for default issuance of a permit), 
unless EPA has waived such review for EPA and affected States.



Sec. 70.9  Fee determination and certification.

    (a) Fee Requirement. The State program shall require that the owners 
or operators of part 70 sources pay annual fees, or the equivalent over 
some other period, that are sufficient to cover the permit program costs 
and shall ensure that any fee required by this section will be used 
solely for permit program costs.
    (b) Fee schedule adequacy. (1) The State program shall establish a 
fee schedule that results in the collection and retention of revenues 
sufficient to cover the permit program costs. These costs include, but 
are not limited to, the costs of the following activities as they relate 
to the operating permit program for stationary sources:
    (i) Preparing generally applicable regulations or guidance regarding 
the permit program or its implementation or enforcement;
    (ii) Reviewing and acting on any application for a permit, permit 
revision, or permit renewal, including the development of an applicable 
requirement as part of the processing of a permit, or permit revision or 
renewal;
    (iii) General administrative costs of running the permit program, 
including the supporting and tracking of permit applications, compliance 
certification, and related data entry;
    (iv) Implementing and enforcing the terms of any part 70 permit (not 
including any court costs or other costs associated with an enforcement 
action), including adequate resources to determine which sources are 
subject to the program;
    (v) Emissions and ambient monitoring;
    (vi) Modeling, analyses, or demonstrations;
    (vii) Preparing inventories and tracking emissions; and
    (viii) Providing direct and indirect support to sources under the 
Small Business Stationary Source Technical and Environmental Compliance 
Assistance Program contained in section 507 of the Act in determining 
and meeting their obligations under this part.
    (2)(i) The Administrator will presume that the fee schedule meets 
the requirements of paragraph (b)(1) of this section if it would result 
in the collection and retention of an amount not less than $25 per year 
[as adjusted pursuant to the criteria set forth in paragraph (b)(2)(iv) 
of this section] times

[[Page 115]]

the total tons of the actual emissions of each regulated pollutant (for 
presumptive fee calculation) emitted from part 70 sources.
    (ii) The State may exclude from such calculation:
    (A) The actual emissions of sources for which no fee is required 
under paragraph (b)(4) of this section;
    (B) The amount of a part 70 source's actual emissions of each 
regulated pollutant (for presumptive fee calculation) that the source 
emits in excess of four thousand (4,000) tpy;
    (C) A part 70 source's actual emissions of any regulated pollutant 
(for presumptive fee calculation), the emissions of which are already 
included in the minimum fees calculation; or
    (D) The insignificant quantities of actual emissions not required in 
a permit application pursuant to Sec. 70.5(c).
    (iii) ``Actual emissions'' means the actual rate of emissions in 
tons per year of any regulated pollutant (for presumptive fee 
calculation) emitted from a part 70 source over the preceding calendar 
year or any other period determined by the permitting authority to be 
representative of normal source operation and consistent with the fee 
schedule approved pursuant to this section. Actual emissions shall be 
calculated using the unit's actual operating hours, production rates, 
and in-place control equipment, types of materials processed, stored, or 
combusted during the preceding calendar year or such other time period 
established by the permitting authority pursuant to the preceding 
sentence.
    (iv) The program shall provide that the $25 per ton per year used to 
calculate the presumptive minimum amount to be collected by the fee 
schedule, as described in paragraph (b)(2)(i) of this section, shall be 
increased each year by the percentage, if any, by which the Consumer 
Price Index for the most recent calendar year ending before the 
beginning of such year exceeds the Consumer Price Index for the calendar 
year 1989.
    (A) The Consumer Price Index for any calendar year is the average of 
the Consumer Price Index for all-urban consumers published by the 
Department of Labor, as of the close of the 12-month period ending on 
August 31 of each calendar year.
    (B) The revision of the Consumer Price Index which is most 
consistent with the Consumer Price Index for the calendar year 1989 
shall be used.
    (3) The State program's fee schedule may include emissions fees, 
application fees, service-based fees or other types of fees, or any 
combination thereof, to meet the requirements of paragraph (b)(1) or 
(b)(2) of this section. Nothing in the provisions of this section shall 
require a permitting authority to calculate fees on any particular basis 
or in the same manner for all part 70 sources, all classes or categories 
of part 70 sources, or all regulated air pollutants, provided that the 
permitting authority collects a total amount of fees sufficient to meet 
the program support requirements of paragraph (b)(1) of this section.
    (4) Notwithstanding any other provision of this section, during the 
years 1995 through 1999 inclusive, no fee for purposes of title V shall 
be required to be paid with respect to emissions from any affected unit 
under section 404 of the Act.
    (5) The State shall provide a detailed accounting that its fee 
schedule meets the requirements of paragraph (b)(1) of this section if:
    (i) The State sets a fee schedule that would result in the 
collection and retention of an amount less than that presumed to be 
adequate under paragraph (b)(2) of this section; or
    (ii) The Administrator determines, based on comments rebutting the 
presumption in paragraph (b)(2) of this section or on his own 
initiative, that there are serious questions regarding whether the fee 
schedule is sufficient to cover the permit program costs.
    (c) Fee demonstration. The permitting authority shall provide a 
demonstration that the fee schedule selected will result in the 
collection and retention of fees in an amount sufficient to meet the 
requirements of this section.
    (d) Use of Required Fee Revenue. The Administrator will not approve 
a demonstration as meeting the requirements of this section, unless it 
contains an initial accounting (and periodic updates as required by the 
Administrator) of how required fee revenues

[[Page 116]]

are used solely to cover the costs of meeting the various functions of 
the permitting program.



Sec. 70.10  Federal oversight and   sanctions.

    (a) Failure to submit an approvable program. (1) If a State fails to 
submit a fully-approvable whole part 70 program, or a required revision 
thereto, in conformance with the provisions of Sec. 70.4, or if an 
interim approval expires and the Administrator has not approved a whole 
part 70 program:
    (i) At any time the Administrator may apply any one of the sanctions 
specified in section 179(b) of the Act; and
    (ii) Eighteen months after the date required for submittal or the 
date of disapproval by the Administrator, the Administrator will apply 
such sanctions in the same manner and with the same conditions as are 
applicable in the case of a determination, disapproval, or finding under 
section 179(a) of the Act.
    (2) If full approval of a whole part 70 program has not taken place 
within 2 years after the date required for such submission, the 
Administrator will promulgate, administer, and enforce a whole program 
or a partial program as appropriate for such State.
    (b) State failure to administer or enforce. Any State program 
approved by the Administrator shall at all times be conducted in 
accordance with the requirements of this part and of any agreement 
between the State and the Administrator concerning operation of the 
program.
    (1) Whenever the Administrator makes a determination that a 
permitting authority is not adequately administering or enforcing a part 
70 program, or any portion thereof, the Administrator will notify the 
permitting authority of the determination and the reasons therefore. The 
Administrator will publish such notice in the Federal Register.
    (2) If, 90 days after issuing the notice under paragraph (c)(1) of 
this section, the permitting authority fails to take significant action 
to assure adequate administration and enforcement of the program, the 
Administrator may take one or more of the following actions:
    (i) Withdraw approval of the program or portion thereof using 
procedures consistent with Sec. 70.4(e) of this part;
    (ii) Apply any of the sanctions specified in section 179(b) of the 
Act;
    (iii) Promulgate, administer, or enforce a Federal program under 
title V of the Act.
    (3) Whenever the Administrator has made the finding and issued the 
notice under paragraph (c)(1) of this section, the Administrator will 
apply the sanctions under section 179(b) of the Act 18 months after that 
notice. These sanctions will be applied in the same manner and subject 
to the same deadlines and other conditions as are applicable in the case 
of a determination, disapproval, or finding under section 179(a) of the 
Act.
    (4) Whenever the Administrator has made the finding and issued the 
notice under paragraph (c)(1) of this section, the Administrator will, 
unless the State has corrected such deficiency within 18 months after 
the date of such finding, promulgate, administer, and enforce, a whole 
or partial program 2 years after the date of such finding.
    (5) Nothing in this section shall limit the Administrator's 
authority to take any enforcement action against a source for violations 
of the Act or of a permit issued under rules adopted pursuant to this 
section in a State that has been delegated responsibility by EPA to 
implement a Federal program promulgated under title V of the Act.
    (6) Where a whole State program consists of an aggregate of partial 
programs, and one or more partial programs fails to be fully approved or 
implemented, the Administrator may apply sanctions only in those areas 
for which the State failed to submit or implement an approvable program.
    (c) Criteria for withdrawal of State programs. (1) The Administrator 
may, in accordance with the procedures of paragraph (c) of this section, 
withdraw program approval in whole or in part whenever the approved 
program no longer complies with the requirements of this part, and the 
permitting authority fails to take corrective action. Such 
circumstances, in whole or in part, include any of the following:

[[Page 117]]

    (i) Where the permitting authority's legal authority no longer meets 
the requirements of this part, including the following:
    (A) The permitting authority fails to promulgate or enact new 
authorities when necessary; or
    (B) The State legislature or a court strikes down or limits State 
authorities to administer or enforce the State program.
    (ii) Where the operation of the State program fails to comply with 
the requirements of this part, including the following:
    (A) Failure to exercise control over activities required to be 
regulated under this part, including failure to issue permits;
    (B) Repeated issuance of permits that do not conform to the 
requirements of this part;
    (C) Failure to comply with the public participation requirements of 
Sec. 70.7(h) of this part;
    (D) Failure to collect, retain, or allocate fee revenue consistent 
with Sec. 70.9 of this part; or
    (E) Failure in a timely way to act on any applications for permits 
including renewals and revisions.
    (iii) Where the State fails to enforce the part 70 program 
consistent with the requirements of this part, including the following:
    (A) Failure to act on violations of permits or other program 
requirements;
    (B) Failure to seek adequate enforcement penalties and fines and 
collect all assessed penalties and fines; or
    (C) Failure to inspect and monitor activities subject to regulation.
    (d) Federal collection of fees. If the Administrator determines that 
the fee provisions of a part 70 program do not meet the requirements of 
Sec. 70.9 of this part, or if the Administrator makes a determination 
under paragraph (c)(1) of this section that the permitting authority is 
not adequately administering or enforcing an approved fee program, the 
Administrator may, in addition to taking any other action authorized 
under title V of the Act, collect reasonable fees to cover the 
Administrator's costs of administering the provisions of the permitting 
program promulgated by the Administrator, without regard to the 
requirements of Sec. 70.9 of this part.



Sec. 70.11  Requirements for enforcement authority.

    All programs to be approved under this part must contain the 
following provisions:
    (a) Enforcement authority. Any agency administering a program shall 
have the following enforcement authority to address violations of 
program requirements by part 70 sources:
    (1) To restrain or enjoin immediately and effectively any person by 
order or by suit in court from engaging in any activity in violation of 
a permit that is presenting an imminent and substantial endangerment to 
the public health or welfare, or the environment.
    (2) To seek injunctive relief in court to enjoin any violation of 
any program requirement, including permit conditions, without the 
necessity of a prior revocation of the permit.
    (3) To assess or sue to recover in court civil penalties and to seek 
criminal remedies, including fines, according to the following:
    (i) Civil penalties shall be recoverable for the violation of any 
applicable requirement; any permit condition; any fee or filing 
requirement; any duty to allow or carry out inspection, entry or 
monitoring activities or, any regulation or orders issued by the 
permitting authority. These penalties shall be recoverable in a maximum 
amount of not less than $10,000 per day per violation. State law shall 
not include mental state as an element of proof for civil violations.
    (ii) Criminal fines shall be recoverable against any person who 
knowingly violates any applicable requirement; any permit condition; or 
any fee or filing requirement. These fines shall be recoverable in a 
maximum amount of not less than $10,000 per day per violation.
    (iii) Criminal fines shall be recoverable against any person who 
knowingly makes any false material statement, representation or 
certification in any form, in any notice or report required by a permit, 
or who knowingly renders

[[Page 118]]

inaccurate any required monitoring device or method. These fines shall 
be recoverable in a maximum amount of not less than $10,000 per day per 
violation.
    (b) Burden of proof. The burden of proof and degree of knowledge or 
intent required under State law for establishing violations under 
paragraph (a)(3) of this section shall be no greater than the burden of 
proof or degree of knowledge or intent required under the Act.
    (c) Appropriateness of penalties and fines. A civil penalty or 
criminal fine assessed, sought, or agreed upon by the permitting 
authority under paragraph (a)(3) of this section shall be appropriate to 
the violation.

  Appendix A to Part 70--Approval Status of State and Local Operating 
                            Permits Programs

    This appendix provides information on the approval status of State 
and Local operating Permit Programs. An approved State part 70 program 
applies to all part 70 sources, as defined in that approved program, 
within such State, except for any source of air pollution over which a 
federally recognized Indian Tribe has jurisdiction.

                                 Alabama

    (a) Alabama Department of Environmental Management: submitted on 
December 15, 1993, and supplemented on March 3, 1994; March 18, 1994; 
June 5, 1995; July 14, 1995; and August 28, 1995; interim approval 
effective on December 15, 1995; interim approval expires December 1, 
2001.
    (b) City of Huntsville Department of Natural Resources and 
Environmental Management: submitted on November 15, 1993, and 
supplemented on July 20, 1995; interim approval effective on December 
15, 1995; interim approval expires December 1, 2001.
    (c) Jefferson County Department of Health: submitted on December 14, 
1993, and supplemented on July 14, 1995; interim approval effective on 
December 15, 1995; interim approval expires December 1, 2001.

                                 Alaska

    (a) Alaska Department of Environmental Conservation: submitted on 
May 31, 1995, as supplemented by submittals on August 16, 1995, February 
6, 1996, February 27, 1996, July 5, 1996, August 2, 1996, and October 
17, 1996; interim approval effective on December 5, 1996; interim 
approval expires December 1, 2001.
    (b) (Reserved)

                                 Arizona

    (a) Arizona Department of Environmental Quality: submitted on 
November 15, 1993 and amended on March 14, 1994; May 17, 1994; March 20, 
1995; May 4, 1995; July 22, 1996; and August 12, 1996; interim approval 
effective on November 29, 1996; interim approval expires December 1, 
2001.
    (b) Maricopa County Environmental Services Department: submitted on 
November 15, 1993 and amended on December 15, 1993; January 13, 1994; 
March 9, 1994; and March 21, 1995; July 22, 1996; and August 12, 1996; 
interim approval effective on November 29, 1996; interim approval 
expires December 1, 2001.
    (c) Pima County Department of Environmental Quality:
    (1) Submitted on November 15, 1993 and amended on December 15, 1993; 
January 27, 1994; April 6, 1994; April 8, 1994; August 14, 1995; July 
22, 1996; August 12, 1996; interim approval effective on November 29, 
1996; interim approval expires December 1, 2001.
    (2) Revisions submitted on January 14, 1997; February 26, 1997; July 
17, 1997; July 25, 1997; November 7, 1997; approval effective October 
23, 1998; interim approval expires December 1, 2001.
    (d) Pinal County Air Quality Control District:
    (1) submitted on November 15, 1993 and amended on August 16, 1994; 
August 15, 1995; July 22, 1996; and August 12, 1996; interim approval 
effective on November 29, 1996; interim approval expires December 1, 
2001.
    (2) revisions submitted on August 15, 1995; interim approval 
effective on December 30, 1996; interim approval expires December 1, 
2001.

                                Arkansas

    (a) The ADPCE submitted its Operating Permits program on November 9, 
1993, for approval. Interim approval is effective on October 10, 1995. 
Interim approval will expire December 1, 2001.
    (b) [Reserved]

                               California

    The following district programs were submitted by the California Air 
Resources Board on behalf of:
    (a) Amador County Air Pollution Control District (APCD) (complete 
submittal received on September 30, 1994); interim approval effective on 
June 2, 1995; interim approval expires December 1, 2001.
    (b) Bay Area Air Quality Management District: Submitted on November 
16, 1993, amended on October 27, 1994, and effective as an interim 
program on July 24, 1995. Revisions to interim program submitted on 
March 23, 1995, and effective on August 22, 1995, unless adverse or 
critical comments are received by July 24, 1995. Approval of interim 
program, including March 23, 1995, revisions, expires December 1, 2001.

[[Page 119]]

    (c) Butte County APCD (complete submittal received on December 16, 
1993); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (d) Calaveras County APCD (complete submittal received on October 
31, 1994); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (e) Colusa County APCD (complete submittal received on February 24, 
1994); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (f) El Dorado County APCD (complete submittal received on November 
16, 1993); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (g) Feather River Air Quality Management District (AQMD) (complete 
submittal received on December 27, 1993); interim approval effective on 
June 2, 1995; interim approval expires December 1, 2001.
    (h) Glenn County APCD (complete submittal received on December 27, 
1993); interim approval effective on August 14, 1995; interim approval 
expires December 1, 2001.
    (i) Great Basin Unified APCD (complete submittal received on January 
12, 1994); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (j) Imperial County APCD (complete submittal received on March 24, 
1994); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (k) Kern County APCD (complete submittal received on November 16, 
1993); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (l) Lake County AQMD (complete submittal received on March 15, 
1994); interim approval effective on August 14, 1995; interim approval 
expires December 1, 2001.
    (m) Lassen County APCD (complete submittal received on January 12, 
1994); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (n) Mariposa Air Pollution Control District: submitted on March 8, 
1995; approval effective on February 5, 1996 unless adverse or critical 
comments are received by January 8, 1996. Interim approval expires on 
December 1, 2001.
    (o) Mendocino County APCD (complete submittal received on December 
27, 1993); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (p) Modoc County APCD (complete submittal received on December 27, 
1993); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (q) Mojave Desert AQMD (complete submittal received on March 10, 
1995); interim approval effective on March 6, 1996; interim approval 
expires December 1, 2001.
    (r) Monterey Bay Unified Air Pollution Control District: submitted 
on December 6, 1993, supplemented on February 2, 1994 and April 7, 1994, 
and revised by the submittal made on October 13, 1994; interim approval 
effective on November 6, 1995; interim approval expires December 1, 
2001.
    (s) North Coast Unified AQMD (complete submittal received on 
February 24, 1994); interim approval effective on June 2, 1995; interim 
approval expires December 1, 2001.
    (t) Northern Sierra AQMD (complete submittal received on June 6, 
1994); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (u) Northern Sonoma County APCD (complete submittal received on 
January 12, 1994); interim approval effective on June 2, 1995; interim 
approval expires December 1, 2001.
    (v) Placer County APCD (complete submittal received on December 27, 
1993); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (w) The Sacramento Metropolitan Air Quality Management District: 
(complete submittal received on August 1, 1994); interim approval 
effective on September 5, 1995; interim approval expires December 1, 
2001.
    (x) San Diego Air Pollution Control District: submitted on April 22, 
1994 and amended on April 4, 1995 and October 10, 1995; approval 
effective on February 5, 1996, unless adverse or critical comments are 
received by January 8, 1996. Interim approval expires on December 1, 
2001.
    (y) San Joaquin Valley Unified APCD (complete submittal received on 
July 5 and August 18, 1995); interim approval effective on May 24, 1996; 
interim approval expires May 25, 1998. Interim approval expires on 
December 1, 2001.
    (z) San Luis Obispo County APCD (complete submittal received on 
November 16, 1995); interim approval effective on December 1, 1995; 
interim approval expires December 1, 2001.
    (aa) Santa Barbara County Air Pollution Control District (APCD) 
submitted on November 15, 1993, as amended March 2, 1994, August 8, 
1994, December 8, 1994, June 15, 1995, and September 18, 1997; interim 
approval effective on December 1, 1995; interim approval expires on 
December 1, 2001.
    (bb) Shasta County AQMD (complete submittal received on November 16, 
1993); interim approval effective on August 14, 1995; interim approval 
expires December 1, 2001.
    (cc) Siskiyou County APCD (complete submittal received on December 
6, 1993); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (dd) South Coast Air Quality Management District: submitted on 
December 27, 1993 and amended on March 6, 1995, April 11, 1995, 
September 26, 1995, April 24, 1996, May 6, 1996, May 23, 1996, June 5, 
1996 and July 29, 1996; approval effective on March 31, 1997. Interim 
approval expires on December 1, 2001.
    (ee) Tehama County APCD (complete submittal received on December 6, 
1993); interim approval effective on August 14, 1995; interim approval 
expires December 1, 2001.

[[Page 120]]

    (ff) Tuolumne County APCD (complete submittal received on November 
16, 1993); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.
    (gg) Ventura County Air Pollution Control District (APCD) submitted 
on November 16, 1993, as amended December 6, 1993; interim approval 
effective on December 1, 1995; interim approval expires December 1, 
2001.
    (hh) Yolo-Solano AQMD (complete submittal received on October 14, 
1994); interim approval effective on June 2, 1995; interim approval 
expires December 1, 2001.

                                Colorado

    (a) Colorado Department Health-Air Pollution Control Division: 
submitted on November 5, 1993; effective on February 23, 1995; interim 
approval expires December 1, 2001.
    (b) [Reserved]

                               Connecticut

    (a) Department of Environmental Protection: submitted on September 
28, 1995; interim approval effective on April 23, 1997; interim approval 
expires December 1, 2001.
    (b) [Reserved]

                                Delaware

    (a) Department of Natural Resources and Environmental Control: 
submitted on November 15, 1993 and amended on November 22, 1993, 
February 9, 1994, May 15, 1995 and September 5, 1995; interim approval 
effective on January 3, 1996; interim approval expires December 1, 2001.
    (b) [Reserved]

                          District of Columbia

    (a) Environmental Regulation Administration: submitted on January 
13, 1994 and March 11, 1994; interim approval effective on September 6, 
1995; interim approval expires December 1, 2001.
    (b) [Reserved]

                                 Florida

    (a) Florida Department of Environmental Protection: submitted on 
November 16, 1993, and supplemented on July 8, 1994, November 28, 1994, 
December 21, 1994, December 22, 1994, and January 11, 1995; interim 
approval effective on October 25, 1995; interim approval expires 
December 1, 2001.
    (b) [Reserved]

                                 Georgia

    (a) The Georgia Department of Natural Resources submitted on 
November 12, 1993, and supplemented on June 24, 1994; November 14, 1994; 
and June 5, 1995; interim approval effective on December 22, 1995; 
interim approval expires December 1, 2001.
    (b) The Georgia Department of Natural Resources submitted program 
revisions on March 10, 1997, February 11, 1998, September 30, 1999, 
November 15, 1999, and January 11, 2000. The rule revisions contained in 
the February 11, 1998 submittal adequately addressed the conditions of 
the interim approval effective on December 22, 1995, and which would 
expire on June 1, 2000. The State is hereby granted final full approval 
effective on August 7, 2000.

                                 Hawaii

    (a) Department of Health; submitted on December 20, 1993; effective 
on December 1, 1994; interim approval expires December 1, 2001.
    (b) [Reserved]

                                  Idaho

    (a) Idaho Division of Environmental Quality: submitted on January 
20, 1995, and supplemented on July 14, 1995, September 15, 1995, and 
January 12, 1996; interim approval effective on January 6, 1997; interim 
approval expires December 1, 2001.
    (b) Reserved.

                                Illinois

    (a) The Illinois Environmental Protection Agency: submitted on 
November 15, 1993; interim approval effective on March 7, 1995; interim 
approval expires December 1, 2001.
    (b) [Reserved]

                                 Indiana

    (a) The Indiana Department of Environmental Management: submitted on 
August 10, 1994; interim approval effective on December 14, 1995; 
interim approval expires December 1, 2001.
    (b) [Reserved]

                                  Iowa

    (a) The Iowa Department of Natural Resources submitted on November 
15, 1993, and supplemented by correspondence dated March 15, 1994; 
August 8, 1994; October 5, 1994; December 6, 1994; December 15, 1994; 
February 6, 1995; March 1, 1995; March 23, 1995; and May 26, 1995. 
Interim approval effective on October 2, 1995; interim approval expires 
October 1, 1998.
    (b) The Iowa Department of Natural Resources submitted a revised 
workload analysis dated April 3, 1997. This fulfills the final condition 
of the interim approval effective on October 2, 1995, and which would 
expire on October 1, 1997. The state is hereby granted final full 
approval effective September 12, 1997.

                                 Kansas

    (a) The Kansas Department of Health and Environment program 
submitted on December 12, 1994; April 7 and 17, 1995; November 14,

[[Page 121]]

1995; and December 13, 1995. Full approval effective on February 29, 
1996.
    (b) [Reserved]

                                Kentucky

    (a) Kentucky Natural Resources and Environmental Protection Cabinet: 
submitted on December 27, 1993, and supplemented on November 15, 1994, 
April 14, 1995, May 3, 1995 and May 22, 1995; interim approval effective 
on December 14, 1995; interim approval expires on December 1, 2001.
    (b) Air Pollution Control District of Jefferson County, Kentucky: 
submitted on February 1, 1994, and supplemented on November 15, 1994, 
May 3, 1995, July 14, 1995 and February 16, 1996; full approval 
effective on April 22, 1996.

                                Louisiana

    (a) The Louisiana Department of Environmental Quality, Air Quality 
Division submitted an Operating Permits program on November 15, 1993, 
which was revised November 10, 1994, and became effective on October 12, 
1995.
    (b) [Reserved]

                                  Maine

    (a) Department of Environmental Protection: submitted on October 23, 
1995; source category-limited interim approval effective on March 24, 
1997; source category-limited interim approval expires December 1, 2001.
    (b) [Reserved]

                                Maryland

    (a) Maryland Department of the Environment: submitted on May 9, 
1995; interim approval effective on August 2, 1996; interim approval 
expires December 1, 2001.
    (b) Reserved

                              Massachusetts

    (a) Department of Environmental Protection: submitted on April 28, 
1995; interim approval effective on May 15, 1996; interim approval 
expires December 1, 2001.
    (b) [Reserved]

                                Michigan

    (a)(1) Department of Environmental Quality: received on May 16, 
1995, July 20, 1995, October 6, 1995, November 7, 1995, and January 8, 
1996; interim approval effective on February 10, 1997; interim approval 
expires December 1, 2001.
    (2) Interim approval revised to provide for a 4 year initial permit 
issuance schedule under source category limited (SCL) interim approval, 
pursuant to the Department of Environmental Quality's request received 
on April 18, 1997. SCL interim approval effective on July 18, 1997.
    (b) (Reserved)

                                Minnesota

    (a) Minnesota Pollution Control Agency; submitted on November 15, 
1993; effective July 17, 1995; interim approval expires December 1, 
2001.
    (b) [Reserved]

                               Mississippi

    (a) Department of Environmental Quality: submitted on November 15, 
1993; full approval effective on January 27, 1995.
    (b) [Reserved]

                                Missouri

    (a) The Missouri Department of Natural Resources program submitted 
on January 13, 1995; August 14, 1995; September 19, 1995; and October 
16, 1995. Interim approval effective on May 13, 1996. Interim approval 
expires on September 13, 1998.
    (b) The Missouri Department of Natural Resources program submitted 
on January 13, 1995; August 14, 1995; September 19, 1995; October 16, 
1995; and August 6, 1996.
    Full approval effective June 13, 1997.
    (c) The Missouri Department of Natural Resources submitted Missouri 
rule 10 CSR 10-6.110, ``Submission of Emission Data, Emission Fees, and 
Process Information,'' on February 1, 1996, approval effective September 
25, 1997.
    (d) The Missouri Department of Natural Resources submitted on May 
28, 1998, revisions to Missouri Rules 10 CSR 10-6.020, ``Definitions and 
Common Reference Tables,'' and 10 CSR 10-6.065, ``Operating Permits.'' 
Effective date was April 30, 1998.
    (e) The Missouri Department of Natural Resources submitted on July 
8, 1999, revisions to Missouri rules 10 CSR 10-6.110, ``Submission of 
Emission Data, Emission Fees, and Process Information,'' effective on 
December 30, 1998.
    (f) The Missouri Department of Natural Resources submitted Missouri 
rule 10 CSR 10-6.020, ``Definitions and Common Reference Tables,'' on 
September 30, 1999, approval effective May 30, 1999.

                                 Montana

    (a) Montana Department of Health and Environmental Sciences--Air 
Quality Division: submitted on March 29, 1994; effective on June 12, 
1995; interim approval expires December 1, 2001.
    (b) The Montana Department of Environmental Quality submitted an 
operating permits program on March 29, 1994; effective on June 12, 1995; 
revised January 15, 1998, and March 17, 2000; full approval effective on 
August 14, 2000.
    (b) [Reserved]

[[Page 122]]

   Nebraska; City of Omaha; Lincoln-Lancaster County Health Department

    (a) The Nebraska Department of Environmental Quality submitted on 
November 15, 1993, supplemented by correspondence dated November 2, 
1994, and August 29, 1995, and amended Title V rules submitted June 14, 
1995.
    (b) Omaha Public Works Department submitted on November 15, 1993, 
supplemented by correspondence dated April 18, 1994; April 19, 1994; May 
13, 1994; August 12, 1994; and April 13, 1995. A delegation contract 
between the state and the city of Omaha became effective on June 6, 
1995.
    (c) Lincoln-Lancaster County Health Department submitted on November 
12, 1993, supplemented by correspondence dated June 23, 1994. Full 
approval effective on November 17, 1995.
    (d) The Nebraska Department of Environmental Quality submitted the 
following program revisions on August 20, 1999; NDEQ Title 129, Chapters 
1, 2, 5, 6, 7, 8, 10, 29, and 41; City of Omaha Ordinance No. 34492, 
amended section 41-2, and LLCHD Articles 2-1, 2-2, 2-5, 2-6, 2-7, 2-8, 
and 2-15, effective February 22, 2000.

                                 Nevada

    The following district program was submitted by the Nevada Division 
of Environmental Protection on behalf of:
    (a) Nevada Division of Environmental Protection: submitted on 
February 8, 1995; interim approval effective on January 11, 1996; 
interim approval expires December 1, 2001.
    (b) Washoe County District Health Department: submitted on November 
18, 1993; interim approval effective on March 6, 1995; interim approval 
expires December 1, 2001.
    (c) Clark County Air Quality Management District: submitted on 
January 12, 1994 and amended on July 18 and September 21, 1994; interim 
approval effective on August 14, 1995; interim approval expires December 
1, 2001.

                              New Hampshire

    (a) Department of Environmental Services: submitted on October 26, 
1995; interim approval effective on December 1, 2001.
    (b) [Reserved]

                               New Jersey

    (a) The New Jersey Department of Environmental Protection submitted 
an operating permit program on November 15, 1993, revised on August 10, 
1995, with supplements on August 28, 1995, November 15, 1995, December 
4, 1995, and December 6, 1995; interim approval effective on June 17, 
1996; interim approval expires December 1, 2001.
    (b) The New Jersey State Department of Environmental Protection 
submitted an operating permits program revision request on June 11, 
1998; interim program revision approval effective on July 6, 1999.

                               New Mexico

    (a) Environment Department; submitted on November 15, 1993; 
effective date on December 19, 1994; interim approval expires on October 
19, 1997.
    (b) City of Albuquerque Environmental Health Department, Air 
Pollution Control Division: submitted on April 4, 1994; effective on 
March 13, 1995; interim approval expires June 10, 1997.
    (c) The New Mexico Environment Department, Air Pollution Control 
Bureau submitted an operating permits program on November 15, 1993, 
which was revised July 31, 1996, and became effective on December 26, 
1996.
    (d) The City of Albuquerque, Environmental Health Department, 
submitted an operating permits program on April 4, 1994, which was 
revised July 31, 1996, and became effective on December 26, 1996.

                                New York

    (a) The New York State Department of Environmental Conservation 
submitted an operating permits program on November 12, 1993, 
supplemented on June 17, 1996 and June 27, 1996; interim program 
approval effective on December 9, 1996; interim program approval expires 
December 1, 2001.
    (b) [Reserved]

                             North Carolina

    (a)(1) Department of Environment and Natural Resources: submitted on 
November 12, 1993, and supplemented on December 17, 1993, May 31, 1994, 
and August 3, 1994, March 23, 1995, and August 9, 1995; interim approval 
effective on December 15, 1995; interim approval expires June 1, 2000.
    (2) [Reserved]
    (b)(1) Forsyth County Environmental Affairs Department: submitted on 
November 12, 1993, and supplemented on May 31, 1994 and November 28, 
1994; interim approval effective on December 15, 1995; interim approval 
expires June 1, 2000.
    (2) Forsyth County submitted program revisions on September 25, 
1995, January 16, 1997, August 1, 1997, April 22, 1998, October 2, 1998, 
February 18, 1999, September 29, 1999, October 26, 1999, and February 
24, 2000. The rule revisions contained in the September 25, 1995, August 
1, 1997, and October 26, 1999 submittals adequately addressed the 
conditions of the interim approval which would expire on June 1, 2000. 
The County is hereby granted final full approval effective on August 21, 
2000.
    (3) [Reserved]
    (c)(1) Mecklenburg County Department of Environmental Protection: 
submitted on November 12, 1993, and supplemented on June 5,

[[Page 123]]

1995; interim approval effective on December 15, 1995; interim approval 
expires June 1, 2000.
    (2) [Reserved]
    (d)(1) Western North Carolina Regional Air Pollution Control Agency: 
submitted on November 12, 1993, and supplemented on January 12, 1994, 
September 16, 1994, October 11, 1994, and May 17, 1995; interim approval 
effective on December 15, 1995; interim approval expires June 1, 2000.
    (2) [Reserved]

                              North Dakota

    (a) North Dakota State Department of Health and Consolidated 
Laboratories--Environmental Health Section: submitted on May 11, 1994; 
effective on August 7, 1995; interim approval expires June 1, 2000.
    (b) The North Dakota Department of Health, Environmental Health 
Section, submitted an operating permits program on May 11, 1994; interim 
approval effective on August 7, 1995; revised January 1, 1996, September 
1, 1997, September 1, 1998, and August 1, 1999; full approval effective 
on August 16, 1999.

                                  Ohio

    (a) The Ohio Environmental Protection Agency submitted on July 22, 
1994; September 12, 1994; November 21, 1994; December 9, 1994; and 
January 5, 1995; full approval effective on October 1, 1995.
    (b) [Reserved]

                                Oklahoma

    (a) The Oklahoma Department of Environmental Quality submitted its 
operating permits program on January 12, 1994, for approval. Source 
category--limited interim approval is effective on March 6, 1996. 
Interim approval will expire December 1, 2001.
    (b) [Reserved]

                                 Oregon

    (a) Oregon Department of Environmental Quality: submitted on 
November 15, 1993, as amended on November 15, 1994, and June 30, 1995; 
full approval effective on November 27, 1995.
    (b) Lane Regional Air Pollution Authority: submitted on November 15, 
1993, as amended on November 15, 1994, and June 30, 1995; full approval 
effective on November 27, 1995.

                              Pennsylvania

    (a) Pennsylvania Department of Environmental Resources [now known as 
the Pennsylvania Department of Environmental Protection]: submitted on 
May 18, 1995; full approval effective on August 29, 1996.
    (b) (Reserved)

                               Puerto Rico

    (a) The Puerto Rico Environmental Quality Board submitted an 
operating permits program on November 15, 1993 with supplements on March 
22, 1994 and April 11, 1994 and revised on September 29, 1995; full 
approval effective on March 27, 1996.
    (b) [Reserved]

                              Rhode Island

    (a) Department of Environmental Management: submitted on June 20, 
1995; interim approval effective on July 5, 1996; interim approval 
expires December 1, 2001.
    (b) [Reserved]

                             South Carolina

    (a) Department of Health and Environmental Control: submitted on 
November 12, 1993; full approval effective on July 26, 1995.
    (b) [Reserved]

                              South Dakota

    (a) South Dakota Department of Environment and Natural Resources 
Division of Environmental Regulation: submitted on November 12, 1993; 
effective on April 21, 1995; interim approval expires April 22, 1997.
    (b) [Reserved]

    Editorial Note: At 61 FR 2722, Jan. 29, 1996, appendix A to part 70 
was amended by adding an entry for South Dakota. An entry already exists 
for South Dakota in the 1995 edition of this volume.

                              South Dakota

    (a) South Dakota Department of Environment and Natural Resources--
Division of Environmental Regulations: submitted on November 12, 1993; 
effective on February 28, 1996.
    (b) [Reserved]

                                Tennessee

    (a) Tennessee Department of Environment and Conservation: submitted 
on November 10, 1994, and supplemented on December 5, 1994, August 8, 
1995, January 17, 1996, January 30, 1996, February 13, 1996, April 9, 
1996, June 4, 1996, June 12, 1996, July 3, 1996, and July 15, 1996; 
interim approval effective on August 28, 1996; interim approval expires 
December 1, 2001.
    (b) Chattanooga-Hamilton County Air Pollution Control Bureau, 
Hamilton County, State of Tennessee: submitted on November 22, 1993, and 
supplemented on January 23, 1995, February 24, 1995, October 13, 1995, 
and March 14, 1996; full approval effective on April 25, 1996.
    (c) The Knox County Department of Air Pollution Control; submitted 
on November 12, 1993, and supplemented on August 24, 1994; January 6 and 
19, 1995; February 6, 1995; May 23, 1995; September 18 and 25, 1995; and 
March

[[Page 124]]

6, 1996; full approval effective on May 30, 1996, in the Federal 
Register.
    (d) The Metropolitan Health Department, Metropolitan Govenment of 
Nashville-Davidson County; submitted on November 13, 1993, and 
supplemented on April 19, 1994; September 27, 1994; December 28, 1994; 
and December 28, 1995; full approval effective on March 15, 1996.
    (e) Memphis-Shelby County Health Department: submitted on June 26, 
1995, and supplemented on August 22, 1995, August 23, 1995, August 24, 
1995, January 29, 1996, February 7, 1996, February 14, 1996, March 5, 
1996, and April 10, 1996; interim approval effective on August 28, 1996; 
interim approval expires December 1, 2001.
    (f)-(h) [Reserved]
    (i) The Metropolitan Government of Nashville-Davidson County 
submitted program revisions on December 10, 1996, August 27, 1999, and 
December 6, 1999. The County is hereby granted revised approval 
effective on August 7, 2000.
    (j) [Reserved]

                                  Texas

    (a) The TNRCC submitted its Operating Permits program on September 
17, 1993, and supplemental submittals on October 28, 1993, and November 
12, 1993, for approval. Source category-limited interim approval is 
effective on July 25, 1996. Interim approval will expire December 1, 
2001. The scope of the approval of the Texas part 70 program excludes 
all sources of air pollution over which an Indian Tribe has 
jurisdiction.
    (b) [Reserved]

                                  Utah

    (a) Utah Department of Environmental Quality--Division of Air 
Quality: submitted on April 14, 1994; effective on July 10, 1995.
    (b) [Reserved]

                                 Vermont

    (a) Department of Environmental Conservation: submitted on April 28, 
1995; interim approval effective on November 1, 1996; interim approval 
expires December 1, 2001.
    (b) (Reserved)

                             Virgin Islands

    (a) The Virgin Islands Department of Natural Resources submitted an 
operating permits program on November 18, 1993 with supplements through 
June 9, 1995; interim approval effective on August 30, 1996. Interim 
approval will expire December 1, 2001.
    (b) (Reserved)

                                Virginia

    (a) The Commonwealth of Virginia's Title V operating permit and fee 
program regulations submitted on September 10, 1996, the acid rain 
operating permit regulations submitted on September 12, 1996, and the 
non-regulatory operating permit program provisions submitted on November 
12, 1993, January 14, 1994, January 9, 1995, May 17, 1995, February 6, 
1997, and February 27, 1997; interim approval effective on March 12, 
1998; interim approval expires on December 1, 2001.
    (b) [Reserved]

                               Washington

    (a) Department of Ecology (Ecology): submitted on November 1, 1993; 
effective on December 9, 1994; interim approval expires December 1, 
2001.
    (b) Energy Facility Site Evaluation Council (EFSEC): submitted on 
November 1, 1993; effective on December 9, 1994; interim approval 
expires December 1, 2001.
    (c) Benton County Clean Air Authority (BCCAA): submitted on November 
1, 1993 and amended on September 29, 1994 and April 12, 1995; effective 
on December 9, 1994; interim approval expires December 1, 2001.
    (d) Northwest Air Pollution Authority (NWAPA): submitted on November 
1, 1993; effective on December 9, 1994; interim approval expires 
December 1, 2001.
    (e) Olympic Air Pollution Control Authority (OAPCA): submitted on 
November 1, 1993; effective on December 9, 1994; interim approval 
expires December 1, 2001.
    (f) Puget Sound Air Pollution Control Agency (PSAPCA): submitted on 
November 1, 1993; effective on December 9, 1994; interim approval 
expires December 1, 2001.
    (g) Southwest Air Pollution Control Authority (SWAPCA): submitted on 
November 1, 1993; effective on December 9, 1994; interim approval 
expires December 1, 2001.
    (h) Spokane County Air Pollution Control Authority (SCAPCA): 
submitted on November 1, 1993; effective on December 9, 1994; interim 
approval expires December 1, 2001.
    (i) Yakima County Clean Air Authority (YCCAA): submitted on November 
1, 1993 and amended on September 29, 1994; effective on December 9, 
1994; interim approval expires December 1, 2001.

                              West Virginia

    (a) Department of Commerce, Labor and Environmental Resources: 
submitted on November 12, 1993, and supplemented by the Division of 
Environmental Protection on August 26 and September 29, 1994; interim 
approval effective on December 15, 1995; interim approval expires 
December 1, 2001.
    (b) [Reserved]

                                Wisconsin

    (a) Department of Natural Resources: submitted on January 27, 1994; 
interim approval effective on April 5, 1995; interim approval expires 
December 1, 2001.
    (b) [Reserved]

[[Page 125]]

                                 Wyoming

    (a) Department of Environmental Quality: submitted on November 19, 
1993; effective on February 21, 1995; interim approval expires June 1, 
2000.
    (b) The Wyoming Department of Environmental Quality submitted an 
operating permits program on November 19, 1993; interim approval 
effective on February 21, 1995; revised August 19, 1997; full approval 
effective on April 23, 1999.

[59 FR 55820, Nov. 9, 1994]

    Editorial Note: For Federal Register citations affecting appendix A 
to part 70, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.

    Effective Date Notes: 1. At 65 FR 36362, June 8, 2000, appendix A to 
part 70 was amended by adding paragraph (b) to the entry for Georgia, 
effective Aug. 7, 2000.
    2. At 65 FR 36364, June 8, 2000, appendix A to part 70 was amended 
by adding paragraphs (f) through (j) to the entry for Tennessee, 
effective Aug. 7, 2000.
    3. At 65 FR 37052, June 13, 2000, appendix A to part 70 was amended 
by adding paragraph (b) to the entry for Montana, effective Aug. 14, 
2000.
    4. At 65 FR 38748, June 22, 2000, appendix A to part 70 was amended 
by revising the entry for North Carolina, effective Aug. 21, 2000. For 
the convenience of the user, the superseded text is set forth as 
follows:

  Appendix A to Part 70--Approval Status of State and Local Operating 
                            permits Programs

                                * * * * *

                             North Carolina

    (a) Department of Environment, Health and Natural Resources, Western 
North Carolina Regional Air Pollution Control Agency, Forsyth County 
Department of Environmental Affairs and the Mecklenburg County 
Department of Environmental Protection: submitted on November 12, 1993, 
and supplemented on December 17, 1993; February 28, 1994; May 31, 1994; 
and August 9, 1995; interim approval effective on December 15, 1995; 
interim approval expires December 1, 2001.
    (b) [Reserved]

                                * * * * *



PART 71--FEDERAL OPERATING PERMIT PROGRAMS--Table of Contents




                      Subpart A--Operating Permits

Sec.
71.1  Program overview.
71.2  Definitions.
71.3  Sources subject to permitting requirements.
71.4  Program implementation.
71.5  Permit applications.
71.6  Permit content.
71.7  Permit issuance, renewal, reopenings, and revisions.
71.8  Affected State review.
71.9  Permit fees.
71.10  Delegation of part 71 program.
71.11  Administrative record, public participation, and administrative 
          review.
71.12  Prohibited acts.

             Subpart B--Permits for Early Reductions Sources

71.21  Program overview.
71.22  Definitions.
71.23  Applicability.
71.24  Permit applications.
71.25  Permit content.
71.26  Permit issuance, reopenings, and revisions.
71.27  Public participation and appeal.

    Authority: 42 U.S.C. 7401, et seq.

    Source: 59 FR 59924, Nov. 21, 1994, unless otherwise noted.



                      Subpart A--Operating Permits

    Source: 61 FR 34228, July 1, 1996, unless otherwise noted.



Sec. 71.1  Program overview.

    (a) This part sets forth the comprehensive Federal air quality 
operating permits permitting program consistent with the requirements of 
title V of the Act (42 U.S.C. 7401 et seq.) and defines the requirements 
and the corresponding standards and procedures by which the 
Administrator will issue operating permits. This permitting program is 
designed to promote timely and efficient implementation of goals and 
requirements of the Act.
    (b) All sources subject to the operating permit requirements of 
title V and this part shall have a permit to operate that assures 
compliance by the source with all applicable requirements.
    (c) The requirements of this part, including provisions regarding 
schedules for submission and approval or disapproval of permit 
applications, shall apply to the permitting of affected sources under 
the acid rain program,

[[Page 126]]

except as provided herein or as modified by title IV of the Act and 40 
CFR parts 72 through 78.
    (d) Issuance of permits under this part may be coordinated with 
issuance of permits under the Resource Conservation and Recovery Act (42 
U.S.C. 6901 et seq.) and under the Clean Water Act (33 U.S.C. 1251 et 
seq.), whether issued by the State, the U.S. Environmental Protection 
Agency (EPA), or the U.S. Army Corps of Engineers.
    (e) Nothing in this part shall prevent a State from administering an 
operating permits program and establishing more stringent requirements 
not inconsistent with the Act.



Sec. 71.2  Definitions.

    The following definitions apply to part 71. Except as specifically 
provided in this section, terms used in this part retain the meaning 
accorded them under the applicable requirements of the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
    Affected source shall have the meaning given to it in 40 CFR 72.2.
    Affected States are:
    (1) All States and areas within Indian country subject to a part 70 
or part 71 program whose air quality may be affected and that are 
contiguous to the State or the area within Indian country in which the 
permit, permit modification, or permit renewal is being proposed; or 
that are within 50 miles of the permitted source. A Tribe shall be 
treated in the same manner as a State under this paragraph (1) only if 
EPA has determined that the Tribe is an eligible Tribe.
    (2) The State or area within Indian country subject to a part 70 or 
part 71 program in which a part 71 permit, permit modification, or 
permit renewal is being proposed. A Tribe shall be treated in the same 
manner as a State under this paragraph (2) only if EPA has determined 
that the Tribe is an eligible Tribe.
    (3) Those areas within the jurisdiction of the air pollution control 
agency for the area in which a part 71 permit, permit modification, or 
permit renewal is being proposed.
    Affected unit shall have the meaning given to it in 40 CFR 72.2.
    Applicable requirement means all of the following as they apply to 
emissions units in a part 71 source (including requirements that have 
been promulgated or approved by EPA through rulemaking at the time of 
issuance but have future compliance dates):
    (1) Any standard or other requirement provided for in the applicable 
implementation plan approved or promulgated by EPA through rulemaking 
under title I of the Act that implements the relevant requirements of 
the Act, including any revisions to that plan promulgated in part 52 of 
this chapter;
    (2) Any term or condition of any preconstruction permits issued 
pursuant to regulations approved or promulgated through rulemaking under 
title I, including parts C or D, of the Act;
    (3) Any standard or other requirement under section 111 of the Act, 
including section 111(d);
    (4) Any standard or other requirement under section 112 of the Act, 
including any requirement concerning accident prevention under section 
112(r)(7) of the Act;
    (5) Any standard or other requirement of the acid rain program under 
title IV of the Act or 40 CFR parts 72 through 78;
    (6) Any requirements established pursuant to section 114(a)(3) or 
504(b) of the Act;
    (7) Any standard or other requirement governing solid waste 
incineration, under section 129 of the Act;
    (8) Any standard or other requirement for consumer and commercial 
products, under section 183(e) of the Act;
    (9) Any standard or other requirement for tank vessels, under 
section 183(f) of the Act;
    (10) Any standard or other requirement of the program to control air 
pollution from outer continental shelf sources, under section 328 of the 
Act;
    (11) Any standard or other requirement of the regulations 
promulgated at 40 CFR part 82 to protect stratospheric ozone under title 
VI of the Act, unless the Administrator has determined that such 
requirements need not be contained in a title V permit; and

[[Page 127]]

    (12) Any national ambient air quality standard or increment or 
visibility requirement under part C of title I of the Act, but only as 
it would apply to temporary sources permitted pursuant to section 504(e) 
of the Act.
    Delegate agency means the State air pollution control agency, local 
agency, other State agency, Tribal agency, or other agency authorized by 
the Administrator pursuant to Sec. 71.10 to carry out all or part of a 
permit program under part 71.
    Designated representative shall have the meaning given to it in 
section 402(26) of the Act and 40 CFR 72.2.
    Draft permit means the version of a permit for which the permitting 
authority offers public participation under Sec. 71.7 or Sec. 71.11 and 
affected State review under Sec. 71.8.
    Eligible Indian Tribe or eligible Tribe means a Tribe that has been 
determined by EPA to meet the criteria for being treated in the same 
manner as a State, pursuant to the regulations implementing section 
301(d)(2) of the Act.
    Emissions allowable under the permit means a federally enforceable 
permit term or condition determined at issuance to be required by an 
applicable requirement that establishes an emissions limit (including a 
work practice standard) or a federally enforceable emissions cap that 
the source has assumed to avoid an applicable requirement to which the 
source would otherwise be subject.
    Emissions unit means any part or activity of a stationary source 
that emits or has the potential to emit any regulated air pollutant or 
any pollutant listed under section 112(b) of the Act. This term is not 
meant to alter or affect the definition of the term ``unit'' for 
purposes of title IV of the Act.
    EPA or the Administrator means the Administrator of the U.S. 
Environmental Protection Agency (EPA) or his or her designee.
    Federal Indian reservation, Indian reservation or reservation means 
all land within the limits of any Indian reservation under the 
jurisdiction of the United States Government, notwithstanding the 
issuance of any patent, and including rights-of-way running through the 
reservation.
    Final permit means the version of a part 71 permit issued by the 
permitting authority that has completed all review procedures required 
by Secs. 71.7, 71.8, and 71.11.
    Fugitive emissions are those emissions which could not reasonably 
pass through a stack, chimney, vent, or other functionally-equivalent 
opening.
    General permit means a part 71 permit that meets the requirements of 
Sec. 71.6(d).
    Indian country means:
    (1) All land within the limits of any Indian reservation under the 
jurisdiction of the United States government, notwithstanding the 
issuance of any patent, and including rights-of-way running through the 
reservation;
    (2) All dependent Indian communities within the borders of the 
United States whether within the original or subsequently acquired 
territory thereof, and whether within or without the limits of a State; 
and
    (3) All Indian allotments, the Indian titles to which have not been 
extinguished, including rights-of-way running through the same.
    Indian Tribe or Tribe means any Indian Tribe, band, nation, or other 
organized group or community, including any Alaskan native village, 
which is federally recognized as eligible for the special programs and 
services provided by the United States to Indians because of their 
status as Indians.
    Major source means any stationary source (or any group of stationary 
sources that are located on one or more contiguous or adjacent 
properties, and are under common control of the same person (or persons 
under common control)), belonging to a single major industrial grouping 
and that are described in paragraph (1), (2), or (3) of this definition. 
For the purposes of defining ``major source,'' a stationary source or 
group of stationary sources shall be considered part of a single 
industrial grouping if all of the pollutant emitting activities at such 
source or group of sources on contiguous or adjacent properties belong 
to the same Major Group (i.e., all have the same two-digit code) as 
described in the Standard Industrial Classification Manual, 1987.

[[Page 128]]

    (1) A major source under section 112 of the Act, which is defined 
as:
    (i) For pollutants other than radionuclides, any stationary source 
or group of stationary sources located within a contiguous area and 
under common control that emits or has the potential to emit, in the 
aggregate, 10 tpy or more of any hazardous air pollutant which has been 
listed pursuant to section 112(b) of the Act, 25 tpy or more of any 
combination of such hazardous air pollutants, or such lesser quantity as 
the Administrator may establish by rule. Notwithstanding the preceding 
sentence, emissions from any oil or gas exploration or production well 
(with its associated equipment) and emissions from any pipeline 
compressor or pump station shall not be aggregated with emissions from 
other similar units, whether or not such units are in a contiguous area 
or under common control, to determine whether such units or stations are 
major sources; or
    (ii) For radionuclides, ``major source'' shall have the meaning 
specified by the Administrator by rule.
    (2) A major stationary source of air pollutants or any group of 
stationary sources as defined in section 302 of the Act, that directly 
emits, or has the potential to emit, 100 tpy or more of any air 
pollutant (including any major source of fugitive emissions of any such 
pollutant, as determined by rule by the Administrator). The fugitive 
emissions of a stationary source shall not be considered in determining 
whether it is a major stationary source for the purposes of section 
302(j) of the Act, unless the source belongs to one of the following 
categories of stationary source:
    (i) Coal cleaning plants (with thermal dryers);
    (ii) Kraft pulp mills;
    (iii) Portland cement plants;
    (iv) Primary zinc smelters;
    (v) Iron and steel mills;
    (vi) Primary aluminum ore reduction plants;
    (vii) Primary copper smelters;
    (viii) Municipal incinerators capable of charging more than 250 tons 
of refuse per day;
    (ix) Hydrofluoric, sulfuric, or nitric acid plants;
    (x) Petroleum refineries;
    (xi) Lime plants;
    (xii) Phosphate rock processing plants;
    (xiii) Coke oven batteries;
    (xiv) Sulfur recovery plants;
    (xv) Carbon black plants (furnace process);
    (xvi) Primary lead smelters;
    (xvii) Fuel conversion plants;
    (xviii) Sintering plants;
    (xix) Secondary metal production plants;
    (xx) Chemical process plants;
    (xxi) Fossil-fuel boilers (or combination thereof) totaling more 
than 250 million British thermal units per hour heat input;
    (xxii) Petroleum storage and transfer units with a total storage 
capacity exceeding 300,000 barrels;
    (xxiii) Taconite ore processing plants;
    (xxiv) Glass fiber processing plants;
    (xxv) Charcoal production plants;
    (xxvi) Fossil-fuel-fired steam electric plants of more than 250 
million British thermal units per hour heat input; or
    (xxvii) Any other stationary source category which, as of August 7, 
1980, is being regulated under section 111 or 112 of the Act.
    (3) A major stationary source as defined in part D of title I of the 
Act, including:
    (i) For ozone nonattainment areas, sources with the potential to 
emit 100 tpy or more of volatile organic compounds or oxides of nitrogen 
in areas classified as ``marginal'' or ``moderate,'' 50 tpy or more in 
areas classified as ``serious''; 25 tpy or more in areas classified as 
``severe,'' and 10 tpy or more in areas classified as ``extreme''; 
except that the references in this paragraph (3)(i) to 100, 50, 25, and 
10 tpy of nitrogen oxides shall not apply with respect to any source for 
which the Administrator has made a finding, under section 182(f) (1) or 
(2) of the Act, that requirements under section 182(f) of the Act do not 
apply;
    (ii) For ozone transport regions established pursuant to section 184 
of the Act, sources with the potential to emit 50 tpy or more of 
volatile organic compounds;
    (iii) For carbon monoxide nonattainment areas:

[[Page 129]]

    (A) That are classified as ``serious,'' and
    (B) in which stationary sources contribute significantly to carbon 
monoxide levels as determined under rules issued by the Administrator, 
sources with the potential to emit 50 tpy or more of carbon monoxide; 
and
    (iv) For particulate matter (PM-10) nonattainment areas classified 
as ``serious,'' sources with the potential to emit 70 tpy or more of PM-
10.
    Part 70 permit means any permit or group of permits covering a part 
70 source that has been issued, renewed, amended or revised pursuant to 
40 CFR part 70.
    Part 70 program or State program means a program approved by the 
Administrator under 40 CFR part 70.
    Part 70 source means any source subject to the permitting 
requirements of 40 CFR part 70, as provided in Secs. 70.3(a) and 
70.3(b).
    Part 71 permit, or permit (unless the context suggests otherwise) 
means any permit or group of permits covering a part 71 source that has 
been issued, renewed, amended or revised pursuant to this part.
    Part 71 program means a Federal operating permits program under this 
part.
    Part 71 source means any source subject to the permitting 
requirements of this part, as provided in Secs. 71.3(a) and 71.3(b).
    Permit modification m eans a revision to a part 71 permit that meets 
the requirements of Sec. 71.7(e).
    Permit program costs means all reasonable (direct and indirect) 
costs required to administer an operating permits program, as set forth 
in Sec. 71.9(b).
    Permit revision means any permit modification or administrative 
permit amendment.
    Permitting authority means one of the following:
    (1) The Administrator, in the case of EPA-implemented programs;
    (2) A delegate agency authorized by the Administrator to carry out a 
Federal permit program under this part; or
    (3) The State air pollution control agency, local agency, other 
State agency, Indian Tribe, or other agency authorized by the 
Administrator to carry out a permit program under 40 CFR part 70.
    Proposed permit means the version of a permit that the delegate 
agency proposes to issue and forwards to the Administrator for review in 
compliance with Sec. 71.10(d).
    Regulated air pollutant means the following:
    (1) Nitrogen oxides or any volatile organic compounds;
    (2) Any pollutant for which a national ambient air quality standard 
has been promulgated;
    (3) Any pollutant that is subject to any standard promulgated under 
section 111 of the Act;
    (4) Any Class I or II substance subject to a standard promulgated 
under or established by title VI of the Act; or
    (5) Any pollutant subject to a standard promulgated under section 
112 of the Act or other requirements established under section 112 of 
the Act, including sections 112 (g), (j), and (r) of the Act, including 
the following:
    (i) Any pollutant subject to requirements under section 112(j) of 
the Act. If the Administrator fails to promulgate a standard by the date 
established pursuant to section 112(e) of the Act, any pollutant for 
which a subject source would be major shall be considered to be 
regulated on the date 18 months after the applicable date established 
pursuant to section 112(e) of the Act; and
    (ii) Any pollutant for which the requirements of section 112(g)(2) 
of the Act have been met, but only with respect to the individual source 
subject to section 112(g)(2) requirements.
    Regulated pollutant (for fee calculation), which is used only for 
purposes of Sec. 71.9(c), means any regulated air pollutant except the 
following:
    (1) Carbon monoxide;
    (2) Any pollutant that is a regulated air pollutant solely because 
it is a Class I or II substance subject to a standard promulgated under 
or established by title VI of the Act; or
    (3) Any pollutant that is a regulated air pollutant solely because 
it is subject to a standard or regulation under section 112(r) of the 
Act.
    Renewal means the process by which a permit is reissued at the end 
of its term.
    Responsible official means one of the following:

[[Page 130]]

    (1) For a corporation: a president, secretary, treasurer, or vice-
president of the corporation in charge of a principal business function, 
or any other person who performs similar policy or decision-making 
functions for the corporation, or a duly authorized representative of 
such person if the representative is responsible for the overall 
operation of one or more manufacturing, production, or operating 
facilities applying for or subject to a permit and either:
    (i) the facilities employ more than 250 persons or have gross annual 
sales or expenditures exceeding $25 million (in second quarter 1980 
dollars); or
    (ii) the delegation of authority to such representative is approved 
in advance by the permitting authority;
    (2) For a partnership or sole proprietorship: a general partner or 
the proprietor, respectively;
    (3) For a municipality, State, Federal, or other public agency: 
Either a principal executive officer or ranking elected official. For 
the purposes of this part, a principal executive officer of a Federal 
agency includes the chief executive officer having responsibility for 
the overall operations of a principal geographic unit of the agency 
(e.g., a Regional Administrator of EPA); or
    (4) For affected sources:
    (i) The designated representative insofar as actions, standards, 
requirements, or prohibitions under title IV of the Act or 40 CFR parts 
72 through 78 are concerned; and
    (ii) The designated representative for any other purposes under part 
71.
    Section 502(b)(10) changes are changes that contravene an express 
permit term. Such changes do not include changes that would violate 
applicable requirements or contravene federally enforceable permit terms 
and conditions that are monitoring (including test methods), 
recordkeeping, reporting, or compliance certification requirements.
    State means any non-Federal permitting authority, including any 
local agency, interstate association, or statewide program. The term 
``State'' also includes the District of Columbia, the Commonwealth of 
Puerto Rico, the Virgin Islands, Guam, American Samoa, and the 
Commonwealth of the Northern Marianas Islands. Where such meaning is 
clear from the context, ``State'' shall have its conventional meaning. 
For purposes of the acid rain program, the term ``State'' shall be 
limited to authorities within the 48 contiguous States and the District 
of Columbia as provided in section 402(14) of the Act.
    Stationary source means any building, structure, facility, or 
installation that emits or may emit any regulated air pollutant or any 
pollutant listed under section 112(b) of the Act.

[61 FR 34228, July 1, 1996, as amended at 64 FR 8262, Feb. 19, 1999]



Sec. 71.3  Sources subject to permitting requirements.

    (a) Part 71 sources. The following sources are subject to the 
permitting requirements under this part:
    (1) Any major source;
    (2) Any source, including an area source, subject to a standard, 
limitation, or other requirement under section 111 of the Act;
    (3) Any source, including an area source, subject to a standard or 
other requirement under section 112 of the Act, except that a source is 
not required to obtain a permit solely because it is subject to 
regulations or requirements under section 112(r) of the Act;
    (4) Any affected source; and
    (5) Any source in a source category designated by the Administrator 
pursuant to this section.
    (b) Source category exemptions. (1) All sources listed in paragraph 
(a) of this section that are not major sources, affected sources, or 
solid waste incineration units required to obtain a permit pursuant to 
section 129(e) of the Act are exempted from the obligation to obtain a 
part 71 permit until such time as the Administrator completes a 
rulemaking to determine how the program should be structured for 
nonmajor sources and the appropriateness of any permanent exemptions in 
addition to those provided for in paragraph (b)(4) of this section.
    (2) In the case of nonmajor sources subject to a standard or other 
requirement under either section 111 or 112 of the Act after July 21, 
1992 publication, the Administrator will determine

[[Page 131]]

whether to exempt any or all such applicable sources from the 
requirement to obtain a part 70 or part 71 permit at the time that the 
new standard is promulgated.
    (3) Any source listed in paragraph (a) of this section exempt from 
the requirement to obtain a permit under this section may opt to apply 
for a permit under a part 71 program.
    (4) The following source categories are exempted from the obligation 
to obtain a part 71 permit:
    (i) All sources and source categories that would be required to 
obtain a permit solely because they are subject to 40 CFR part 60, 
Subpart AAA---Standards of Performance for New Residential Wood Heaters; 
and
    (ii) All sources and source categories that would be required to 
obtain a permit solely because they are subject to 40 CFR part 61, 
Subpart M--National Emission Standard for Hazardous Air Pollutants for 
Asbestos, Sec. 61.145, Standard for Demolition and Renovation.
    (c) Emissions units and part 71 sources. (1) For major sources, the 
permitting authority shall include in the permit all applicable 
requirements for all relevant emissions units in the major source.
    (2) For any nonmajor source subject to the part 71 program under 
paragraphs (a) or (b) of this section, the permitting authority shall 
include in the permit all applicable requirements applicable to 
emissions units that cause the source to be subject to the part 71 
program.
    (d) Fugitive emissions. Fugitive emissions from a part 71 source 
shall be included in the permit application and the part 71 permit in 
the same manner as stack emissions, regardless of whether the source 
category in question is included in the list of sources contained in the 
definition of major source.
    (e) An owner or operator of a source may submit to the Administrator 
a written request for a determination of applicability under this 
section.
    (1) Request content. The request shall be in writing and include 
identification of the source and relevant and appropriate facts about 
the source. The request shall meet the requirements of Sec. 71.5(d).
    (2) Timing. The request shall be submitted to the Administrator 
prior to the issuance (including renewal) of a permit under this part as 
a final agency action.
    (3) Submission. All submittals under this section shall be made by 
the responsible official to the Regional Administrator for the Region in 
which the source is located.
    (4) Response. The Administrator will issue a written response based 
upon the factual submittal meeting the requirements of paragraph (e)(1) 
of this section.

[61 FR 34228, July 1, 1996, as amended at 64 FR 8262, Feb. 19, 1999]



Sec. 71.4  Program implementation.

    (a) Part 71 programs for States. The Administrator will administer 
and enforce a full or partial operating permits program for a State 
(excluding Indian country) in the following situations:
    (1) A program for a State meeting the requirements of part 70 of 
this chapter has not been granted full approval under Sec. 70.4 of this 
chapter by the Administrator by July 31, 1996, and the State's part 70 
program has not been granted interim approval under Sec. 70.4(d) of this 
chapter for a period extending beyond July 31, 1996. The effective date 
of such a part 71 program is July 31, 1996.
    (2) An operating permits program for a State which was granted 
interim approval under Sec. 70.4(d) of this chapter has not been granted 
full approval by the Administrator by the expiration of the interim 
approval period or July 31, 1996, whichever is later. Such a part 71 
program shall be effective upon expiration of the interim approval or 
July 31, 1996 whichever is later.
    (3) Any partial part 71 program will be effective only in those 
portions of a State that are not covered by a partial part 70 program 
that has been granted full or interim approval by the Administrator 
pursuant to Sec. 70.4(c) of this chapter.
    (b) Part 71 programs for Indian country. The Administrator will 
administer and enforce an operating permits program in Indian country, 
as defined in Sec. 71.2, when an operating permits program which meets 
the requirements of

[[Page 132]]

part 70 of this chapter has not been explicitly granted full or interim 
approval by the Administrator for Indian country. For purposes of 
administering the part 71 program, EPA will treat areas for which EPA 
believes the Indian country status is in question as Indian country.
    (1) [Reserved]
    (2) The effective date of a part 71 program in Indian country shall 
be March 22, 1999.
    (3) Notwithstanding paragraph (i)(2) of this section, within 2 years 
of the effective date of the part 71 program in Indian country, the 
Administrator shall take final action on permit applications from part 
71 sources that are submitted within the first full year after the 
effective date of the part 71 program.
    (c) Part 71 programs imposed due to inadequate implementation. (1) 
The Administrator will administer and enforce an operating permits 
program for a permitting authority if the Administrator has notified the 
permitting authority, in accordance with Sec. 70.10(b)(1) of this 
chapter, of the Administrator's determination that a permitting 
authority is not adequately administering or enforcing its approved 
operating permits program, or any portion thereof, and the permitting 
authority fails to do either of the following:
    (i) Correct the deficiencies within 18 months after the 
Administrator issues the notice; or
    (ii) Take significant action to assure adequate administration and 
enforcement of the program within 90 days of the Administrator's notice.
    (2) The effective date of a part 71 program promulgated in 
accordance with this paragraph (c) shall be:
    (i) Two years after the Administrator's notice if the permitting 
authority has not corrected the deficiency within 18 months after the 
date of the Administrator's notice; or
    (ii) Such earlier time as the Administrator determines appropriate 
if the permitting authority fails, within 90 days of the Administrator's 
notice, to take significant action to assure adequate administration and 
enforcement of the program.
    (d) Part 71 programs for OCS sources. (1) Using the procedures of 
this part, the Administrator will issue permits to any source which is 
an outer continental shelf (OCS) source, as defined under Sec. 55.2 of 
this chapter, is subject to the requirements of part 55 of this chapter 
and section 328(a) of the Act, is subject to the requirement to obtain a 
permit under title V of the Act, and is either:
    (i) Located beyond 25 miles of States' seaward boundaries; or
    (ii) Located within 25 miles of States' seaward boundaries and a 
part 71 program is being administered and enforced by the Administrator 
for the corresponding onshore area, as defined in Sec. 55.2 of this 
chapter, for that source.
    (2) The requirements of Sec. 71.4(d)(1)(i) shall apply on July 31, 
1996.
    (3) The requirements of Sec. 71.4(d)(1)(ii) apply upon the effective 
date of a part 71 program for the corresponding onshore area.
    (e) Part 71 program for permits issued to satisfy an EPA objection. 
Using the procedures of this part and 40 CFR 70.8 (c) or (d), or 40 CFR 
70.7(g)(4) or (5) (i) and (ii), as appropriate, the Administrator will 
deny, terminate, revise, revoke or reissue a permit which has been 
proposed or issued by a permitting authority or will issue a part 71 
permit when:
    (1) A permitting authority with an approved part 70 operating 
permits program fails to respond to a timely objection to the issuance 
of a permit made by the Administrator pursuant to section 505(b) of the 
Act and Sec. 70.8(c) and (d) of this chapter.
    (2) The Administrator, under Sec. 70.7(g) of this chapter, finds 
that cause exists to reopen a permit and the permitting authority fails 
to either:
    (i) Submit to the Administrator a proposed determination of 
termination, modification, or revocation and reissuance, as appropriate; 
or
    (ii) Resolve any objection EPA makes to the permit which the 
permitting authority proposes to issue in response to EPA's finding of 
cause to reopen, and to terminate, revise, or revoke and reissue the 
permit in accordance with that objection.
    (3) The requirements of this paragraph (e) shall apply on July 31, 
1996.
    (f) Use of selected provisions of this part. The Administrator may 
utilize any or all of the provisions of this part

[[Page 133]]

to administer the permitting process for individual sources or take 
action on individual permits, or may adopt, through rulemaking, portions 
of a State or Tribal permit program in combination with provisions of 
this part to administer a Federal program for the State or in Indian 
country in substitution of or addition to the Federal program otherwise 
required by this part.
    (g) Public notice of part 71 programs. In taking action to 
administer and enforce an operating permits program under this part, the 
Administrator will publish a notice in the Federal Register informing 
the public of such action and the effective date of any part 71 program 
as set forth in Sec. 71.4 (a), (b), (c), or (d)(1)(ii). The publication 
of this part in the Federal Register on July 1, 1996 serves as the 
notice for the part 71 permit programs described in Sec. 71.4(d)(1) (i) 
and (e). The EPA will also publish a notice in the Federal Register of 
any delegation of a portion of the part 71 program to a State, eligible 
Tribe, or local agency pursuant to the provisions of Sec. 71.10. In 
addition to notices published in the Federal Register under this 
paragraph (g), the Administrator will, to the extent practicable, 
publish notice in a newspaper of general circulation within the area 
subject to the part 71 program effectiveness or delegation, and will 
send a letter to the Tribal governing body for an Indian Tribe or the 
Governor (or his or her designee) of the affected area to provide notice 
of such effectiveness or delegation.
    (h) Effect of limited deficiency in the State or Tribal program. The 
Administrator may administer and enforce a part 71 program in a State or 
within Indian country even if only limited deficiencies exist either in 
the initial program submittal for a State or eligible Tribe under part 
70 of this chapter or in an existing State or Tribal program that has 
been approved under part 70 of this chapter.
    (i) Transition plan for initial permits issuance. If a full or 
partial part 71 program becomes effective in a State or within Indian 
country prior to the issuance of part 70 permits to all part 70 sources 
under an existing program that has been approved under part 70 of this 
chapter, the Administrator shall take final action on initial permit 
applications for all part 71 sources in accordance with the following 
transition plan.
    (1) All part 71 sources that have not received part 70 permits shall 
submit permit applications under this part within 1 year after the 
effective date of the part 71 program.
    (2) Final action shall be taken on at least one-third of such 
applications annually over a period not to exceed 3 years after such 
effective date.
    (3) Any complete permit application containing an early reduction 
demonstration under section 112(i)(5) of the Act shall be acted on 
within 12 months of receipt of the complete application.
    (4) Submittal of permit applications and the permitting of affected 
sources shall occur in accordance with the deadlines in title IV of the 
Act and 40 CFR parts 72 through 78.
    (j) Delegation of part 71 program. The Administrator may promulgate 
a part 71 program in a State or Indian country and delegate part of the 
responsibility for administering the part 71 program to the State or 
eligible Tribe in accordance with the provisions of Sec. 71.10; however, 
delegation of a part of a part 71 program will not constitute any type 
of approval of a State or Tribal operating permits program under part 70 
of this chapter. Where only selected portions of a part 71 program are 
administered by the Administrator and the State or eligible Tribe is 
delegated the remaining portions of the program, the Delegation 
Agreement referred to in Sec. 71.10 will define the respective roles of 
the State or eligible Tribe and the Administrator in administering and 
enforcing the part 71 operating permits program.
    (k) EPA administration and enforcement of part 70 permits. When the 
Administrator administers and enforces a part 71 program after a 
determination and notice under Sec. 70.10(b)(1) of this chapter that a 
State or Tribe is not adequately administering and enforcing an 
operating permits program approved under part 70 of this chapter, the 
Administrator will administer and enforce permits issued under the part 
70 program until part 71 permits are issued using the procedures of part 
71.

[[Page 134]]

Until such time as part 70 permits are replaced by part 71 permits, the 
Administrator will revise, reopen, revise, terminate, or revoke and 
reissue part 70 permits using the procedures of part 71 and will assess 
and collect fees in accordance with the provisions of Sec. 71.9.
    (l) Transition to approved part 70 program. The Administrator will 
suspend the issuance of part 71 permits promptly upon publication of 
notice of approval of a State or Tribal operating permits program that 
meets the requirements of part 70 of this chapter. The Administrator may 
retain jurisdiction over the part 71 permits for which the 
administrative or judicial review process is not complete and will 
address this issue in the notice of State program approval. After 
approval of a State or Tribal program and the suspension of issuance of 
part 71 permits by the Administrator:
    (1) The Administrator, or the permitting authority acting as the 
Administrator's delegated agent, will continue to administer and enforce 
part 71 permits until they are replaced by permits issued under the 
approved part 70 program. Until such time as part 71 permits are 
replaced by part 70 permits, the Administrator will revise, reopen, 
revise, terminate, or revoke and reissue part 71 permits using the 
procedures of the part 71 program. However, if the Administrator has 
delegated authority to administer part 71 permits to a delegate agency, 
the delegate agency will revise, reopen, terminate, or revoke and 
reissue part 71 permits using the procedures of the approved part 70 
program. If a part 71 permit expires prior to the issuance of a part 70 
permit, all terms and conditions of the part 71 permit, including any 
permit shield that may be granted pursuant to Sec. 71.6(f), shall remain 
in effect until the part 70 permit is issued or denied, provided that a 
timely and complete application for a permit renewal was submitted to 
the permitting authority in accordance with the requirements of the 
approved part 70 program.
    (2) A State or local agency or Indian Tribe with an approved part 70 
operating permits program may issue part 70 permits for all sources with 
part 71 permits in accordance with a permit issuance schedule approved 
as part of the approved part 70 program or may issue part 70 permits to 
such sources at the expiration of the part 71 permits.
    (m) Exemption for certain territories. Upon petition by the Governor 
of Guam, American Samoa, the Virgin Islands, or the Commonwealth of the 
Northern Marianas Islands, the Administrator may exempt any source or 
class of sources in such territory from the requirement to have a part 
71 permit under this chapter. Such an exemption does not exempt such 
source or class of sources from any requirement of section 112 of the 
Act, including the requirements of section 112 (g) or (j).
    (1) Such exemption may be granted if the Administrator finds that 
compliance with part 71 is not feasible or is unreasonable due to unique 
geographical, meteorological, or economic factors of such territory, or 
such other local factors as the Administrator deems significant. Any 
such petition shall be considered in accordance with section 307(d) of 
the Act, and any exemption granted under this paragraph (m) shall be 
considered final action by the Administrator for the purposes of section 
307(b) of the Act.
    (2) The Administrator shall promptly notify the Committees on Energy 
and Commerce and on Interior and Insular Affairs of the House of 
Representatives and the Committees on Environment and Public Works and 
on Energy and Natural Resources of the Senate upon receipt of any 
petition under this paragraph (m) and of the approval or rejection of 
such petition and the basis for such action.
    (n) Retention of records. The records for each draft, proposed, and 
final permit application, renewal, or modification shall be kept by the 
Administrator for a period of 5 years.

[61 FR 34228, July 1, 1996, as amended at 64 FR 8262, Feb. 19, 1999]



Sec. 71.5  Permit applications.

    (a) Duty to apply. For each part 71 source, the owner or operator 
shall submit a timely and complete permit application in accordance with 
this section.
    (1) Timely application. (i) A timely application for a source which 
does not have an existing operating permit

[[Page 135]]

issued by a State under the State's approved part 70 program and is 
applying for a part 71 permit for the first time is one that is 
submitted within 12 months after the source becomes subject to the 
permit program or on or before such earlier date as the permitting 
authority may establish. Sources required to submit applications earlier 
than 12 months after the source becomes subject to the permit program 
will be notified of the earlier submittal date at least 6 months in 
advance of the date.
    (ii) Part 71 sources required to meet the requirements under section 
112(g) of the Act, or to have a permit under the preconstruction review 
program approved into the applicable implementation plan under part C or 
D of title I of the Act, shall file a complete application to obtain the 
part 71 permit or permit revision within 12 months after commencing 
operation or on or before such earlier date as the permitting authority 
may establish. Sources required to submit applications earlier than 12 
months after the source becomes subject to the permit program will be 
notified of the earlier submittal date at least 6 months in advance of 
the date. Where an existing part 70 or 71 permit would prohibit such 
construction or change in operation, the source must obtain a permit 
revision before commencing operation.
    (iii) For purposes of permit renewal, a timely application is one 
that is submitted at least 6 months but not more that 18 months prior to 
expiration of the part 70 or 71 permit.
    (iv) Applications for initial phase II acid rain permits shall be 
submitted to the permitting authority by January 1, 1996 for sulfur 
dioxide, and by January 1, 1998 for nitrogen oxides.
    (2) Complete application. To be deemed complete, an application must 
provide all information required pursuant to paragraph (c) of this 
section, except that applications for permit revision need supply such 
information only if it is related to the proposed change. To be found 
complete, an initial or renewal application must remit payment of fees 
owed under the fee schedule established pursuant to Sec. 71.9(b). 
Information required under paragraph (c) of this section must be 
sufficient to evaluate the subject source and its application and to 
determine all applicable requirements. A responsible official must 
certify the submitted information consistent with paragraph (d) of this 
section. Unless the permitting authority determines that an application 
is not complete within 60 days of receipt of the application, such 
application shall be deemed to be complete, except as otherwise provided 
in Sec. 71.7(a)(4). If, while processing an application that has been 
determined or deemed to be complete, the permitting authority determines 
that additional information is necessary to evaluate or take final 
action on that application, it may request such information in writing 
and set a reasonable deadline for a response. The source's ability to 
operate without a permit, as set forth in Sec. 71.7(b), shall be in 
effect from the date the application is determined or deemed to be 
complete until the final permit is issued, provided that the applicant 
submits any requested additional information by the deadline specified 
by the permitting authority.
    (3) Confidential information. An applicant may assert a business 
confidentiality claim for information requested by the permitting 
authority using procedures found at part 2, subpart B of this chapter.
    (b) Duty to supplement or correct application. Any applicant who 
fails to submit any relevant facts or who has submitted incorrect 
information in a permit application shall, upon becoming aware of such 
failure or incorrect submittal, promptly submit such supplementary facts 
or corrected information. In addition, an applicant shall provide 
additional information as necessary to address any requirements that 
become applicable to the source after the date it filed a complete 
application but prior to release of a draft permit.
    (c) Standard application form and required information. The 
permitting authority shall provide sources a standard application form 
or forms. The permitting authority may use discretion in developing 
application forms that best meet program needs and administrative 
efficiency. The forms and attachments chosen, however, shall include the 
elements specified below. An application may not omit information

[[Page 136]]

needed to determine the applicability of, or to impose, any applicable 
requirement, or to evaluate the fee amount required under the schedule 
established pursuant to Sec. 71.9.
    (1) Identifying information, including company name and address (or 
plant name and address if different from the company name), owner's name 
and agent, and telephone number and names of plant site manager/contact.
    (2) A description of the source's processes and products (by 
Standard Industrial Classification Code) including any associated with 
each alternate scenario identified by the source.
    (3) The following emissions-related information:
    (i) All emissions of pollutants for which the source is major, and 
all emissions of regulated air pollutants. A permit application shall 
describe all emissions of regulated air pollutants emitted from any 
emissions unit, except where such units are exempted under this 
paragraph (c). The permitting authority shall require additional 
information related to the emissions of air pollutants sufficient to 
verify which requirements are applicable to the source, and other 
information necessary to collect any permit fees owed under the fee 
schedule established pursuant to Sec. 71.9(b).
    (ii) Identification and description of all points of emissions 
described in paragraph (c)(3)(i) of this section in sufficient detail to 
establish the basis for fees and applicability of requirements of the 
Act.
    (iii) Emissions rates in tpy and in such terms as are necessary to 
establish compliance consistent with the applicable standard reference 
test method.
    (iv) The following information to the extent it is needed to 
determine or regulate emissions: fuels, fuel use, raw materials, 
production rates, and operating schedules.
    (v) Identification and description of air pollution control 
equipment and compliance monitoring devices or activities.
    (vi) Limitations on source operation affecting emissions or any work 
practice standards, where applicable, for all regulated pollutants at 
the part 71 source.
    (vii) Other information required by any applicable requirement 
(including information related to stack height limitations developed 
pursuant to section 123 of the Act).
    (viii) Calculations on which the information in paragraphs (c)(3) 
(i) through (vii) of this section is based.
    (4) The following air pollution control requirements:
    (i) Citation and description of all applicable requirements; and
    (ii) Description of or reference to any applicable test method for 
determining compliance with each applicable requirement.
    (5) Other specific information that may be necessary to implement 
and enforce other applicable requirements of the Act or of this part or 
to determine the applicability of such requirements.
    (6) An explanation of any proposed exemptions from otherwise 
applicable requirements.
    (7) Additional information as determined to be necessary by the 
permitting authority to define alternative operating scenarios 
identified by the source pursuant to Sec. 71.6(a)(9) or to define permit 
terms and conditions implementing Sec. 71.6(a)(10) or Sec. 71.6(a)(13).
    (8) A compliance plan for all part 71 sources that contains all the 
following:
    (i) A description of the compliance status of the source with 
respect to all applicable requirements.
    (ii) A description as follows:
    (A) For applicable requirements with which the source is in 
compliance, a statement that the source will continue to comply with 
such requirements.
    (B) For applicable requirements that will become effective during 
the permit term, a statement that the source will meet such requirements 
on a timely basis.
    (C) For requirements for which the source is not in compliance at 
the time of permit issuance, a narrative description of how the source 
will achieve compliance with such requirements.
    (iii) A compliance schedule as follows:
    (A) For applicable requirements with which the source is in 
compliance, a statement that the source will continue to comply with 
such requirements.

[[Page 137]]

    (B) For applicable requirements that will become effective during 
the permit term, a statement that the source will meet such requirements 
on a timely basis. A statement that the source will meet in a timely 
manner applicable requirements that become effective during the permit 
term shall satisfy this provision, unless a more detailed schedule is 
expressly required by the applicable requirement.
    (C) A schedule of compliance for sources that are not in compliance 
with all applicable requirements at the time of permit issuance. Such a 
schedule shall include a schedule of remedial measures, including an 
enforceable sequence of actions with milestones, leading to compliance 
with any applicable requirements for which the source will be in 
noncompliance at the time of permit issuance. This compliance schedule 
shall resemble and be at least as stringent as that contained in any 
judicial consent decree or administrative order to which the source is 
subject. Any such schedule of compliance shall be supplemental to, and 
shall not sanction noncompliance with, the applicable requirements on 
which it is based.
    (iv) A schedule for submission of certified progress reports no less 
frequently than every 6 months for sources required to have a schedule 
of compliance to remedy a violation.
    (v) The compliance plan content requirements specified in this 
paragraph shall apply and be included in the acid rain portion of a 
compliance plan for an affected source, except as specifically 
superseded by regulations promulgated under parts 72 through 78 of this 
chapter with regard to the schedule and method(s) the source will use to 
achieve compliance with the acid rain emissions limitations.
    (9) Requirements for compliance certification, including the 
following:
    (i) A certification of compliance with all applicable requirements 
by a responsible official consistent with paragraph (d) of this section 
and section 114(a)(3) of the Act;
    (ii) A statement of methods used for determining compliance, 
including a description of monitoring, recordkeeping, and reporting 
requirements and test methods;
    (iii) A schedule for submission of compliance certifications during 
the permit term, to be submitted no less frequently than annually, or 
more frequently if specified by the underlying applicable requirement or 
by the permitting authority; and
    (iv) A statement indicating the source's compliance status with any 
applicable enhanced monitoring and compliance certification requirements 
of the Act.
    (10) The use of nationally-standardized forms for acid rain portions 
of permit applications and compliance plans, as required by regulations 
promulgated under parts 72 through 78 of this chapter.
    (11) Insignificant activities and emissions levels. The following 
types of insignificant activities and emissions levels need not be 
included in permit applications. However, for insignificant activities 
which are exempted because of size or production rate, a list of such 
insignificant activities must be included in the application. An 
application may not omit information needed to determine the 
applicability of, or to impose, any applicable requirement, or to 
calculate the fee amount required under the schedule established 
pursuant to Sec. 71.9 of this part.
    (i) Insignificant activities:
    (A) Mobile sources;
    (B) Air-conditioning units used for human comfort that are not 
subject to applicable requirements under title VI of the Act and do not 
exhaust air pollutants into the ambient air from any manufacturing or 
other industrial process;
    (C) Ventilating units used for human comfort that do not exhaust air 
pollutants into the ambient air from any manufacturing or other 
industrial process;
    (D) Heating units used for human comfort that do not provide heat 
for any manufacturing or other industrial process;
    (E) Noncommercial food preparation;
    (F) Consumer use of office equipment and products;
    (G) Janitorial services and consumer use of janitorial products; and
    (H) Internal combustion engines used for landscaping purposes.

[[Page 138]]

    (ii) Insignificant emissions levels. Emissions meeting the criteria 
in paragraph (c)(11)(ii)(A) or (c)(11)(ii)(B) of this section need not 
be included in the application, but must be listed with sufficient 
detail to identify the emission unit and indicate that the exemption 
applies. Similar emission units, including similar capacities or sizes, 
may be listed under a single description, provided the number of 
emission units is included in the description. No additional information 
is required at time of application, but the permitting authority may 
request additional information during application processing.
    (A) Emission criteria for regulated air pollutants, excluding 
hazardous air pollutants (HAP). Potential to emit of regulated air 
pollutants, excluding HAP, for any single emissions unit shall not 
exceed 2 tpy.
    (B) Emission criteria for HAP. Potential to emit of any HAP from any 
single emissions unit shall not exceed 1,000 lb per year or the de 
minimis level established under section 112(g) of the Act, whichever is 
less.
    (d) Any application form, report, or compliance certification 
submitted pursuant to these regulations shall contain certification by a 
responsible official of truth, accuracy, and completeness. This 
certification and any other certification required under this part shall 
state that, based on information and belief formed after reasonable 
inquiry, the statements and information in the document are true, 
accurate, and complete.



Sec. 71.6  Permit content.

    (a) Standard permit requirements. Each permit issued under this part 
shall include the following elements:
    (1) Emission limitations and standards, including those operational 
requirements and limitations that assure compliance with all applicable 
requirements at the time of permit issuance.
    (i) The permit shall specify and reference the origin of and 
authority for each term or condition, and identify any difference in 
form as compared to the applicable requirement upon which the term or 
condition is based.
    (ii) The permit shall state that, where an applicable requirement of 
the Act is more stringent than an applicable requirement of 40 CFR parts 
72 through 78, both provisions shall be incorporated into the permit and 
shall be enforceable by the Administrator.
    (iii) If an applicable implementation plan allows a determination of 
an alternative emission limit at a part 71 source, equivalent to that 
contained in the plan, to be made in the permit issuance, renewal, or 
significant modification process, and the permitting authority elects to 
use such process, any permit containing such equivalency determination 
shall contain provisions to ensure that any resulting emissions limit 
has been demonstrated to be quantifiable, accountable, enforceable, and 
based on replicable procedures.
    (2) Permit duration. The permitting authority shall issue permits 
for a fixed term of 5 years in the case of affected sources, and for a 
term not to exceed 5 years in the case of all other sources. 
Notwithstanding this requirement, the permitting authority shall issue 
permits for solid waste incineration units combusting municipal waste 
subject to standards under section 129(e) of the Act for a period not to 
exceed 12 years and shall review such permits at least every 5 years.
    (3) Monitoring and related recordkeeping and reporting requirements. 
(i) Each permit shall contain the following requirements with respect to 
monitoring:
    (A) All monitoring and analysis procedures or test methods required 
under applicable monitoring and testing requirements, including part 64 
of this chapter and any other procedures and methods that may be 
promulgated pursuant to sections 114(a)(3) or 504(b) of the Act. If more 
than one monitoring or testing requirement applies, the permit may 
specify a streamlined set of monitoring or testing provisions provided 
the specified monitoring or testing is adequate to assure compliance at 
least to the same extent as the monitoring or testing applicable 
requirements that are not included in the permit as a result of such 
streamlining;

[[Page 139]]

    (B) Where the applicable requirement does not require periodic 
testing or instrumental or noninstrumental monitoring (which may consist 
of recordkeeping designed to serve as monitoring), periodic monitoring 
sufficient to yield reliable data from the relevant time period that are 
representative of the source's compliance with the permit, as reported 
pursuant to paragraph (a)(3)(iii) of this section. Such monitoring 
requirements shall assure use of terms, test methods, units, averaging 
periods, and other statistical conventions consistent with the 
applicable requirement. Recordkeeping provisions may be sufficient to 
meet the requirements of this paragraph (a)(3)(i)(B); and
    (C) As necessary, requirements concerning the use, maintenance, and, 
where appropriate, installation of monitoring equipment or methods.
    (ii) With respect to recordkeeping, the permit shall incorporate all 
applicable recordkeeping requirements and require, where applicable, the 
following:
    (A) Records of required monitoring information that include the 
following:
    (1) The date, place as defined in the permit, and time of sampling 
or measurements;
    (2) The date(s) analyses were performed;
    (3) The company or entity that performed the analyses;
    (4) The analytical techniques or methods used;
    (5) The results of such analyses; and
    (6) The operating conditions as existing at the time of sampling or 
measurement;
    (B) Retention of records of all required monitoring data and support 
information for a period of at least 5 years from the date of the 
monitoring sample, measurement, report, or application. Support 
information includes all calibration and maintenance records and all 
original strip-chart recordings for continuous monitoring 
instrumentation, and copies of all reports required by the permit.
    (iii) With respect to reporting, the permit shall incorporate all 
applicable reporting requirements and require the following:
    (A) Submittal of reports of any required monitoring at least every 6 
months. All instances of deviations from permit requirements must be 
clearly identified in such reports. All required reports must be 
certified by a responsible official consistent with Sec. 71.5(d).
    (B) Prompt reporting of deviations from permit requirements, 
including those attributable to upset conditions as defined in the 
permit, the probable cause of such deviations, and any corrective 
actions or preventive measures taken. Where the underlying applicable 
requirement contains a definition of prompt or otherwise specifies a 
time frame for reporting deviations, that definition or time frame shall 
govern. Where the underlying applicable requirement fails to address the 
time frame for reporting deviations, reports of deviations shall be 
submitted to the permitting authority based on the following schedule:
    (1) For emissions of a hazardous air pollutant or a toxic air 
pollutant (as identified in an applicable regulation) that continue for 
more than an hour in excess of permit requirements, the report must be 
made with 24 hours of the occurrence.
    (2) For emissions of any regulated air pollutant, excluding those 
listed in paragraph (a)(3)(iii)(B)(1) of this section, that continue for 
more than two hours in excess of permit requirements, the report must be 
made within 48 hours.
    (3) For all other deviations from permit requirements, the report 
shall be contained in the report submitted in accordance with the 
timeframe given in paragraph (a)(3)(iii)(A).
    (4) A permit may contain a more stringent reporting requirement than 
required by paragraphs (a)(3)(iii)(B)(1), (2), or (3).
    If any of the above conditions are met, the source must notify the 
permitting authority by telephone or facsimile based on the timetable 
listed in paragraphs (a)(3)(iii)(B) (1) through (4) of this section. A 
written notice, certified consistent with Sec. 71.5(d), must be 
submitted within 10 working days of the occurrence. All deviations 
reported under paragraph (a)(3)(iii)(A) of this section must also be 
identified in the 6

[[Page 140]]

month report required under paragraph (a)(3)(iii)(A) of this section.
    (C) For purposes of paragraph (a)(3)(iii)(B) of this section, 
deviation means any situation in which an emissions unit fails to meet a 
permit term or condition. A deviation is not always a violation. A 
deviation can be determined by observation or through review of data 
obtained from any testing, monitoring, or recordkeeping established in 
accordance with paragraphs (a)(3)(i) and (a)(3)(ii) of this section. For 
a situation lasting more than 24 hours which constitutes a deviation, 
each 24 hour period is considered a separate deviation. Included in the 
meaning of deviation are any of the following:
    (1) A situation where emissions exceed an emission limitation or 
standard;
    (2) A situation where process or emissions control device parameter 
values indicate that an emission limitation or standard has not been 
met;
    (3) A situation in which observations or data collected demonstrates 
noncompliance with an emission limitation or standard or any work 
practice or operating condition required by the permit;
    (4) A situation in which an exceedance or an excursion, as defined 
in part 64 of this chapter, occurs.
    (4) A permit condition prohibiting emissions exceeding any 
allowances that the source lawfully holds under 40 CFR parts 72 through 
78.
    (i) No permit revision shall be required for increases in emissions 
that are authorized by allowances acquired pursuant to the acid rain 
program, provided that such increases do not require a permit revision 
under any other applicable requirement.
    (ii) No limit shall be placed on the number of allowances held by 
the source. The source may not, however, use allowances as a defense to 
noncompliance with any other applicable requirement.
    (iii) Any such allowance shall be accounted for according to the 
procedures established in regulations 40 CFR parts 72 through 78.
    (5) A severability clause to ensure the continued validity of the 
various permit requirements in the event of a challenge to any portions 
of the permit.
    (6) Provisions stating the following:
    (i) The permittee must comply with all conditions of the part 71 
permit. Any permit noncompliance constitutes a violation of the Act and 
is grounds for enforcement action; for permit termination, revocation 
and reissuance, or modification; or for denial of a permit renewal 
application.
    (ii) Need to halt or reduce activity not a defense. It shall not be 
a defense for a permittee in an enforcement action that it would have 
been necessary to halt or reduce the permitted activity in order to 
maintain compliance with the conditions of this permit.
    (iii) The permit may be modified, revoked, reopened, and reissued, 
or terminated for cause. The filing of a request by the permittee for a 
permit modification, revocation and reissuance, or termination, or of a 
notification of planned changes or anticipated noncompliance does not 
stay any permit condition.
    (iv) The permit does not convey any property rights of any sort, or 
any exclusive privilege.
    (v) The permittee shall furnish to the permitting authority, within 
a reasonable time, any information that the permitting authority may 
request in writing to determine whether cause exists for modifying, 
revoking and reissuing, or terminating the permit or to determine 
compliance with the permit. Upon request, the permittee shall also 
furnish to the permitting authority copies of records required to be 
kept by the permit or, in the case of a program delegated pursuant to 
Sec. 71.10, for information claimed to be confidential, the permittee 
may furnish such records directly to the Administrator along with a 
claim of confidentiality.
    (7) A provision to ensure that a part 71 source pays fees to the 
Administrator consistent with the fee schedule approved pursuant to 
Sec. 71.9.
    (8) Emissions trading. A provision stating that no permit revision 
shall be required, under any approved economic incentives, marketable 
permits, emissions trading and other similar programs or processes for 
changes that are provided for in the permit.

[[Page 141]]

    (9) Terms and conditions for reasonably anticipated operating 
scenarios identified by the source in its application as approved by the 
permitting authority. Such terms and conditions:
    (i) Shall require the source, contemporaneously with making a change 
from one operating scenario to another, to record in a log at the 
permitted facility a record of the scenario under which it is operating;
    (ii) May extend the permit shield described in paragraph (f) of this 
section to all terms and conditions under each such operating scenario; 
and
    (iii) Must ensure that the terms and conditions of each such 
alternative scenario meet all applicable requirements and the 
requirements of this part.
    (10) Terms and conditions, if the permit applicant requests them, 
for the trading of emissions increases and decreases in the permitted 
facility, to the extent that the applicable requirements provide for 
trading such increases and decreases without a case-by-case approval of 
each emissions trade. Such terms and conditions:
    (i) Shall include all terms required under paragraphs (a) and (c) of 
this section to determine compliance;
    (ii) May extend the permit shield described in paragraph (f) of this 
section to all terms and conditions that allow such increases and 
decreases in emissions; and
    (iii) Must meet all applicable requirements and requirements of this 
part.
    (11) Permit expiration. A provision to ensure that a part 71 permit 
expires upon the earlier occurrence of the following events:
    (i) twelve years elapses from the date of issuance to a solid waste 
incineration unit combusting municipal waste subject to standards under 
section 112(e) of the Act; or
    (ii) five years elapses from the date of issuance; or
    (iii) the source is issued a part 70 permit.
    (12) Off Permit Changes. A provision allowing changes that are not 
addressed or prohibited by the permit, other than those subject to the 
requirements of 40 CFR parts 72 through 78 or those that are 
modifications under any provision of title I of the Act to be made 
without a permit revision, provided that the following requirements are 
met:
    (i) Each such change shall meet all applicable requirements and 
shall not violate any existing permit term or condition;
    (ii) Sources must provide contemporaneous written notice to the 
permitting authority (and EPA, in the case of a program delegated 
pursuant to Sec. 71.10) of each such change, except for changes that 
qualify as insignificant under Sec. 71.5(c)(11). Such written notice 
shall describe each such change, including the date, any change in 
emissions, pollutants emitted, and any applicable requirement that would 
apply as a result of the change;
    (iii) The change shall not qualify for the shield under 
Sec. 71.6(f);
    (iv) The permittee shall keep a record describing changes made at 
the source that result in emissions of a regulated air pollutant subject 
to an applicable requirement, but not otherwise regulated under the 
permit, and the emissions resulting from those changes.
    (13) Operational flexibility. Provisions consistent with paragraphs 
(a)(3)(i) through (iii) of this section to allow changes within a 
permitted facility without requiring a permit revision, if the changes 
are not modifications under any provision of title I of the Act and the 
changes do not exceed the emissions allowable under the permit (whether 
expressed therein as a rate of emissions or in terms of total 
emissions): Provided, that the facility provides the Administrator (in 
the case of a program delegated pursuant to Sec. 71.10) and the 
permitting authority with written notification as required below in 
advance of the proposed changes, which shall be a minimum of 7 days.
    (i) The permit shall allow the permitted source to make section 
502(b)(10) changes without requiring a permit revision, if the changes 
are not modifications under any provision of title I of the Act and the 
changes do not exceed the emissions allowable under the permit (whether 
expressed therein as a rate of emissions or in terms of total 
emissions).
    (A) For each such change, the written notification required above 
shall include a brief description of the

[[Page 142]]

change within the permitted facility, the date on which the change will 
occur, any change in emissions, and any permit term or condition that is 
no longer applicable as a result of the change.
    (B) The permit shield described in Sec. 71.6(f) shall not apply to 
any change made pursuant to this paragraph (a)(13)(i).
    (ii) The permit may provide for the permitted source to trade 
increases and decreases in emissions in the permitted facility, where 
the applicable implementation plan provides for such emissions trades 
without requiring a permit revision and based on the 7-day notice 
prescribed in this paragraph (a)(13)(ii) of this section. This provision 
is available in those cases where the permit does not already provide 
for such emissions trading.
    (A) Under this paragraph (a)(13)(ii), the written notification 
required above shall include such information as may be required by the 
provision in the applicable implementation plan authorizing the 
emissions trade, including at a minimum, when the proposed change will 
occur, a description of each such change, any change in emissions, the 
permit requirements with which the source will comply using the 
emissions trading provisions of the applicable implementation plan, and 
the pollutants emitted subject to the emissions trade. The notice shall 
also refer to the provisions with which the source will comply in the 
applicable implementation plan and that provide for the emissions trade.
    (B) The permit shield described in Sec. 71.6(f) shall not extend to 
any change made under this paragraph (a)(13)(ii). Compliance with the 
permit requirements that the source will meet using the emissions trade 
shall be determined according to requirements of the applicable 
implementation plan authorizing the emissions trade.
    (iii) The permit shall require the permitting authority, if a permit 
applicant requests it, to issue permits that contain terms and 
conditions, including all terms required under Sec. 71.6 (a) and (c) to 
determine compliance, allowing for the trading of emissions increases 
and decreases in the permitted facility solely for the purpose of 
complying with a federally-enforceable emissions cap that is established 
in the permit independent of otherwise applicable requirements. The 
permit applicant shall include in its application proposed replicable 
procedures and permit terms that ensure the emissions trades are 
quantifiable and enforceable. The permitting authority shall not be 
required to include in the emissions trading provisions any emissions 
units for which emissions are not quantifiable or for which there are no 
replicable procedures to enforce the emissions trades. The permit shall 
also require compliance with all applicable requirements.
    (A) Under this paragraph (a)(13)(iii), the written notification 
required above shall state when the change will occur and shall describe 
the changes in emissions that will result and how these increases and 
decreases in emissions will comply with the terms and conditions of the 
permit.
    (B) The permit shield described in Sec. 71.6(f) may extend to terms 
and conditions that allow such increases and decreases in emissions.
    (b) Federally-enforceable requirements. All terms and conditions in 
a part 71 permit, including any provisions designed to limit a source's 
potential to emit, are enforceable by the Administrator and citizens 
under the Act.
    (c) Compliance requirements. All part 71 permits shall contain the 
following elements with respect to compliance:
    (1) Consistent with paragraph (a)(3) of this section, compliance 
certification, testing, monitoring, reporting, and recordkeeping 
requirements sufficient to assure compliance with the terms and 
conditions of the permit. Any document (including reports) required by a 
part 71 permit shall contain a certification by a responsible official 
that meets the requirements of Sec. 71.5(d).
    (2) Inspection and entry requirements that require that, upon 
presentation of credentials and other documents as may be required by 
law, the permittee shall allow the permitting authority or an authorized 
representative to perform the following:
    (i) Enter upon the permittee's premises where a part 71 source is 
located or

[[Page 143]]

emissions-related activity is conducted, or where records must be kept 
under the conditions of the permit;
    (ii) Have access to and copy, at reasonable times, any records that 
must be kept under the conditions of the permit;
    (iii) Inspect at reasonable times any facilities, equipment 
(including monitoring and air pollution control equipment), practices, 
or operations regulated or required under the permit; and
    (iv) As authorized by the Act, sample or monitor at reasonable times 
substances or parameters for the purpose of assuring compliance with the 
permit or applicable requirements.
    (3) A schedule of compliance consistent with Sec. 71.5(c)(8).
    (4) Progress reports consistent with an applicable schedule of 
compliance and Sec. 71.5(c)(8) to be submitted at least semiannually, or 
at a more frequent period if specified in the applicable requirement or 
by the permitting authority. Such progress reports shall contain the 
following:
    (i) Dates for achieving the activities, milestones, or compliance 
required in the schedule of compliance, and dates when such activities, 
milestones or compliance were achieved; and
    (ii) An explanation of why any dates in the schedule of compliance 
were not or will not be met, and any preventive or corrective measures 
adopted.
    (5) Requirements for compliance certification with terms and 
conditions contained in the permit, including emission limitations, 
standards, or work practices. Permits shall include each of the 
following:
    (i) The frequency (not less than annually or such more frequent 
periods as specified in the applicable requirement or by the permitting 
authority) of submissions of compliance certifications;
    (ii) In accordance with Sec. 71.6(a)(3), a means for monitoring the 
compliance of the source with its emissions limitations, standards, and 
work practices;
    (iii) A requirement that the compliance certification include all of 
the following (provided that the identification of applicable 
information may cross-reference the permit or previous reports, as 
applicable):
    (A) The identification of each term or condition of the permit that 
is the basis of the certification;
    (B) The identification of the method(s) or other means used by the 
owner or operator for determining the compliance status with each term 
and condition during the certification period, and whether such methods 
or other means provide continuous or intermittent data. Such methods and 
other means shall include, at a minimum, the methods and means required 
under paragraph (a)(3) of this section. If necessary, the owner or 
operator also shall identify any other material information that must be 
included in the certification to comply with section 113(c)(2) of the 
Act, which prohibits knowingly making a false certification or omitting 
material information;
    (C) The status of compliance with the terms and conditions of the 
permit for the period covered by the certification, based on the method 
or means designated in paragraph (c)(5)(iii)(B) of this section. The 
certification shall identify each deviation and take it into account in 
the compliance certification; and
    (D) Such other facts as the permitting authority may require to 
determine the compliance status of the source.
    (iv) A requirement that all compliance certifications be submitted 
to the Administrator as well as to the permitting authority.
    (6) Such other provisions as the permitting authority may require.
    (d) General permits. (1) The permitting authority may, after notice 
and opportunity for public participation provided under Sec. 71.11, 
issue a general permit covering numerous similar sources. Any general 
permit shall comply with all requirements applicable to other part 71 
permits and shall identify criteria by which sources may qualify for the 
general permit. To sources that qualify, the permitting authority shall 
grant the conditions and terms of the general permit. Notwithstanding 
the shield provisions of paragraph (f) of this section, the source shall 
be subject to enforcement action for operation without a part 71 permit 
if the source is later determined not to qualify for the conditions and 
terms of the general

[[Page 144]]

permit. General permits shall not be authorized for affected sources 
under the acid rain program unless otherwise provided in 40 CFR parts 72 
through 78.
    (2) Part 71 sources that would qualify for a general permit must 
apply to the permitting authority for coverage under the terms of the 
general permit or must apply for a part 71 permit consistent with 
Sec. 71.5. The permitting authority may, in the general permit, provide 
for applications which deviate from the requirements of Sec. 71.5, 
provided that such applications meet the requirements of title V of the 
Act, and include all information necessary to determine qualification 
for, and to assure compliance with, the general permit. Without 
repeating the public participation procedures required under Sec. 71.11, 
the permitting authority may grant a source's request for authorization 
to operate under a general permit, but such a grant shall not be a final 
permit action for purposes of judicial review.
    (e) Temporary sources. The permitting authority may issue a single 
permit authorizing emissions from similar operations by the same source 
owner or operator at multiple temporary locations. The operation must be 
temporary and involve at least one change of location during the term of 
the permit. No affected source shall be permitted as a temporary source. 
Permits for temporary sources shall include the following:
    (1) Conditions that will assure compliance with all applicable 
requirements at all authorized locations;
    (2) Requirements that the owner or operator notify the permitting 
authority at least 10 days in advance of each change in location; and
    (3) Conditions that assure compliance with all other provisions of 
this section.
    (f) Permit shield. (1) Except as provided in this part, the 
permitting authority may expressly include in a part 71 permit a 
provision stating that compliance with the conditions of the permit 
shall be deemed compliance with any applicable requirements as of the 
date of permit issuance, provided that:
    (i) Such applicable requirements are included and are specifically 
identified in the permit; or
    (ii) The permitting authority, in acting on the permit application 
or revision, determines in writing that other requirements specifically 
identified are not applicable to the source, and the permit includes the 
determination or a concise summary thereof.
    (2) A part 71 permit that does not expressly state that a permit 
shield exists shall be presumed not to provide such a shield.
    (3) Nothing in this paragraph or in any part 71 permit shall alter 
or affect the following:
    (i) The provisions of section 303 of the Act (emergency orders), 
including the authority of the Administrator under that section;
    (ii) The liability of an owner or operator of a source for any 
violation of applicable requirements prior to or at the time of permit 
issuance;
    (iii) The applicable requirements of the acid rain program, 
consistent with section 408(a) of the Act; or
    (iv) The ability of EPA to obtain information from a source pursuant 
to section 114 of the Act.
    (g) Emergency provision. (1) Definition. An ``emergency'' means any 
situation arising from sudden and reasonably unforeseeable events beyond 
the control of the source, including acts of God, which situation 
requires immediate corrective action to restore normal operation, and 
that causes the source to exceed a technology-based emission limitation 
under the permit, due to unavoidable increases in emissions attributable 
to the emergency. An emergency shall not include noncompliance to the 
extent caused by improperly designed equipment, lack of preventative 
maintenance, careless or improper operation, or operator error.
    (2) Effect of an emergency. An emergency constitutes an affirmative 
defense to an action brought for noncompliance with such technology-
based emission limitations if the conditions of paragraph (g)(3) of this 
section are met.
    (3) The affirmative defense of emergency shall be demonstrated 
through properly signed, contemporaneous operating logs, or other 
relevant evidence that:

[[Page 145]]

    (i) An emergency occurred and that the permittee can identify the 
cause(s) of the emergency;
    (ii) The permitted facility was at the time being properly operated;
    (iii) During the period of the emergency the permittee took all 
reasonable steps to minimize levels of emissions that exceeded the 
emission standards, or other requirements in the permit; and
    (iv) The permittee submitted notice of the emergency to the 
permitting authority within 2 working days of the time when emission 
limitations were exceeded due to the emergency. This notice fulfills the 
requirement of paragraph (a)(3)(iii)(B) of this section. This notice 
must contain a description of the emergency, any steps taken to mitigate 
emissions, and corrective actions taken.
    (4) In any enforcement proceeding, the permittee seeking to 
establish the occurrence of an emergency has the burden of proof.
    (5) This provision is in addition to any emergency or upset 
provision contained in any applicable requirement.

[61 FR 34228, July 1, 1996, as amended at 62 FR 54947, Oct. 22, 1997]



Sec. 71.7  Permit issuance, renewal, reopenings, and revisions.

    (a) Action on application. (1) A permit, permit modification, or 
renewal may be issued only if all of the following conditions have been 
met:
    (i) The permitting authority has received a complete application for 
a permit, permit modification, or permit renewal, except that a complete 
application need not be received before issuance of a general permit 
under Sec. 71.6(d);
    (ii) Except for modifications qualifying for minor permit 
modification procedures under paragraphs (e) (1) and (2) of this 
section, the permitting authority has complied with the requirements for 
public participation under this section or Sec. 71.11, as applicable;
    (iii) The permitting authority has complied with the requirements 
for notifying and responding to affected States under Sec. 71.8(a);
    (iv) The conditions of the permit provide for compliance with all 
applicable requirements and the requirements of this part; and
    (v) In the case of a program delegated pursuant to Sec. 71.10, the 
Administrator has received a copy of the proposed permit and any notices 
required under Sec. 71.10(d) and has not objected to issuance of the 
permit under Sec. 71.10(g) within the time period specified therein.
    (2) Except as provided under the initial transition plan provided 
for under Sec. 71.4(i) or under 40 CFR part 72 or title V of the Act for 
the permitting of affected sources under the acid rain program, the 
permitting authority shall take final action on each permit application 
(including a request for permit modification or renewal) within 18 
months after receiving a complete application.
    (3) The permitting authority shall ensure that priority is given to 
taking action on applications for construction or modification under 
title I, parts C and D of the Act.
    (4) The permitting authority shall promptly provide notice to the 
applicant of whether the application is complete. Unless the permitting 
authority requests additional information or otherwise notifies the 
applicant of incompleteness within 60 days of receipt of an application, 
the application shall be deemed complete. For modifications processed 
through minor permit modification procedures, such as those in 
paragraphs (e) (1) and (2) of this section, the permitting authority 
need not make a completeness determination.
    (5) The permitting authority shall provide a statement that sets 
forth the legal and factual basis for the draft permit conditions 
(including references to the applicable statutory or regulatory 
provisions). The permitting authority shall send this statement to any 
person who requests it, and to EPA, in the case of a program delegated 
pursuant to Sec. 71.10.
    (6) The submittal of a complete application shall not affect the 
requirement that any source have a preconstruction permit under title I 
of the Act.
    (b) Requirement for a permit. Except as provided in the following 
sentence, Sec. 71.6(a)(13), and paragraphs (e)(1)(v) and e(2)(v) of this 
section, no part 71 source may operate after the time that it is

[[Page 146]]

required to submit a timely and complete application under this part, 
except in compliance with a permit issued under this part. If a part 71 
source submits a timely and complete application for permit issuance 
(including for renewal), the source's failure to have a part 71 permit 
is not a violation of this part until the permitting authority takes 
final action on the permit application, except as noted in this section. 
This protection shall cease to apply if, subsequent to the completeness 
determination made pursuant to paragraph (a)(4) of this section, and as 
required by Sec. 71.5(c), the applicant fails to submit by the deadline 
specified in writing by the permitting authority any additional 
information identified as being needed to process the application.
    (c) Permit renewal and expiration. (1) (i) Permits being renewed are 
subject to the same procedural requirements, including those for public 
participation, affected State review, and EPA review (in the case of a 
program delegated pursuant to Sec. 71.10) that apply to initial permit 
issuance.
    (ii) Permit expiration terminates the source's right to operate 
unless a timely and complete renewal application has been submitted 
consistent with paragraph (b) of this section and Sec. 71.5(a)(1)(iii).
    (2) In the case of a program delegated pursuant to Sec. 71.10, if 
the permitting authority fails to act in a timely way on permit renewal, 
EPA may invoke its authority under section 505(e) of the Act to 
terminate or revoke and reissue the permit.
    (3) If a timely and complete application for a permit renewal is 
submitted, consistent with Sec. 71.5(a)(2), but the permitting authority 
has failed to issue or deny the renewal permit before the end of the 
term of the previous part 70 or 71 permit, then the permit shall not 
expire until the renewal permit has been issued or denied and any permit 
shield that may be granted pursuant to Sec. 71.6(f) may extend beyond 
the original permit term until renewal; or all the terms and conditions 
of the permit including any permit shield that may be granted pursuant 
to Sec. 71.6(f) shall remain in effect until the renewal permit has been 
issued or denied.
    (d) Administrative permit amendments. (1) An ``administrative permit 
amendment'' is a permit revision that:
    (i) Corrects typographical errors;
    (ii) Identifies a change in the name, address, or phone number of 
any person identified in the permit, or provides a similar minor 
administrative change at the source;
    (iii) Requires more frequent monitoring or reporting by the 
permittee;
    (iv) Allows for a change in ownership or operational control of a 
source where the permitting authority determines that no other change in 
the permit is necessary, provided that a written agreement containing a 
specific date for transfer of permit responsibility, coverage, and 
liability between the current and new permittee has been submitted to 
the permitting authority;
    (v) Incorporates into the part 71 permit the requirements from 
preconstruction review permits authorized under an EPA-approved program, 
provided that such a program meets procedural requirements substantially 
equivalent to the requirements of Secs. 71.7 and 71.8 (and Sec. 71.10 in 
the case of a delegated program) that would be applicable to the change 
if it were subject to review as a permit modification, and compliance 
requirements substantially equivalent to those contained in Sec. 71.6; 
or
    (vi) Incorporates any other type of change which the Administrator 
has determined to be similar to those in paragraphs (d)(1)(i) through 
(iv) of this section.
    (2) Administrative permit amendments for purposes of the acid rain 
portion of the permit shall be governed by 40 CFR part 72.
    (3) Administrative permit amendment procedures. An administrative 
permit amendment may be made by the permitting authority consistent with 
the following:
    (i) The permitting authority shall take no more than 60 days from 
receipt of a request for an administrative permit amendment to take 
final action on such request, and may incorporate such changes without 
providing notice

[[Page 147]]

to the public or affected States provided that it designates any such 
permit revisions as having been made pursuant to this paragraph.
    (ii) The permitting authority shall submit a copy of the revised 
permit to the Administrator in the case of a program delegated pursuant 
to Sec. 71.10.
    (iii) The source may implement the changes addressed in the request 
for an administrative amendment immediately upon submittal of the 
request.
    (4) The permitting authority may, upon taking final action granting 
a request for an administrative permit amendment, allow coverage by the 
permit shield in Sec. 71.6(f) for administrative permit amendments made 
pursuant to paragraph (d)(1)(v) of this section which meet the relevant 
requirements of Secs. 71.6, 71.7, and 71.8 for significant permit 
modifications.
    (e) Permit modifications. A permit modification is any revision to a 
part 71 permit that cannot be accomplished under the provisions for 
administrative permit amendments under paragraph (d) of this section. A 
permit modification for purposes of the acid rain portion of the permit 
shall be governed by 40 CFR part 72.
    (1) Minor permit modification procedures.
    (i) Criteria.
    (A) Minor permit modification procedures may be used only for those 
permit modifications that:
    (1) Do not violate any applicable requirement;
    (2) Do not involve significant changes to existing monitoring, 
reporting, or recordkeeping requirements in the permit;
    (3) Do not require or change a case-by-case determination of an 
emission limitation or other standard, or a source-specific 
determination for temporary sources of ambient impacts, or a visibility 
or increment analysis;
    (4) Do not seek to establish or change a permit term or condition 
for which there is no corresponding underlying applicable requirement 
and that the source has assumed to avoid an applicable requirement to 
which the source would otherwise be subject. Such terms and conditions 
include:
    (i) A federally enforceable emissions cap assumed to avoid 
classification as a modification under any provision of title I; and
    (ii) An alternative emissions limit approved pursuant to regulations 
promulgated under section 112(i)(5) of the Act;
    (5) Are not modifications under any provision of title I of the Act; 
and
    (6) Are not required to be processed as a significant modification.
    (B) Notwithstanding paragraphs (e)(1)(i)(A) and (e)(2)(i) of this 
section, minor permit modification procedures may be used for permit 
modifications involving the use of economic incentives, marketable 
permits, emissions trading, and other similar approaches, to the extent 
that such minor permit modification procedures are explicitly provided 
for in an applicable implementation plan or in applicable requirements 
promulgated by EPA.
    (ii) Application. An application requesting the use of minor permit 
modification procedures shall meet the requirements of Sec. 71.5(c) and 
shall include the following:
    (A) A description of the change, the emissions resulting from the 
change, and any new applicable requirements that will apply if the 
change occurs;
    (B) The source's suggested draft permit;
    (C) Certification by a responsible official, consistent with 
Sec. 71.5(d), that the proposed modification meets the criteria for use 
of minor permit modification procedures and a request that such 
procedures be used; and
    (D) Completed forms for the permitting authority to use to notify 
affected States (and the Administrator in the case of a program 
delegated pursuant to Sec. 71.10) as required under Secs. 71.8 and 
71.10(d).
    (iii) EPA and affected State notification. Within 5 working days of 
receipt of a complete permit modification application, the permitting 
authority shall meet its obligation under Sec. 71.8(a) to notify 
affected States (and its obligation under Sec. 71.10(d) to notify the 
Administrator in the case of a program delegated pursuant to Sec. 71.10) 
of the requested permit modification. In the case of a program delegated 
pursuant to Sec. 71.10, the permitting authority

[[Page 148]]

promptly shall send any notice required under Sec. 71.8(b) to the 
Administrator.
    (iv) Timetable for issuance. In the case of a program delegated 
pursuant to Sec. 71.10, the permitting authority may not issue a final 
permit modification until after EPA's 45-day review period or until EPA 
has notified the permitting authority that EPA will not object to 
issuance of the permit modification, whichever is first, although the 
permitting authority can approve the permit modification prior to that 
time. Within 90 days of the permitting authority's receipt of an 
application under minor permit modification procedures (or 15 days after 
the end of the Administrator's 45-day review period under Sec. 71.10(g) 
in the case of a program delegated pursuant to Sec. 71.10, whichever is 
later), the permitting authority shall:
    (A) Issue the permit modification as proposed;
    (B) Deny the permit modification application;
    (C) Determine that the requested modification does not meet the 
minor permit modification criteria and should be reviewed under the 
significant modification procedures; or
    (D) Revise the draft permit modification (and, in the case of a 
program delegated pursuant to Sec. 71.10, transmit to the Administrator 
the new proposed permit modification as required by Sec. 71.10(d)).
    (v) Source's ability to make change. The source may make the change 
proposed in its minor permit modification application immediately after 
it files such application. After the source makes the change allowed by 
the preceding sentence, and until the permitting authority takes any of 
the actions specified in paragraphs (e)(1)(iv) (A) through (C) of this 
section, the source must comply with both the applicable requirements 
governing the change and the proposed permit terms and conditions. 
During this time period, the source need not comply with the existing 
permit terms and conditions it seeks to modify. However, if the source 
fails to comply with its proposed permit terms and conditions during 
this time period, the existing permit terms and conditions it seeks to 
modify may be enforced against it.
    (vi) Permit shield. The permit shield under Sec. 71.6(f) may not 
extend to minor permit modifications.
    (2) Group processing of minor permit modifications. Consistent with 
this paragraph, the permitting authority may modify the procedure 
outlined in paragraph (e)(1) of this section to process groups of a 
source's applications for certain modifications eligible for minor 
permit modification processing.
    (i) Criteria. Group processing of modifications may be used only for 
those permit modifications:
    (A) That meet the criteria for minor permit modification procedures 
under paragraph (e)(1)(i)(A) of this section; and
    (B) That collectively are below the threshold level of 10 percent of 
the emissions allowed by the permit for the emissions unit for which the 
change is requested, 20 percent of the applicable definition of major 
source in Sec. 71.2, or 5 tpy, whichever is least.
    (ii) Application. An application requesting the use of group 
processing procedures shall meet the requirements of Sec. 71.5(c) and 
shall include the following:
    (A) A description of the change, the emissions resulting from the 
change, and any new applicable requirements that will apply if the 
change occurs.
    (B) The source's suggested draft permit.
    (C) Certification by a responsible official, consistent with 
Sec. 71.5(d), that the proposed modification meets the criteria for use 
of group processing procedures and a request that such procedures be 
used.
    (D) A list of the source's other pending applications awaiting group 
processing, and a determination of whether the requested modification, 
aggregated with these other applications, equals or exceeds the 
threshold set under paragraph (e)(2)(i)(B) of this section.
    (E) Certification, consistent with Sec. 71.5(d), that, in the case 
of a program delegated pursuant to Sec. 71.10, the source has notified 
EPA of the proposed modification. Such notification need only contain a 
brief description of the requested modification.

[[Page 149]]

    (F) Completed forms for the permitting authority to use to notify 
affected States as required under Sec. 71.8 (and the Administrator as 
required under Sec. 71.10(d) in the case of a program delegated pursuant 
to Sec. 71.10).
    (iii) EPA and affected State notification. On a quarterly basis or 
within 5 business days of receipt of an application demonstrating that 
the aggregate of a source's pending applications equals or exceeds the 
threshold level set under paragraph (e)(2)(i)(B) of this section, 
whichever is earlier, the permitting authority promptly shall meet its 
obligation under Sec. 71.8(a) to notify affected States (and its 
obligation under Sec. 71.10(d) to notify EPA in the case of a program 
delegated pursuant to Sec. 71.10) of the requested permit modification. 
The permitting authority shall send any notice required under 
Sec. 71.8(b) to the Administrator in the case of a program delegated 
pursuant to Sec. 71.10.
    (iv) Timetable for issuance. The provisions of paragraph (e)(1)(iv) 
of this section shall apply to modifications eligible for group 
processing, except that the permitting authority shall take one of the 
actions specified in paragraphs (e)(1)(iv) (A) through (D) of this 
section within 180 days of receipt of the application (or, in the case 
of a program delegated pursuant to Sec. 71.10, 15 days after the end of 
the Administrator's 45-day review period under Sec. 71.10(g), whichever 
is later).
    (v) Source's ability to make change. The provisions of paragraph 
(e)(1)(v) of this section shall apply to modifications eligible for 
group processing.
    (vi) Permit shield. The provisions of paragraph (e)(1)(vi) of this 
section shall also apply to modifications eligible for group processing.
    (3) Significant modification procedures--(i) Criteria. Significant 
modification procedures shall be used for applications requesting permit 
modifications that do not qualify as minor permit modifications or as 
administrative amendments. Every significant change in existing 
monitoring permit terms or conditions and every relaxation of reporting 
or recordkeeping permit terms or conditions shall be considered 
significant. Nothing herein shall be construed to preclude the permittee 
from making changes consistent with this part that would render existing 
permit compliance terms and conditions irrelevant.
    (ii) Significant permit modifications shall meet all requirements of 
this part, including those for applications, public participation, 
review by affected States, and review by EPA (in the case of a program 
delegated pursuant to Sec. 71.10), as they apply to permit issuance and 
permit renewal. The permitting authority shall design and implement this 
review process to complete review on the majority of significant permit 
modifications within 9 months after receipt of a complete application.
    (f) Reopening for cause. (1) Each issued permit shall include 
provisions specifying the conditions under which the permit will be 
reopened prior to the expiration of the permit. A permit shall be 
reopened and revised under any of the following circumstances:
    (i) Additional applicable requirements under the Act become 
applicable to a major part 71 source with a remaining permit term of 3 
or more years. Such a reopening shall be completed not later than 18 
months after promulgation of the applicable requirement. No such 
reopening is required if the effective date of the requirement is later 
than the date on which the permit is due to expire, unless the original 
permit or any of its terms and conditions have been extended pursuant to 
paragraph (c)(3) of this section.
    (ii) Additional requirements (including excess emissions 
requirements) become applicable to an affected source under the acid 
rain program. Upon approval by the Administrator, excess emissions 
offset plans shall be deemed to be incorporated into the permit.
    (iii) The permitting authority (or EPA, in the case of a program 
delegated pursuant to Sec. 71.10) determines that the permit contains a 
material mistake or that inaccurate statements were made in establishing 
the emissions standards or other terms or conditions of the permit.
    (iv) The permitting authority (or EPA, in the case of a program 
delegated pursuant to Sec. 71.10) determines

[[Page 150]]

that the permit must be revised or revoked to assure compliance with the 
applicable requirements.
    (2) Proceedings to reopen and issue a permit shall follow the same 
procedures as apply to initial permit issuance and shall affect only 
those parts of the permit for which cause to reopen exists, and shall be 
made as expeditiously as practicable.
    (3) Reopenings under paragraph (f)(1) of this section shall not be 
initiated before a notice of such intent is provided to the part 71 
source by the permitting authority at least 30 days in advance of the 
date that the permit is to be reopened, except that the permitting 
authority may provide a shorter time period in the case of an emergency.
    (g) Reopenings for cause by EPA for delegated programs. (1) In the 
case of a program delegated pursuant to Sec. 71.10, if the Administrator 
finds that cause exists to terminate, modify, or revoke and reissue a 
permit pursuant to paragraph (f) of this section, the Administrator will 
notify the permitting authority and the permittee of such finding in 
writing.
    (2) The permitting authority shall, within 90 days after receipt of 
such notification, forward to EPA a proposed determination of 
termination, modification, or revocation and reissuance, as appropriate. 
The Administrator may extend this 90-day period for an additional 90 
days if he or she finds that a new or revised permit application is 
necessary or that the permitting authority must require the permittee to 
submit additional information.
    (3) The Administrator will review the proposed determination from 
the permitting authority within 90 days of receipt.
    (4) The permitting authority shall have 90 days from receipt of an 
EPA objection to resolve any objection that EPA makes and to terminate, 
modify, or revoke and reissue the permit in accordance with the 
Administrator's objection.
    (5) If the permitting authority fails to submit a proposed 
determination pursuant to paragraph (g)(2) of this section or fails to 
resolve any objection pursuant to paragraph (g)(4) of this section, the 
Administrator will terminate, modify, or revoke and reissue the permit 
after taking the following actions:
    (i) Providing at least 30 days' notice to the permittee in writing 
of the reasons for any such action. This notice may be given during the 
procedures in paragraphs (g) (1) through (4) of this section.
    (ii) Providing the permittee an opportunity for comment on the 
Administrator's proposed action and an opportunity for a hearing.



Sec. 71.8  Affected State review.

    (a) Notice of draft permits. When a part 71 operating permits 
program becomes effective in a State or within Indian country, the 
permitting authority shall provide notice of each draft permit to any 
affected State, as defined in Sec. 71.2 on or before the time that the 
permitting authority provides this notice to the public pursuant to 
Sec. 71.7 or Sec. 71.11(d) except to the extent Sec. 71.7(e)(1) or (2) 
requires the timing of the notice to be different.
    (b) Notice of refusal to accept recommendations. Prior to issuance 
of the final permit, the permitting authority shall notify any affected 
State in writing of any refusal by the permitting authority to accept 
all recommendations for the proposed permit that the affected State 
submitted during the public or affected State review period. The notice 
shall include the permitting authority's reasons for not accepting any 
such recommendation. The permitting authority is not required to accept 
recommendations that are not based on applicable requirements or the 
requirements of this part. In the case of a program delegated pursuant 
to Sec. 71.10, the permitting authority shall include such notice as 
part of the submittal of the proposed permit to the Administrator (or as 
soon as possible after the submittal for minor permit modification 
procedures allowed under Sec. 71.7(e)(1) or (2)).
    (c) Waiver of notice requirements. The Administrator may waive the 
requirements of paragraph (a) of this section for any category of 
sources (including any class, type, or size within such category) other 
than major sources by regulation for a category of sources nationwide.

[[Page 151]]

    (d) Notice provided to Indian Tribes. The permitting authority shall 
provide notice of each draft permit to any federally recognized Indian 
Tribe:
    (1) Whose air quality may be affected by the permitting action and 
is in an area contiguous to the jurisdiction in which the part 71 permit 
is proposed; or
    (2) Is within 50 miles of the permitted source.

[61 FR 34228, July 1, 1996, as amended at 64 FR 8263, Feb. 19, 1999]



Sec. 71.9  Permit fees.

    (a) Fee requirement. The owners or operators of part 71 sources 
shall pay annual fees, or the equivalent over some other period, that 
are sufficient to cover the permit program costs, in accordance with the 
procedures described in this section.
    (b) Permit program costs. These costs include, but are not limited 
to, the costs of the following activities as they relate to a part 71 
program:
    (1) Reviewing and acting on any application for a permit, permit 
revision, or permit renewal, including the development of an applicable 
requirement as part of the processing of a permit, or permit revision or 
renewal;
    (2) Processing permit reopenings;
    (3) General administrative costs of the permit program, including 
transition planning, interagency coordination, contract management, 
training, informational services and outreach activities, assessing and 
collecting fees, the tracking of permit applications, compliance 
certifications, and related data entry;
    (4) Implementing and enforcing the terms of any part 71 permit (not 
including any court costs or other costs associated with an enforcement 
action), including adequate resources to determine which sources are 
subject to the program;
    (5) Emissions and ambient monitoring, modeling, analyses, 
demonstrations, preparation of inventories, and tracking emissions, 
provided these activities are needed in order to issue and implement 
part 71 permits; and
    (6) Providing direct and indirect support to small business 
stationary sources in determining applicable requirements and in 
receiving permits under this part (to the extent that these services are 
not provided by a State Small Business Stationary Source Technical and 
Environmental Compliance Assistance Program).
    (c) Establishment of fee schedule. (1) For part 71 programs that are 
administered by EPA, each part 71 source shall pay an annual fee in the 
amount of $32 per ton (as adjusted pursuant to the criteria set forth in 
paragraph (n)(1) of this section) times the total tons of the actual 
emissions of each regulated pollutant (for fee calculation) emitted from 
the source, including fugitive emissions.
    (2) For part 71 programs that are fully delegated pursuant to 
Sec. 71.10:
    (i) Where the EPA has not suspended its part 71 fee collection 
pursuant to paragraph (c)(2)(ii) of this section, the annual fee for 
each part 71 source shall be $24 per ton (as adjusted pursuant to the 
criteria set forth in paragraph (n)(1) of this section) times the total 
tons of the actual emissions of each regulated pollutant (for fee 
calculation) emitted from the source, including fugitive emissions.
    (ii) Where the delegate State collects fees from part 71 sources 
under State law which are sufficient to fund the delegated part 71 
program, the EPA may suspend its collection of part 71 fees. The 
specific terms and conditions regarding the suspension of fee collection 
will be addressed in the applicable delegation agreement pursuant to 
Sec. 71.10.
    (3) For part 71 programs that are administered by EPA with 
contractor assistance, the per ton fee shall vary depending on the 
extent of contractor involvement and the cost to EPA of contractor 
assistance. The EPA shall establish a per ton fee that is based on the 
contractor costs for the specific part 71 program that is being 
administered, using the following formula:

Cost per ton=(E x 32)+[(1-E) x $C]


Where E represents EPA's proportion of total effort (expressed as a 
percentage of total effort) needed to administer the part 71 program, 1-
E represents the contractor's effort, and C represents the contractor 
assistance cost on a per ton basis. C shall be computed by using the 
following formula:

C=[B+T+N] divided by 12,300,000


[[Page 152]]



Where B represents the base cost (contractor costs), where T represents 
travel costs, and where N represents nonpersonnel data management and 
tracking costs.
    (4) For programs that are delegated in part, the fee shall be 
computed using the following formula:
Cost per ton=(E x 32)+(D x 24)+[(1-E-D) x $C]


Where E and D represent, respectively, the EPA and delegate agency 
proportions of total effort (expressed as a percentage of total effort) 
needed to administer the part 71 program, 1-E-D represents the 
contractor's effort, and C represents the contractor assistance cost on 
a per ton basis. C shall be computed using the formula for contractor 
assistance cost found in paragraph (c)(3) of this section and shall be 
zero if contractor assistance is not utilized.
    (5) The following emissions shall be excluded from the calculation 
of fees under paragraph (c)(1) through (c)(4) of this section:
    (i) The amount of a part 71 source's actual emissions of each 
regulated pollutant (for fee calculation) that the source emits in 
excess of four thousand (4,000) tpy;
    (ii) A part 71 source's actual emissions of any regulated pollutant 
(for fee calculation) already included in the fee calculation; and
    (iii) The insignificant quantities of actual emissions not required 
to be listed or calculated in a permit application pursuant to 
Sec. 71.5(c)(11).
    (6) ``Actual emissions'' means the actual rate of emissions in tpy 
of any regulated pollutant (for fee calculation) emitted from a part 71 
source over the preceding calendar year. Actual emissions shall be 
calculated using each emissions unit's actual operating hours, 
production rates, in-place control equipment, and types of materials 
processed, stored, or combusted during the preceding calendar year.
    (7) Notwithstanding the provisions of paragraph (c) (1) through (4) 
of this section, if the Administrator determines that the fee structures 
provided in paragraphs (c)(1) through (4) of this section do not reflect 
the costs of administering a part 71 program, then the Administrator 
shall by rule set a fee which adequately reflects permit program costs 
for that program.
    (d) Prohibition on fees with respect to emissions from affected 
units. Notwithstanding any other provision of this section, during the 
years 1995 through 1999 inclusive, no fee for purposes of title V shall 
be required to be paid with respect to emissions from any affected unit 
under section 404 of the Act.
    (e) Submission of initial fee calculation work sheets and fees. (1) 
Each part 71 source shall complete and submit an initial fee calculation 
work sheet as provided in paragraphs (e)(2), (f), and (g) of this 
section and shall complete and submit fee calculation work sheets 
thereafter as provided in paragraph (h) of this section. Calculations of 
actual or estimated emissions and calculation of the fees owed by a 
source shall be computed by the source on fee calculation work sheets 
provided by EPA. Fee payment of the full amount must accompany each 
initial fee calculation work sheet.
    (2) The fee calculation work sheet shall require the source to 
submit a report of its actual emissions for the preceding calendar year 
and to compute fees owed based on those emissions. For sources that have 
been issued part 70 or part 71 permits, actual emissions shall be 
computed using compliance methods required by the most recent permit. If 
actual emissions cannot be determined using the compliance methods in 
the permit, the actual emissions should be determined using federally 
recognized procedures. If a source commenced operation during the 
preceding calendar year, the source shall estimate its actual emissions 
for the current calendar year. In such a case, fees for the source shall 
be based on the total emissions estimated.
    (3) The initial fee calculation worksheet shall be certified by a 
responsible official consistent with Sec. 71.5(d).
    (f) Deadlines for submission. (1) When EPA withdraws approval of a 
part 70 program and implements a part 71 program, part 71 sources shall 
submit initial fee calculation work sheets and fees in accordance with 
the following schedule:
    (i) Sources having SIC codes between 0100 and 2499 inclusive shall 
complete and submit fee calculation work sheets

[[Page 153]]

and fees within 6 months of the effective date of the part 71 program;
    (ii) Sources having SIC codes between 2500 and 2999 inclusive shall 
complete and submit fee calculation work sheets and fees within 7 months 
of the effective date of the part 71 program;
    (iii) Sources having SIC codes between 3000 and 3999 inclusive shall 
complete and submit fee calculation work sheets and fees within 8 months 
of the effective date of the part 71 program;
    (iv) Sources having SIC codes higher than 3999 shall complete and 
submit fee calculation work sheets and fees within 9 months of the 
effective date of the part 71 program.
    (2) Sources that are required under either paragraph (f)(1) or (g) 
of this section to submit fee calculation work sheets and fees between 
January 1 and March 31 may estimate their emissions for the preceding 
calendar year in lieu of submitting actual emissions data. If the 
source's initial fee calculation work sheet was based on estimated 
emissions for the source's preceding calendar year, then the source 
shall reconcile the fees owed when it submits its annual emissions 
report, as provided in paragraph (h)(3) of this section.
    (3) When EPA implements a part 71 program that does not replace an 
approved part 70 program, part 71 sources shall submit initial fee 
calculation work sheets and initial fees when submitting their permit 
applications in accordance with the requirements of Sec. 71.5(a)(1).
    (4) Notwithstanding the above, sources that become subject to the 
part 71 program after the program's effective date shall submit an 
initial fee calculation work sheet and initial fees when submitting 
their permit applications in accordance with the requirements of 
Sec. 71.5(a)(1).
    (g) Fees for sources that are issued part 71 permits following an 
EPA objection pursuant to Sec. 71.4(e). Fees for such sources shall be 
determined as provided in paragraph (c)(1) of this section. However, 
initial fee calculation work sheets for such sources and full payment of 
the initial fee shall be due three months after the date on which the 
source's part 71 permit is issued.
    (h) Annual emissions reports--(1) Deadlines for submission. Each 
part 71 source shall submit an annual report of its actual emissions for 
the preceding calendar year, a fee calculation work sheet (based on the 
report), and full payment of the annual fee each year on the anniversary 
date of its initial fee calculation work sheet, except that sources that 
were required to submit initial fee calculation work sheets between 
January 1 and March 31 inclusive shall submit subsequent annual 
emissions reports and fee calculation work sheets by April 1.
    (2) Annual emissions reports and fee calculation worksheets shall be 
certified by a responsible official consistent with Sec. 71.5(d).
    (3) For sources that have been issued part 70 or part 71 permits, 
actual emissions shall be computed using methods required by the most 
current permit for determining compliance.
    (4) If the source's initial fee calculation work sheet was based on 
estimated emissions for the source's current or preceding calendar year, 
then the source shall reconcile the fees owed when it submits its annual 
emissions report. The source shall compare the estimated emissions from 
the initial work sheet and the actual emissions from the report and 
shall enter such information on the fee calculation work sheet that 
accompanies the annual report. The source shall recompute the initial 
fee accordingly and shall remit any underpayment with the report and 
work sheet. The EPA shall credit any overpayment to the source's 
account.
    (i) Recordkeeping requirements. Part 71 sources shall retain, in 
accordance with the provisions of Sec. 71.6(a)(3)(ii), all work sheets 
and other materials used to determine fee payments. Records shall be 
retained for 5 years following the year in which the emissions data is 
submitted.
    (j) Fee assessment errors. (1) If EPA determines than a source has 
completed the fee calculation work sheet incorrectly, the permitting 
authority shall bill the applicant for the corrected fee or credit 
overpayments to the source's account.
    (2) Each source notified by the permitting authority of additional 
amounts due shall remit full payment

[[Page 154]]

within 30 days of receipt of an invoice from the permitting authority.
    (3) An owner or operator of a part 71 source who thinks that the 
assessed fee is in error shall provide a written explanation of the 
alleged error to the permitting authority along with the assessed fee. 
The permitting authority shall, within 90 days of receipt of the 
correspondence, review the data to determine whether the assessed fee 
was in error. If an error was made, the overpayment shall be credited to 
the account of the part 71 source.
    (k) Remittance procedure. (1) Each remittance under this section 
shall be in United States currency and shall be paid by money order, 
bank draft, certified check, corporate check, or electronic funds 
transfer payable to the order of the U.S. Environmental Protection 
Agency.
    (2) Each remittance shall be sent to the Environmental Protection 
Agency to the address designated on the fee calculation work sheet or 
the invoice.
    (l) Penalty and interest assessment. (1) The permitting authority 
shall assess interest on payments which are received later than the date 
due. The interest rate shall be the sum of the Federal short-term rate 
determined by the Secretary of the Treasury in accordance with section 
6621(a)(2) of the Internal Revenue Code of 1986, plus 3 percentage 
points.
    (2) The permitting authority shall assess a penalty charge of 50 
percent of the fee amount if the fee is not paid within 30 days of the 
payment due date.
    (3) If a source underpays the fee owed, except as provided in 
paragraph (l)(4) of this section, the permitting authority shall assess 
a penalty charge of 50 percent on the amount by which the fee was 
underpaid. Interest shall also be assessed, computed under paragraph 
(l)(1) of this section, on the amount by which the fee was underpaid.
    (4) If a source bases its initial fee calculation on estimated 
emissions from the source's current or preceding calendar year, as 
provided under paragraph (h)(4) of this section, and underpays its fee 
based on an underestimation of these emissions, the permitting authority 
shall assess a penalty charge of 50 percent on certain of these 
underpayments, according to the following provisions:
    (i) The penalty charge shall be assessed whenever a source's 
underpayment exceeds the underpayment penalty cutoff established in 
paragraph (l)(4)(iii) of this section. The penalty amount shall be 50 
percent of the portion of the underpayment which is in excess of the 
underpayment penalty cutoff.
    (ii) Where a source is subject to a penalty for underpayment 
pursuant to paragraph (l)(4)(i) of this section, interest as computed 
under paragraph (l)(1) of this section shall be assessed on that portion 
of the underpayment which is in excess of the underpayment penalty 
cutoff established in paragraph (l)(4)(iii) of this section.
    (iii) The underpayment penalty cutoff for a source shall be the sum 
of the following:
    (A) 50 percent of the portion of the initial fee amount which was 
calculated from estimated emissions of HAP listed pursuant to 112(b) of 
the Act, and
    (B) 20 percent of the portion of initial fee amount which was 
calculated from estimated emissions of the remainder of the regulated 
air pollutants (for fee calculation).
    (m) Failure to remit fees. The permitting authority shall not issue 
a final permit or permit revision until all fees, interest and penalties 
assessed against a source under this section are paid. The initial 
application of a source shall not be found complete unless the source 
has paid all fees owed.
    (n) Adjustments of fee schedules. (1) The fee schedules provided in 
paragraphs (c) (1) through (4) of this section shall remain in effect 
until December 31, 1996. Thereafter, the fee schedules shall be changed 
annually by the percentage, if any, of any annual increase in the 
Consumer Price Index.
    (2) Part 71 permit program costs and fees will be reviewed by the 
Administrator at least every 2 years, and changes will be made to the 
fee schedule as necessary to reflect permit program costs.
    (3) When changes to a fee schedule are made based on periodic 
reviews by the Administrator, the changes will be published in the 
Federal Register.

[[Page 155]]

    (o) Use of revenue. All fees, penalties, and interest collected 
under this part shall be deposited in a special fund in the U.S. 
Treasury, which thereafter shall be available for appropriation, to 
remain available until expended, subject to appropriation, to carry out 
the activities required by this part.
    (p) The permitting authority may reduce any fee required under 
paragraph (c) of this section for sources that are located in areas for 
which EPA believes the Indian country status is in question and that 
have paid permit fees to a State or local permitting authority that has 
asserted CAA regulatory authority over such areas under color of an EPA-
approved part 70 program. Upon application by the source, the part 71 
fee may be reduced up to an amount that equals the difference between 
the fee required under paragraph (c) and the fee paid to a State or 
local permitting authority. The fee reduction will cease if the area in 
which the source is located is later determined to be Indian country.

[61 FR 34228, July 1, 1996, as amended at 64 FR 8263, Feb. 19, 1999]



Sec. 71.10  Delegation of part 71 program.

    (a) Delegation of part 71 program. The Administrator may delegate, 
in whole or in part, with or without signature authority, the authority 
to administer a part 71 operating permits program to a State, eligible 
Tribe, local, or other non-State agency in accordance with the 
provisions of this section. In order to be delegated authority to 
administer a part 71 program, the delegate agency must submit a legal 
opinion from the Attorney General from the State, or the attorney for 
the State, local, interstate, or eligible Tribal agency that has 
independent legal counsel, stating that the laws of the State, locality, 
interstate compact or Indian Tribe provide adequate authority to carry 
out all aspects of the delegated program. A Delegation of Authority 
Agreement (Agreement) shall set forth the terms and conditions of the 
delegation, shall specify the provisions that the delegate agency shall 
be authorized to implement, and shall be entered into by the 
Administrator and the delegate agency. The Agreement shall become 
effective upon the date that both the Administrator and the delegate 
agency have signed the Agreement. Once delegation becomes effective, the 
delegate agency will be responsible, to the extent specified in the 
Agreement, for administering the part 71 program for the area subject to 
the Agreement.
    (b) Publication of Notice of Delegation of Authority Agreement. The 
Administrator shall publish a notice in the Federal Register informing 
the public of any delegation of a portion of the part 71 program to a 
State, eligible Tribe, or local agency.
    (c) Revision or revocation of Delegation of Authority Agreement. An 
Agreement may be modified, amended, or revoked, in part or in whole, by 
the Administrator after consultation with the delegate agency.
    (d) Transmission of information to the Administrator. (1) When a 
part 71 program has been delegated in accordance with the provisions of 
this section, the delegate agency shall provide to the Administrator a 
copy of each permit application (including any application for permit 
modification), each proposed permit, and each final part 71 permit. The 
applicant may be required by the delegate agency to provide a copy of 
the permit application (including the compliance plan) directly to the 
Administrator. Upon agreement with the Administrator, the delegate 
agency may submit to the Administrator a permit application summary form 
and any relevant portion of the permit application and compliance plan, 
in place of the complete permit application and compliance plan. To the 
extent practicable, the preceding information shall be provided in 
computer-readable format compatible with EPA's national database 
management system.
    (2) The Administrator may waive the requirements of paragraph (d)(1) 
of this section for any category of sources (including any class, type, 
or size within such category) other than major sources by regulation for 
a category of sources nationwide.
    (e) Retention of records. The records for each draft, proposed, and 
final permit, and application for permit renewal or modification shall 
be kept for a period of 5 years by the delegate agency. The delegate 
agency shall also

[[Page 156]]

submit to the Administrator such information as the Administrator may 
reasonably require to ascertain whether the delegate agency is 
implementing, administering, and enforcing the delegated part 71 program 
in compliance with the requirements of the Act and of this part.
    (f) Prohibition of default issuance. (1) For the purposes of Federal 
law and title V of the Act, when a part 71 program has been delegated in 
accordance with the provisions of this section, no part 71 permit 
(including a permit renewal or modification) will be issued until 
affected States have had an opportunity to review the draft permit as 
required pursuant to Sec. 71.8(a) and EPA has had an opportunity to 
review the proposed permit.
    (2) To receive delegation of signature authority, the legal opinion 
submitted by the delegate agency pursuant to paragraph (a) of this 
section shall certify that no applicable provision of State, local or 
Tribal law requires that a part 71 permit or renewal be issued after a 
certain time if the delegate agency has failed to take action on the 
application (or includes any other similar provision providing for 
default issuance of a permit), unless EPA has waived such review for EPA 
and affected States.
    (g) EPA objection. (1) The Administrator will object to the issuance 
of any proposed permit determined by the Administrator not to be in 
compliance with applicable requirements or requirements under this part. 
No permit for which an application must be transmitted to the 
Administrator under paragraph (d)(1) of this section shall be issued if 
the Administrator objects to its issuance in writing within 45 days of 
receipt of the proposed permit and all necessary supporting information. 
When a part 71 program has been delegated in accordance with the 
provisions of this section, failure of the delegate agency to do any of 
the following shall constitute grounds for an objection by the 
Administrator:
    (i) Comply with paragraph (d) of this section;
    (ii) Submit any information necessary to review adequately the 
proposed permit;
    (iii) Process the permit under the procedures required by Secs. 71.7 
and 71.11; or
    (iv) Comply with the requirements of Sec. 71.8(a).
    (2) Any EPA objection under paragraph (g)(1) of this section shall 
include a statement of the Administrator's reason(s) for objection and a 
description of the terms and conditions that the permit must include to 
respond to the objection. The Administrator will provide the permit 
applicant a copy of the objection.
    (3) If the delegate agency fails, within 90 days after the date of 
an objection under paragraph (g)(1) of this section, to revise and 
submit to the Administrator the proposed permit in response to the 
objection, the Administrator shall issue or deny the permit in 
accordance with the requirements of this part.
    (h) Public petitions. In the case of a delegated program, any 
interested person may petition the Administrator to reopen a permit for 
cause as provided in Sec. 71.11(n).
    (i) Appeal of permits. When a part 71 program has been delegated 
with signature authority in accordance with the provisions of this 
section, any person or affected State that submitted recommendations or 
comments on the draft permit, or that participated in the public hearing 
process may petition the Environmental Appeals Board in accordance with 
Sec. 71.11(l)(1).
    (j) Nondelegable conditions. (1) The Administrator's authority to 
object to the issuance of a part 71 permit cannot be delegated to an 
agency not within EPA.
    (2) The Administrator's authority to act upon petitions submitted 
pursuant to paragraph (h) of this section cannot be delegated to an 
agency not within EPA.



Sec. 71.11  Administrative record, public participation, and administrative review.

    The provisions of this section shall apply to all permit 
proceedings. Notwithstanding the preceding sentence, paragraphs (a) 
through (h) and paragraph (j) of this section shall not apply to permit 
revisions qualifying as minor permit modifications or administrative

[[Page 157]]

amendments, except that public notice of the granting of appeals of such 
actions under paragraph (l)(3) of this section shall be provided 
pursuant to paragraph (d)(1)(i)(E) of this section, and except that 
affected States shall be provided notice of minor permit modifications 
under Sec. 71.8 as pursuant to paragraph (d)(3)(i)(B) of this section.
    (a) Draft permits. (1) The permitting authority shall promptly 
provide notice to the applicant of whether the application is complete 
pursuant to Sec. 71.7(a)(3).
    (2) Once an application for an initial permit, permit revision, or 
permit renewal is complete, the permitting authority shall decide 
whether to prepare a draft permit or to deny the application.
    (3) If the permitting authority initially decides to deny the permit 
application, it shall issue a notice of intent to deny. A notice of 
intent to deny the permit application is a type of draft permit and 
follows the same procedures as any draft permit prepared under this 
section. If the permitting authority's final decision is that the 
initial decision to deny the permit application was incorrect, it shall 
withdraw the notice of intent to deny and proceed to prepare a draft 
permit under paragraph (a)(4) of this section.
    (4) If the permitting authority decides to prepare a draft permit, 
it shall prepare a draft permit that contains the permit conditions 
required under Sec. 71.6.
    (5) All draft permits prepared under this section shall be publicly 
noticed and made available for public comment.
    (b) Statement of basis. The permitting authority shall prepare a 
statement of basis for every draft permit subject to this section. The 
statement of basis shall briefly describe the derivation of the 
conditions of the draft permit and the reasons for them or, in the case 
of notices of intent to deny or terminate, reasons supporting the 
initial decision. The statement of basis shall be sent to the applicant 
and, on request, to any other person.
    (c) Administrative record for draft permits. (1) The provisions of a 
draft permit shall be based on the administrative record defined in this 
section.
    (2) For preparing a draft permit, the administrative record shall 
consist of:
    (i) The application and any supporting data furnished by the 
applicant;
    (ii) The draft permit or notice of intent to deny the application or 
to terminate the permit;
    (iii) The statement of basis;
    (iv) All documents cited in the statement of basis; and
    (v) Other documents contained in the supporting file for the draft 
permit.
    (3) Material readily available at the permitting authority or 
published material that is generally available, and that is included in 
the administrative record under paragraphs (b) and (c) of this section 
need not be physically included with the rest of the record as long as 
it is specifically referred to in the statement of basis.
    (d) Public notice of permit actions and public comment period--(1) 
Scope. (i) The permitting authority shall give public notice that the 
following actions have occurred:
    (A) A permit application has been initially denied under paragraph 
(a) of this section;
    (B) A draft permit has been prepared under paragraph (a) of this 
section;
    (C) A hearing has been scheduled under paragraph (f) of this 
section; and
    (D) A public comment period has been reopened under paragraph (h) of 
this section;
    (E) An appeal has been granted under paragraph (l)(3) of this 
section.
    (ii) No public notice is required when a request for permit 
revision, revocation and reissuance, or termination has been denied 
under paragraph (a)(2) of this section. Written notice of that denial 
shall be given to the requester and to the permittee.
    (iii) Public notices may describe more than one permit or permit 
action.
    (2) Timing. (i) Public notice of the preparation of a draft permit, 
(including a notice of intent to deny a permit application), shall allow 
at least 30 days for public comment.
    (ii) Public notice of a public hearing shall be given at least 30 
days before the hearing. Public notice of the hearing may be given at 
the same time as public notice of the draft permit and the two notices 
may be combined.

[[Page 158]]

    (iii) The permitting authority shall provide such notice and 
opportunity for participation to affected States on or before the time 
that the permitting authority provides this notice to the public.
    (3) Methods. Public notice of activities described in paragraph 
(d)(1)(i) of this section shall be given by the following methods:
    (i) By mailing a copy of a notice to the following persons (any 
person otherwise entitled to receive notice under paragraph (d) of this 
section may waive his or her rights to receive notice for any permit):
    (A) The applicant;
    (B) Affected States;
    (C) Air pollution control agencies of affected States, Tribal and 
local air pollution control agencies which have jurisdiction over the 
area in which the source is located, the chief executives of the city 
and county where the source is located, any comprehensive regional land 
use planning agency and any State or Federal Land Manager whose lands 
may be affected by emissions from the source;
    (D) The local emergency planning committee having jurisdiction over 
the area where the source is located, and State agencies having 
authority under State law with respect to the operation of such source;
    (E) Persons on a mailing list developed by:
    (1) Including those who request in writing to be on the list;
    (2) Soliciting persons for ``area lists'' from participants in past 
permit proceedings in that area; and
    (3) Notifying the public of the opportunity to be put on the mailing 
list through periodic publication in the public press and, where deemed 
appropriate by the permitting authority, in such publications as 
regional and State funded newsletters, environmental bulletins, or State 
law journals. The permitting authority may update the mailing list from 
time to time by requesting written indication of continued interest from 
those listed. The permitting authority may delete from the list the name 
of any person who fails to respond to such a request.
    (ii) By publication of a notice in a daily or weekly newspaper of 
general circulation within the area affected by the source.
    (iii) By any other method reasonably calculated to give actual 
notice of the action in question to the persons potentially affected by 
it, including press releases or any other forum or medium to elicit 
public participation.
    (4) Contents--(i) All public notices. All public notices issued 
under this subpart shall contain the following minimum information:
    (A) The name and address of the permitting authority processing the 
permit;
    (B) The name and address of the permittee or permit applicant and, 
if different, of the facility regulated by the permit, except in the 
case of draft general permits;
    (C) The activity or activities involved in the permit action;
    (D) The emissions change involved in any permit revision;
    (E) The name, address, and telephone number of a person whom 
interested persons may contact for instructions on how to obtain 
additional information, such as a copy of the draft permit, the 
statement of basis, the application, relevant supporting materials, and 
other materials available to the permitting authority that are relevant 
to the permitting decision.
    (F) A brief description of the comment procedures required by 
paragraph (e) of this section, a statement of procedures to request a 
hearing (unless a hearing has already been scheduled) and other 
procedures by which the public may participate in the final permit 
decision;
    (G) The location of the administrative record, the times at which 
the record will be open for public inspection, and a statement that all 
data submitted by the applicant are available as part of the 
administrative record; and
    (H) Any additional information considered necessary or proper.
    (ii) Public notices for hearings. Public notice of a hearing may be 
combined with other notices required under paragraph (d)(1) of this 
section. Any public notice of a hearing under paragraph (f) of this 
section shall contain the following information:

[[Page 159]]

    (A) The information described in paragraph (d)(4)(i) of this 
section;
    (B) Reference to the date of previous public notices relating to the 
permit;
    (C) The date, time, and place of the hearing; and
    (D) A brief description of the nature and purpose of the hearing, 
including the applicable rules and the comment procedures.
    (5) All persons identified in paragraphs (d)(3)(i) (A), (B), (C), 
(D), and (E) of this section shall be mailed a copy of the public 
hearing notice described in paragraph (d)(4)(ii) of this section.
    (e) Public comments and requests for public hearings. During the 
public comment period provided under paragraph (a) of this section, any 
interested person may submit written comments on the draft permit and 
may request a public hearing, if no hearing has already been scheduled. 
A request for a public hearing shall be in writing and shall state the 
nature of the issues proposed to be raised at the hearing. All comments 
shall be considered in making the final decision and shall be answered 
as provided in paragraph (j) of this section. The permitting authority 
will keep a record of the commenters and of the issues raised during the 
public participation process, and such records shall be available to the 
public.
    (f) Public hearings. (1) The permitting authority shall hold a 
hearing whenever it finds, on the basis of requests, a significant 
degree of public interest in a draft permit.
    (2) The permitting authority may also hold a public hearing at its 
discretion, whenever, for instance, such a hearing might clarify one or 
more issues involved in the permit decision.
    (3) Public notice of the hearing shall be given as specified in 
paragraph (d) of this section.
    (4) Whenever a public hearing is held, the permitting authority 
shall designate a Presiding Officer for the hearing who shall be 
responsible for its scheduling and orderly conduct.
    (5) Any person may submit oral or written statements and data 
concerning the draft permit. Reasonable limits may be set upon the time 
allowed for oral statements, and the submission of statements in writing 
may be required. The public comment period under paragraph (d) of this 
section shall be automatically extended to the close of any public 
hearing under this section. The hearing officer may also extend the 
comment period by so stating at the hearing.
    (6) A tape recording or written transcript of the hearing shall be 
made available to the public.
    (g) Obligation to raise issues and provide information during the 
public comment period. All persons, including applicants, who believe 
any condition of a draft permit is inappropriate or that the permitting 
authority's initial decision to deny an application, terminate a permit, 
or prepare a draft permit is inappropriate, must raise all reasonably 
ascertainable issues and submit all reasonably ascertainable arguments 
supporting their position by the close of the public comment period 
(including any public hearing). Any supporting materials that are 
submitted shall be included in full and may not be incorporated by 
reference, unless they are already part of the administrative record in 
the same proceeding, or consist of State or Federal statutes and 
regulations, EPA documents of general applicability, or other generally 
available reference materials. In the case of a program delegated 
pursuant to Sec. 71.10, if requested by the Administrator, the 
permitting authority shall make supporting materials not already 
included in the administrative record available to EPA. The permitting 
authority may direct commenters to provide such materials directly to 
EPA. A comment period longer than 30 days may be necessary to give 
commenters a reasonable opportunity to comply with the requirements of 
this section. Additional time shall be granted to the extent that a 
commenter who requests additional time demonstrates the need for such 
time.
    (h) Reopening of the public comment period. (1) The permitting 
authority may order the public comment period reopened if the procedures 
of paragraph (h) of this section could expedite the decision making 
process. When the public comment period is reopened under paragraph (h) 
of this section, all persons, including applicants, who believe any 
condition of a draft permit is inappropriate or that the permitting

[[Page 160]]

authority's initial decision to deny an application, terminate a permit, 
or prepare a draft permit is inappropriate, must submit all reasonably 
available factual grounds supporting their position, including all 
supporting material, by a date not less than 30 days after public notice 
under paragraph (h)(2) of this section, set by the permitting authority. 
Thereafter, any person may file a written response to the material filed 
by any other person, by a date, not less than 20 days after the date set 
for filing of the material, set by the permitting authority.
    (2) Public notice of any comment period under this paragraph (h) 
shall identify the issues to which the requirements of paragraphs (h)(1) 
through (4) of this section shall apply.
    (3) On its own motion or on the request of any person, the 
permitting authority may direct that the requirements of paragraph 
(h)(1) of this section shall apply during the initial comment period 
where it reasonably appears that issuance of the permit will be 
contested and that applying the requirements of paragraph (h)(1) of this 
section will substantially expedite the decision making process. The 
notice of the draft permit shall state whenever this has been done.
    (4) A comment period of longer than 30 days may be necessary in 
complicated proceedings to give commenters a reasonable opportunity to 
comply with the requirements of this section. Commenters may request 
longer comment periods and they may be granted to the extent the 
permitting authority finds it necessary.
    (5) If any data, information, or arguments submitted during the 
public comment period appear to raise substantial new questions 
concerning a permit, the permitting authority may take one or more of 
the following actions:
    (i) Prepare a new draft permit, appropriately modified;
    (ii) Prepare a revised statement of basis, and reopen the comment 
period; or
    (iii) Reopen or extend the comment period to give interested persons 
an opportunity to comment on the information or arguments submitted.
    (6) Comments filed during the reopened comment period shall be 
limited to the substantial new questions that caused the reopening. The 
public notice shall define the scope of the reopening.
    (7) Public notice of any of the above actions shall be issued under 
paragraph (d) of this section.
    (i) Issuance and effective date of permit. (1) After the close of 
the public comment period on a draft permit, the permitting authority 
shall issue a final permit decision. The permitting authority shall 
notify the applicant and each person who has submitted written comments 
or requested notice of the final permit decision. This notice shall 
include reference to the procedures for appealing a decision on a 
permit. For the purposes of this section, a final permit decision means 
a final decision to issue, deny, revise, revoke and reissue, renew, or 
terminate a permit.
    (2) A final permit decision shall become effective 30 days after the 
service of notice of the decision, unless:
    (i) A later effective date is specified in the decision;
    (ii) Review is requested under paragraph (l) of this section (in 
which case the specific terms and conditions of the permit which are the 
subject of the request for review shall be stayed); or
    (iii) No comments requested a change in the draft permit, in which 
case the permit shall become effective immediately upon issuance.
    (j) Response to comments. (1) At the time that any final permit 
decision is issued, the permitting authority shall issue a response to 
comments. This response shall:
    (i) Specify which provisions, if any, of the draft permit have been 
changed in the final permit decision, and the reasons for the change; 
and
    (ii) Briefly describe and respond to all significant comments on the 
draft permit raised during the public comment period, or during any 
hearing.
    (2) Any documents cited in the response to comments shall be 
included in the administrative record for the final permit decision as 
defined in paragraph (k) of this section. If new points are raised or 
new material supplied during the public comment period, the permitting 
authority may

[[Page 161]]

document its response to those matters by adding new materials to the 
administrative record.
    (3) The response to comments shall be available to the public.
    (4) The permitting authority will notify in writing any affected 
State of any refusal to accept recommendations for the permit that the 
State submitted during the public or affected State review period.
    (k) Administrative record for final permits. (1) The permitting 
authority shall base final permit decisions on the administrative record 
defined in paragraph (k)(2) of this section.
    (2) The administrative record for any final permit shall consist of:
    (i) All comments received during any public comment period, 
including any extension or reopening;
    (ii) The tape or transcript of any hearing(s) held;
    (iii) Any written material submitted at such a hearing;
    (iv) The response to comments and any new materials placed in the 
record;
    (v) Other documents contained in the supporting file for the permit;
    (vi) The final permit;
    (vii) The application and any supporting data furnished by the 
applicant;
    (viii) The draft permit or notice of intent to deny the application 
or to terminate the permit;
    (ix) The statement of basis for the draft permit;
    (x) All documents cited in the statement of basis;
    (xi) Other documents contained in the supporting file for the draft 
permit.
    (3) The additional documents required under paragraph (k)(2) of this 
section should be added to the record as soon as possible after their 
receipt or publication by the permitting authority. The record shall be 
complete on the date the final permit is issued.
    (4) Material readily available at the permitting authority, or 
published materials which are generally available and which are included 
in the administrative record under the standards of paragraph (j) of 
this section need not be physically included in the same file as the 
rest of the record as long as it is specifically referred to in the 
statement of basis or in the response to comments.
    (l) Appeal of permits. (1) Within 30 days after a final permit 
decision has been issued, any person who filed comments on the draft 
permit or participated in the public hearing may petition the 
Environmental Appeals Board to review any condition of the permit 
decision. Any person who failed to file comments or failed to 
participate in the public hearing on the draft permit may petition for 
administrative review only to the extent of the changes from the draft 
to the final permit decision or other new grounds that were not 
reasonably foreseeable during the public comment period on the draft 
permit. The 30-day period within which a person may request review under 
this section begins with the service of notice of the permitting 
authority's action unless a later date is specified in that notice, 
except that the 30-day period within which a person may request review 
of a minor permit modification or administrative amendment begins upon 
the effective date of such action to revise the permit. The petition 
shall include a statement of the reasons supporting that review, 
including a demonstration that any issues raised were raised during the 
public comment period (including any public hearing) to the extent 
required by these regulations unless the petitioner demonstrates that it 
was impracticable to raise such objections within such period or unless 
the grounds for such objection arose after such period, and, when 
appropriate, a showing that the condition in question is based on:
    (i) A finding of fact or conclusion of law which is clearly 
erroneous; or
    (ii) An exercise of discretion or an important policy consideration 
which the Environmental Appeals Board should, in its discretion, review.
    (2) The Board may also decide on its initiative to review any 
condition of any permit issued under this part. The Board must act under 
paragraph (l) of this section within 30 days of the service date of 
notice of the permitting authority's action.
    (3) Within a reasonable time following the filing of the petition 
for review, the Board shall issue an order either granting or denying 
the petition

[[Page 162]]

for review. To the extent review is denied, the conditions of the final 
permit decision become final agency action. Public notice of any grant 
of review by the Board under paragraph (l)(1) or (2) of this section 
shall be given as provided in paragraph (d) of this section. Public 
notice shall set forth a briefing schedule for the appeal and shall 
state that any interested person may file an amicus brief. Notice of 
denial of review shall be sent only to the permit applicant and to the 
person(s) requesting review.
    (4) A petition to the Board under paragraph (l)(1) of this section 
is, under 42 U.S.C. 307(b), a prerequisite to seeking judicial review of 
the final agency action.
    (5) For purposes of judicial review, final agency action occurs when 
a final permit is issued or denied by the permitting authority and 
agency review procedures are exhausted. A final permit decision shall be 
issued by the permitting authority:
    (i) When the Board issues notice to the parties that review has been 
denied;
    (ii) When the Board issues a decision on the merits of the appeal 
and the decision does not include a remand of the proceedings; or
    (iii) Upon the completion of remand proceedings if the proceedings 
are remanded, unless the Board's remand order specifically provides that 
appeal of the remand decision will be required to exhaust administrative 
remedies.
    (6) Motions to reconsider a final order shall be filed within ten 
(10) days after service of the final order. Every such motion must set 
forth the matters claimed to have been erroneously decided and the 
nature of the alleged errors. Motions for reconsideration under this 
provision shall be directed to, and decided by, the Board. Motions for 
reconsideration directed to the Administrator, rather than to the Board, 
will not be considered, except in cases that the Board has referred to 
the Administrator and in which the Administrator has issued the final 
order. A motion for reconsideration shall not stay the effective date of 
the final order unless specifically so ordered by the Board.
    (7) Notice of any final agency action regarding a Federal operating 
permit shall promptly be published in the Federal Register.
    (m) Computation of time. (1) Any time period scheduled to begin on 
the occurrence of an act or event shall begin on the day after the act 
or event.
    (2) Any time period scheduled to begin before the occurrence of an 
act or event shall be computed so that the period ends on the day before 
the act or event, except as otherwise provided.
    (3) If the final day of any time period falls on a weekend or legal 
holiday, the time period shall be extended to the next working day.
    (4) Whenever a party or interested person has the right or is 
required to act within a prescribed period after the service of notice 
or other paper upon him or her by mail, 3 days shall be added to the 
prescribed time.
    (n) Public petitions to the Permitting Authority. (1) Any interested 
person (including the permittee) may petition the permitting authority 
to reopen a permit for cause, and the permitting authority may commence 
a permit reopening on its own initiative. However, the permitting 
authority shall not revise, revoke and reissue, or terminate a permit 
except for the reasons specified in Sec. 71.7(f)(1) or 
Sec. 71.6(a)(6)(i). All requests shall be in writing and shall contain 
facts or reasons supporting the request.
    (2) If the permitting authority decides the request is not 
justified, it shall send the requester a brief written response giving a 
reason for the decision. Denials of requests for revision, revocation 
and reissuance, or termination are not subject to public notice, 
comment, or hearings. Denials by the permitting authority may be 
informally appealed to the Environmental Appeals Board by a letter 
briefly setting forth the relevant facts. The Board may direct the 
permitting authority to begin revision, revocation and reissuance, or 
termination proceedings under paragraph (n)(3) of this section. The 
appeal shall be considered denied if the Board takes no action within 60 
days after receiving it. This informal appeal is, under 42 U.S.C. 307,

[[Page 163]]

a prerequisite to seeking judicial review of EPA action in denying a 
request for revision, revocation and reissuance, or termination.
    (3) If the permitting authority decides the request is justified and 
that cause exists to revise, revoke and reissue or terminate a permit, 
it shall initiate proceedings to reopen the permit pursuant to 
Sec. 71.7(f) or Sec. 71.7(g).

[61 FR 34228, July 1, 1996, as amended at 64 FR 8263, Feb. 19, 1999]



Sec. 71.12  Prohibited acts.

    Violations of any applicable requirement; any permit term or 
condition; any fee or filing requirement; any duty to allow or carry out 
inspection, entry, or monitoring activities; or any regulation or order 
issued by the permitting authority pursuant to this part are violations 
of the Act and are subject to full Federal enforcement authorities 
available under the Act.



             Subpart B--Permits for Early Reductions Sources



Sec. 71.21  Program overview.

    (a) The regulations in this subpart provide for a limited, Federal, 
title V, permit program to establish alternative emission limitations 
for early reductions sources that have demonstrated qualifying 
reductions of hazardous air pollutants under section 112(i)(5) of the 
Act. A permit issued under this subpart which establishes such an 
enforceable alternative emission limitation shall grant all emissions 
units in the early reductions source a six-year extension from otherwise 
applicable dates of compliance for standards promulgated under section 
112(d) of the Act.
    (b) After approval of a State's comprehensive permit program 
pursuant to title V of the Act, the Administrator may continue to issue 
specialty permits under this subpart only under the following 
circumstances:
    (1) The early reductions source filed a permit application under 
this subpart before the State obtained approval of a comprehensive title 
V permit program but the permit had not been finally issued at the time 
of State program approval; or
    (2) The early reductions source will be required to file an early 
reductions permit application under Sec. 71.24(b) before a comprehensive 
permit application is required by the State under the approved program.
    (c) When a circumstance described in paragraph (b)(1) or (b)(2) of 
this section occurs, the primary consideration in the Administrator's 
decision to issue a specialty permit is the degree of delay anticipated 
by deferring to the State for permit issuance.
    (d) A Permit issued to an early reductions source under this subpart 
shall have a term not to exceed five years. Such a specialty permit 
shall be incorporated into a comprehensive title V permit subsequently 
issued to the facility containing the early reductions source, without 
reopening or revision of the specialty permit except as provided in 
Sec. 71.26(e).
    (e) Issuance of a specialty permit under this subpart does not 
relieve a source from an obligation to file a timely and complete 
comprehensive permit application as required under an approved 
comprehensive title V permit program.
    (f) Delegation to other permitting authorities. (1) The 
Administrator may delegate to another permitting authority the 
responsibility to implement this permit program. Under such a 
delegation, the Administrator reserves the right to issue a final permit 
to early reductions sources that filed permit applications with the 
Administrator prior to the permitting authority obtaining delegation.
    (2) Under any delegation, the Administrator will require that the 
permitting authority have enforcement authority substantially equivalent 
to that specified in Sec. 70.11 of this chapter.
    (3) Upon any delegation, administrative appeals of permit decisions 
issuing pursuant to the delegated program shall continue to be subject 
to the requirements of Sec. 71.27(l).



Sec. 71.22  Definitions.

    All terms used in this subpart not defined in this section are given 
the same meaning as in the Act or in subpart D of part 63 of this 
chapter.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401, et seq.

[[Page 164]]

    Actual emissions means the actual rate of emissions of a pollutant, 
but does not include excess emissions from a malfunction, or startups 
and shutdowns associated with a malfunction. Actual emissions shall be 
calculated using the early reductions source's actual operating rates, 
and types of materials processed, stored, or combusted during the 
selected time period.
    Affected States are all States:
    (1) Whose air quality may be affected and that are contiguous to the 
State in which a permit, permit modification or permit renewal is being 
proposed; or
    (2) That are within 50 miles of the permitted source.
    Comprehensive title V permit program means a program approved by the 
Administrator under part 70 of this chapter or a program promulgated for 
EPA permit issuance under title V that encompasses all applicable 
requirements of the Clean Air Act.
    Draft permit means the version of a permit for which the 
Administrator offers public participation under Sec. 71.27.
    Early reductions source means a source of hazardous air pollutants 
as defined pursuant to Sec. 63.73 of this chapter.
    Emissions unit means any part or activity of a stationary source 
that emits or has the potential to emit any hazardous air pollutant.
    Enforceable commitment means a document drafted pursuant to section 
112(i)(5)(B) of the Act and signed by a responsible company official 
which commits a company to achieving before January 1, 1994 sufficient 
reductions in hazardous air pollutants from a designated early 
reductions source to qualify such source for a compliance extension 
under section 112(i)(5)(A) of the Act.
    EPA or Administrator means the Administrator of the EPA or his or 
her designee.
    Final permit means the version of a permit issued by the 
Administrator under this subpart that has completed all review 
procedures required by Sec. 71.27.
    Hazardous air pollutant means any air pollutant listed pursuant to 
section 112(b) of the Act.
    Permit means any permit covering an existing early reductions source 
that is issued, amended, or revised pursuant to this subpart.
    Permit revision means any permit modification or administrative 
permit amendment.
    Permitting authority means either of the following:
    (1) The Administrator, in the case of EPA-implemented programs; or
    (2) The State air pollution control agency, local agency, other 
State agency, or other agency authorized by the Administrator to carry 
out a permit program under this subpart.
    Post-reduction year means the one year period beginning with the 
date early reductions have to be achieved to qualify for a compliance 
extension under subpart D of part 63 of this chapter, unless a source 
has established with the Administrator an earlier one year period as the 
post-reduction year. For most sources, the post-reduction year would 
begin with the date of proposal of the first section 112(d) standard 
applicable to the early reductions source; however, for sources that 
have made enforceable commitments, it would be the year from January 1, 
1994 through December 31, 1994.
    Responsible official means one of the following:
    (1) For a corporation: a president, secretary, treasurer, or vice-
president of the corporation in charge of a principal business function, 
or any other person who performs similar policy or decision-making 
functions for the corporation, or a duly authorized representative of 
such person if the representative is responsible for the overall 
operation of one or more manufacturing, production, or operating 
facilities applying for or subject to a permit and either:
    (i) The facilities employ more than 250 persons or have gross annual 
sales or expenditures exceeding $25 million (in second quarter 1980 
dollars); or
    (ii) The delegation of authority to such representative is approved 
in advance by the permitting authority;
    (2) For a partnership or sole proprietorship: a general partner or 
the proprietor, respectively; or
    (3) For a municipality, State, Federal, or other public agency: 
Either a principal executive officer or ranking elected official. For 
the purposes of

[[Page 165]]

this part, a principal executive officer of a Federal agency includes 
the chief executive officer having responsibility for the overall 
operations of a principal geographic unit of the agency (e.g., a 
Regional Administrator of EPA).
    Section 112(d) standard means an emission standard issued by the 
Administrator under section 112(d) of the Clean Air Act, as amended.
    State means any non-Federal permitting authority, including any 
local agency, interstate association, or statewide program. The term 
``State'' also includes the District of Columbia, the Commonwealth of 
Puerto Rico, the Virgin Islands, Guam, American Samoa, and the 
Commonwealth of the Northern Mariana Islands. Where such meaning is 
clear from the context, ``State'' shall have its conventional meaning.



Sec. 71.23  Applicability.

    (a) Sources covered. The provisions of this subpart apply to an 
owner or operator of an existing source who is seeking a compliance 
extension under section 112(i)(5) of the Act and who, pursuant to part 
63, subpart D, of this chapter, is required to file a permit application 
for the extension prior to the date a comprehensive title V permit 
program is approved for the State in which the existing source is 
located.
    (b) Covered emissions. All hazardous air pollutant emissions from 
the early reductions source shall be included in permit applications and 
part 71 permits issued under this subpart.



Sec. 71.24  Permit applications.

    (a) Where to file. To apply for a compliance extension and an 
alternative emission limitation under this subpart, the owner or 
operator of an early reductions source shall file a complete permit 
application with the appropriate EPA Regional Office. The owner or 
operator shall also send a copy of the application to the appropriate 
State agency; to the EPA Emission Standards Division, Mail Drop 13, 
Research Triangle Park, North Carolina, 27711 (attention: Early 
Reductions Officer); and to the EPA Office of Enforcement, EN-341W, 401 
M Street, SW., Washington, DC 20460 (attention: Early Reductions 
Officer).
    (b) Deadlines. (1) Permit applications under this subpart for early 
reductions sources not subject to enforceable commitments shall be 
submitted by the later of the following dates:
    (i) 120 days after proposal of an otherwise applicable standard 
issued under section 112(d) of the Act; or
    (ii) March 21, 1995.
    (2) Permit applications for early reductions sources subject to 
enforceable commitments established pursuant to Sec. 63.75 of this 
chapter shall be filed no later than April 30, 1994.
    (3) If the post-reduction year does not end at least one month 
before the permit application deadline under paragraphs (b)(1) or (b)(2) 
of this section, the source may file the post-reduction emissions 
information required under paragraph (e)(2) of this section later as a 
supplement to the original permit application. In such cases, this 
supplemental information shall be submitted to the Administrator no 
later than one month after the end of the post-reduction year.
    (4) If a source test will be the supporting basis for establishing 
post-reduction emissions for one or more emissions units in the early 
reductions source, the test results shall be submitted by the deadline 
for submittal of a permit application under this section.
    (c) Complete application. To be found complete, an application must 
provide all information required pursuant to paragraph (e) of this 
section, except for the information on post-reduction emissions required 
under paragraph (e)(2) of this section. Applications for permit revision 
need supply the information required under paragraph (e) of this section 
only if it is related to the proposed change. Information submitted 
under paragraph (e) of this section must be sufficient to allow the 
Administrator to determine if the early reductions source meets the 
applicable requirements of subpart D of part 63 of this chapter. Unless 
the Administrator determines that an application is not complete within 
45 days of receipt of the application, such application shall be deemed 
to be complete, except as otherwise provided in Sec. 71.26(a)(3). If, 
while processing an application that has been determined or deemed to be

[[Page 166]]

complete, the Administrator determines that additional information is 
necessary to evaluate or take final action on that application, the 
Administrator may request such information in writing and set a 
reasonable deadline for a response.
    (d) Duty to supplement or correct application. Any applicant who 
fails to submit any relevant facts or who has submitted incorrect 
information in a permit application shall, upon becoming aware of such 
failure or incorrect submittal, promptly submit such supplementary facts 
or corrected information. In addition, an applicant shall provide 
additional or revised information as necessary to address any 
requirements of subpart D of part 63 of this chapter (Compliance 
Extensions for Early Reductions) or of this subpart that become 
applicable to the early reductions source after the date it filed a 
complete application but prior to release of a draft permit.
    (e) Required information. The following elements are required 
information for permit applications under this subpart:
    (1) Identifying information, including company name, telephone 
number, and address (or plant name, telephone number, and address if 
different from the company name); owner's name, telephone number, and 
agent; and telephone number(s) and name(s) of plant site manager/
contact;
    (2) All information required in Sec. 63.74 of this chapter, 
including that needed to describe the early reductions source, its base 
year and post-reduction emissions, and supporting basis for the 
emissions;
    (3) A statement of the proposed alternative emission limitation for 
hazardous air pollutants from the early reductions source on an annual 
basis, reflecting the emission reductions required to qualify the early 
reductions source for a compliance extension under subpart D of part 63 
of this chapter;
    (4) Additional emission limiting requirements, such as work practice 
standards or limitations on operation, which are necessary to assure 
proper operation of installed control equipment and compliance with the 
annual alternative emission limitation for the early reductions source;
    (5) Information necessary to define alternative operating scenarios 
for the early reductions source or permit terms and conditions for 
trading hazardous air pollutant increases and decreases under 
Sec. 71.25(a)(10), including any associated permit terms and conditions 
needed to assure compliance with the alternative emission limitation 
under the alternative operating scenarios or pollutant trading; and
    (6) Statements related to compliance meeting the following criteria:
    (i) A statement of methods proposed to determine compliance by the 
early reductions source with the proposed alternative emission 
limitation, including a description of monitoring devices and 
activities, emission calculation procedures, recordkeeping, and 
reporting requirements and test methods; and
    (ii) A schedule for submission of compliance certifications during 
the permit term, to be submitted no less frequently than annually.
    (f) Any application form, report, or compliance certification 
submitted pursuant to these regulations shall contain certification by a 
responsible official of truth, accuracy, and completeness. This 
certification and any other certification required under this part shall 
state that, based on information and belief formed after reasonable 
inquiry, the statements and information in the document are true, 
accurate, and complete.



Sec. 71.25  Permit content.

    (a) Standard permit requirements. Each permit issued under this 
subpart shall include the following elements:
    (1) Alternative emission limitation. An annual alternative emission 
limitation for hazardous air pollutants from the early reductions source 
reflecting the 90 percent reduction (95 percent for hazardous air 
pollutants which are particulate matter) which qualified the early 
reductions source for a compliance extension under subpart D of part 63 
of this chapter.
    (2) Additional limitations. Additional emission limiting 
requirements, such as limitations on operation, work practice standards, 
and any other emission

[[Page 167]]

limiting requirements for the early reductions source necessary to 
assure compliance with the alternative emission limitation.
    (3) Monitoring requirements. Each permit shall contain the following 
monitoring requirements:
    (i) All emissions monitoring and analysis procedures or test methods 
necessary to assure compliance with the emission limitations established 
under paragraphs (a)(1) and (a)(2) of this section. Such monitoring or 
testing shall be consistent with the demonstration made pursuant to 
Sec. 63.74 of this chapter and any procedures and methods promulgated 
pursuant to sections 114(a)(3) or 504(b) of the Act;
    (ii) Periodic monitoring or testing sufficient to yield reliable 
data from the relevant time period that are representative of the early 
reductions source's compliance with the permit. Such monitoring 
requirements shall assure use of terms, test methods, units, averaging 
periods, and other statistical conventions consistent with the 
demonstration made pursuant to Sec. 63.74 of this chapter. Recordkeeping 
provisions may be sufficient to meet the requirements of this paragraph 
(a)(3)(ii); and
    (iii) As necessary, requirements concerning the use, maintenance, 
and, where appropriate, installation of monitoring equipment or methods.
    (4) Recordkeeping requirements. The permit shall contain 
recordkeeping requirements including the following, as applicable:
    (i) Records of required monitoring information that include the 
following:
    (A) The date, place as defined in the permit, and time of sampling 
or measurements;
    (B) The date(s) analyses were performed;
    (C) The company or entity that performed the analyses;
    (D) The analytical techniques or methods used;
    (E) The results of such analyses; and
    (F) The operating conditions as existing at the time of sampling or 
measurement;
    (ii) Retention of records of all required monitoring data and 
support information for a period of at least 5 years from the date of 
the monitoring sample, measurement, report, or application. Support 
information includes all calibration and maintenance records and all 
original strip-chart recordings for continuous monitoring 
instrumentation, and copies of all reports required by the permit.
    (5) Reporting requirements. The permit shall require the following:
    (i) Submittal of reports of all required monitoring at least every 6 
months. All instances of deviations from permit requirements must be 
clearly identified in such reports; and
    (ii) Prompt reporting of any deviations from permit requirements, 
including those attributable to upset conditions as defined in the 
permit. Such reports shall include the probable cause of such deviations 
and any corrective actions or preventive measures taken. The 
Administrator will define ``prompt'' in the permit for each situation 
and will do so in relation to the degree and type of deviation likely to 
occur.
    (6) A severability clause to ensure the continued validity of the 
various permit requirements in the event of a challenge to any portions 
of the permit.
    (7) Provisions stating the following:
    (i) The permittee must comply with all conditions of part 71 permit 
issued under this subpart. A violation of an alternative emission 
limitation, as well as any other requirement established in a permit 
issued under this subpart, is enforceable pursuant to the authority of 
section 113 of the Act, notwithstanding any demonstration of continuing 
90 percent (95 percent in the case of hazardous air pollutants which are 
particulates) emission reduction over the entire early reductions 
source. Any permit noncompliance constitutes a violation of the Act and 
is grounds for enforcement action or for permit termination, revocation 
and reissuance, or modification;
    (ii) Need to halt or reduce activity not a defense. It shall not be 
a defense for a permittee in an enforcement action that it would have 
been necessary to halt or reduce the permitted activity in order to 
maintain compliance with the conditions of this permit;

[[Page 168]]

    (iii) The permit may be revised, revoked, reopened, and reissued, or 
terminated for cause. The filing of a request by the permittee for a 
permit revision, revocation and reissuance, or termination, or of a 
notification of planned changes or anticipated noncompliance does not 
stay any permit condition;
    (iv) The permit does not convey any property rights of any sort, or 
any exclusive privilege; and
    (v) The permittee shall furnish to the Administrator, within a 
reasonable time, any information that the Administrator may request in 
writing to determine whether cause exists for revising the permit, 
revoking and reissuing, or terminating the permit or to determine 
compliance with the permit. Upon request, the permittee shall also 
furnish to the Administrator copies of records required to be kept by 
the permitee.
    (8) Terms and conditions for reasonably anticipated operating 
scenarios identified by the early reductions source in its application 
as approved by the Administrator. Such terms and conditions:
    (i) Shall require the early reductions source, contemporaneously 
with making a change from one operating scenario to another, to record 
in a log at the permitted facility a record of the scenario under which 
it is operating. Provided that an emitting unit is monitored in a way 
that provides contemporaneous identification that a change to a 
particular alternate scenario has occurred, no notice to the 
Administrator is required. Otherwise, when such a change is made, the 
permittee at the beginning of the following week shall place in regular 
mail to the Administrator notice that a change to a particular alternate 
operating scenario has occurred; and
    (ii) Must ensure that the terms and conditions of each such 
alternative scenario meet the alternative emission limitation and the 
requirements of this subpart.
    (9) Terms and conditions, if the permit applicant requests them, for 
the trading of hazardous air pollutant emissions increases and decreases 
among emissions units within the early reductions source without permit 
revision or case-by-case approval of each emissions trade, provided 
that:
    (i) Such terms and conditions include all terms required under 
paragraphs (a) and (c) of this section to determine compliance;
    (ii) The changes in hazardous air pollutant emissions do not exceed 
the emissions allowable under the permit;
    (iii) The changes in hazardous air pollutant emissions are not 
modifications under any provision of title I of the Act;
    (iv) The Administrator determines that the emissions are 
quantifiable and that replicable procedures or other practical means 
exist to enforce the emission trades; and
    (v) The early reductions source owner or operator provides the 
Administrator written notification at least 7 days in advance of the 
proposed changes and includes in the notification a description of the 
change in emissions that will occur, when the change will occur, and how 
the increases and decreases in emissions will comply with the 
alternative emission limitation and other terms and conditions of the 
permit.
    (b) Federally enforceable requirements. All terms and conditions in 
a permit issued under this subpart are enforceable by the Administrator 
and citizens under the Act.
    (c) Compliance requirements. All permits issued under this subpart 
shall contain the following elements with respect to compliance:
    (1) Consistent with paragraphs (a)(3), (a)(4), and (a)(5) of this 
section, testing, monitoring, recordkeeping, and reporting requirements 
sufficient to assure compliance with the terms and conditions of the 
permit. Any document (including reports) required to be submitted by a 
permit shall contain a certification by a responsible official that 
meets the requirements of Sec. 71.24(f).
    (2) Inspection and entry provisions that require that, upon 
presentation of credentials and other documents as may be required by 
law, the permittee shall allow the Administrator or an authorized 
representative to perform the following:
    (i) Enter upon the permittee's premises where the early reductions 
source is located or emissions-related activity

[[Page 169]]

is conducted, or where required records are kept;
    (ii) Have access to and copy, at reasonable times, any records that 
must be kept under the conditions of the permit;
    (iii) Inspect at reasonable times any facilities, equipment 
(including monitoring and air pollution control equipment), practices, 
or operations regulated or required under the permit; and
    (iv) Sample or monitor at reasonable times substances or parameters 
for the purpose of determining compliance with the permit.
    (3) Requirements for compliance certification with terms and 
conditions contained in the permit, including the alternative emission 
limitation. Permits shall include each of the following:
    (i) The frequency (not less than annually) of submissions of 
compliance certifications;
    (ii) Consistent with paragraph (a)(3) of this section, a means for 
monitoring the compliance of the early reductions source with its 
alternative emission limitation;
    (iii) A requirement that the compliance certification include the 
following:
    (A) The identification of each term or condition of the permit that 
is the basis of the certification;
    (B) The compliance status;
    (C) Whether compliance was continuous or intermittent;
    (D) The method(s) used for determining the compliance status of the 
early reductions source, currently and over the reporting period 
consistent with paragraph (a)(3) of this section; and
    (E) Such other facts as the Administrator may require to determine 
the compliance status of the early reductions source;
    (iv) A requirement that all compliance certifications be submitted 
to the Administrator or the Administrator's designated agent; and
    (v) Such additional requirements as may be specified pursuant to 
sections 114(a)(3) and 504(b) of the Act.
    (4) Such other provisions as the Administrator may require.
    (d) Permit shield. (1) The Administrator will expressly include in a 
permit issued pursuant to this subpart a provision stating that 
compliance with the conditions of the permit shall be deemed compliance 
with part 63, subpart D, of this chapter (the Early Reductions Rule), as 
of the date of permit issuance.
    (2) A permit shield may be extended to all permit terms and 
conditions for alternate operating scenarios pursuant to paragraph 
(a)(9) of this section or that allow increases and decreases in 
hazardous air pollutant emissions pursuant to paragraph (a)(10) of this 
section.
    (3) Nothing in this paragraph (d) or in any permit issued pursuant 
to this subpart shall alter or affect the following:
    (i) The provisions of sections 112(r) and 303 of the Act (emergency 
orders);
    (ii) The liability of an owner or operator of an early reductions 
source for any violation of applicable requirements prior to or at the 
time of permit issuance; or
    (iii) The ability of the Administrator to obtain information from an 
early reductions source pursuant to section 114 of the Act.
    (e) Emergency provision--(1) Definition. An ``emergency'' means any 
situation arising from sudden and reasonably unforeseeable events beyond 
the control of the early reductions source, including acts of God, which 
situation requires immediate corrective action to restore normal 
operation, and that causes the early reductions source to exceed an 
emission limitation under the permit, due to unavoidable increases in 
emissions attributable to the emergency. An emergency shall not include 
noncompliance to the extent caused by improperly designed equipment, 
lack of preventative maintenance, careless or improper operation, or 
operator error.
    (2) Effect of an emergency. An emergency constitutes an affirmative 
defense to an action brought for noncompliance with such an emission 
limitation if the conditions of paragraph (e)(3) of this section are 
met.
    (3) The affirmative defense of emergency shall be demonstrated 
through properly signed, contemporaneous operating logs, or other 
relevant evidence that:

[[Page 170]]

    (i) An emergency occurred and that the permittee can identify the 
cause(s) of the emergency;
    (ii) The permitted facility was at the time being properly operated;
    (iii) During the period of the emergency the permittee took all 
reasonable steps to minimize levels of emissions that exceeded the 
emission limitation, or other requirements in the permit; and
    (iv) The permittee submitted notice of the emergency to the 
Administrator within 2 working days of the time when emission 
limitations were exceeded due to the emergency. This notice fulfills the 
requirement of paragraph (a)(5)(ii) of this section. This notice must 
contain a description of the emergency, any steps taken to mitigate 
emissions, and corrective actions taken.
    (4) In any enforcement proceeding, the permittee seeking to 
establish the occurrence of an emergency has the burden of proof.



Sec. 71.26  Permit issuance, reopenings, and revisions.

    (a) Action on application. (1) A permit or permit revision may be 
issued only if all of the following conditions have been met:
    (i) The Administrator has received a complete application for a 
permit or permit revision;
    (ii) The requirements for public participation under Sec. 71.27 have 
been followed; and
    (iii) The conditions of the proposed permit or permit revision meet 
all the requirements of Sec. 71.25 and provide for compliance with an 
alternative emission limitation reflecting the emissions reduction which 
qualified the early reductions source for a compliance extension under 
part 63, subpart D, of this chapter.
    (2) The Administrator will take final action on each permit 
application (including a request for permit revision) within 12 months 
after receiving a complete application, except that final action may be 
delayed where an applicant fails to provide additional information in a 
timely manner as requested by the Administrator under Sec. 71.24(c).
    (3) The Administrator will promptly provide notice to the applicant 
of whether the application is complete. Unless the Administrator 
requests additional information or otherwise notifies the applicant of 
incompleteness within 45 days of receipt of an application, the 
application shall be deemed complete. For revisions that qualify as 
administrative amendments and are processed through the procedures of 
paragraph (c) of this section, a completeness determination need not be 
made.
    (4) If a source submits a timely and complete application for permit 
issuance, the source's failure to have a title V permit for purposes of 
any requirements under section 112 pertaining to the early reductions 
source is not a violation of this part until the Administrator takes 
final action on the permit application. This protection shall cease to 
apply if, subsequent to the completeness determination made pursuant to 
paragraph (a)(3) of this section, and as required by Sec. 71.24(d), the 
applicant fails to submit by the deadline specified in writing by the 
Administrator any additional information identified as being needed to 
process the application.
    (b) Permit renewal and expiration. (1) Permits issued under this 
subpart shall not be renewed. Permit renewal for expiring permits issued 
under this subpart shall be accomplished according to the requirements 
of title V of the Act for comprehensive permits for the facility 
containing the early reductions source.
    (2) Except as specified in paragraph (b)(3) of this section, permit 
expiration terminates the early reductions source's right to operate.
    (3) If, consistent with the requirements of title V of the Act, a 
timely and complete application for a comprehensive title V permit for 
the facility containing the early reductions source has been submitted 
but the permitting authority has failed to issue or deny the 
comprehensive permit prior to expiration of a permit issued under this 
subpart, then the existing permit for the early reductions source shall 
not expire until the comprehensive title V permit for the facility has 
been issued or denied.

[[Page 171]]

    (c) Administrative permit amendments. (1) An ``administrative permit 
amendment'' is a permit revision that:
    (i) Corrects typographical errors;
    (ii) Identifies a change in the name, address, or phone number of 
any person identified in the permit, or provides a similar minor 
administrative change at the source;
    (iii) Requires more frequent monitoring or reporting by the 
permittee;
    (iv) Allows for a change in ownership or operational control of an 
early reductions source where the permitting authority determines that 
no other change in the permit is necessary, provided that a written 
agreement containing a specific date for transfer of permit 
responsibility, coverage, and liability between the current and new 
permittee has been submitted to the permitting authority; or
    (v) Incorporates any other type of change which the Administrator 
has determined to be ministerial in nature and, therefore, similar to 
those in paragraphs (c)(1)(i) through (c)(1)(iv) of this section.
    (2) Administrative permit amendment procedures. Administrative 
permit amendments may be made to a permit issued under this subpart 
using the following procedures:
    (i) The source shall submit to the Administrator an application 
containing a proposed addendum to the source's permit. The application 
shall demonstrate how the proposed change meets one of the criteria for 
administrative amendments set forth in paragraphs (c)(1)(i) through 
(c)(1)(iv) of this section, and include certification by the responsible 
official consistent with Sec. 71.24(f) that the change is eligible for 
administrative amendment procedures. The addendum shall:
    (A) Identify the terms of the part 71, subpart B permit the source 
proposes to change;
    (B) Propose new permit terms consistent with the provisions of this 
subpart applicable to the change;
    (C) Designate the addendum as having been processed under the 
procedures of this paragraph (c); and
    (D) Specify that the addendum will be effective 60 days from the 
date of the Administrator's receipt, unless the Administrator 
disapproves the change within such period.
    (ii) The Administrator will allow the source to implement the 
requested change immediately upon making all required submittals, 
including the proposed addendum.
    (iii) The proposed addendum will become effective 60 days after the 
Administrator receives the submittal, provided the Administrator has not 
disapproved the request in writing before the end of the 60-day period. 
The Administrator shall record the change by attaching a copy of the 
addendum to the part 71, subpart B permit.
    (iv) If the Administrator disapproves the change, he or she shall 
notify the source of the reasons for the disapproval in a timely manner. 
Upon receiving such notice, the source shall comply with the terms of 
the permit that it had proposed to change, and thereafter the proposed 
addendum shall not take effect.
    (v) The process in this paragraph (c) may also be used for changes 
initiated by the Administrator that meet the criteria under paragraphs 
(c)(1) (i), (ii), and (iv) of this section. For such changes, the 
Administrator will notify the source of the proposed change and its 
effective date, and shall attach a copy of the change to the existing 
permit. On the effective date of the proposed change, the source shall 
comply with the provisions of the proposed change.
    (vi) The permit shield under Sec. 71.25(d) may not extend to 
administrative amendments processed under this paragraph (c)(2).
    (d) Permit revision procedures--(1) Criteria. Permit revision 
procedures shall be used for applications requesting permit revisions 
that do not qualify as administrative amendments. Nothing in this 
paragraph (d) shall be construed to preclude the permittee from making 
changes consistent with this subpart that would render existing permit 
compliance terms and conditions irrelevant.
    (2) Permit revisions shall meet all requirements of this subpart, 
including those for applications, public participation, and review by 
affected States, as they apply to permit issuance. The Administrator 
will complete review on

[[Page 172]]

permit revisions within 9 months after receipt of a complete 
application.
    (e) Reopening for cause. (1) Each issued permit shall include 
provisions specifying the conditions under which the permit will be 
reopened. A permit shall be reopened and revised under any of the 
following circumstances:
    (i) The Administrator determines that the permit contains a material 
mistake or that inaccurate statements were made in establishing the 
emission limits or other terms or conditions of the permit.
    (ii) The Administrator determines that the permit must be revised to 
assure compliance with the alternative emission limitation.
    (2) Proceedings to reopen and issue a permit shall follow the same 
procedures as apply to initial permit issuance and shall affect only 
those parts of the permit for which cause to reopen exists.
    (3) Reopenings under paragraph (e)(1) of this section shall not be 
initiated before a notice of such intent is provided to the early 
reductions source by the Administrator. Such notice will be provided at 
least 30 days in advance of the date that the permit is to be reopened, 
except that the Administrator may provide a shorter time period in the 
case of an emergency.
    (f) EPA review under State programs for issuing specialty permits. 
(1) If the Administrator approves a State program for the implementation 
of this subpart, the State program shall require that the Administrator 
receive a copy of each permit application (including any application for 
permit revision) each proposed permit, and each final permit issued 
pursuant to this subpart. The State program may require that the 
applicant provide a copy of any permit application directly to the 
Administrator.
    (2) The Administrator will object to the issuance of any proposed 
permit determined by the Administrator not to be in compliance with 
requirements under this subpart or part 63 of this chapter. If the 
Administrator objects in writing within 45 days of receipt of a proposed 
permit and all necessary supporting documentation, the State shall not 
issue the permit.
    (3) Any EPA objection to a proposed permit will include a statement 
of the Administrator's reasons for objection and a description of the 
terms and conditions that the permit must include to respond to the 
objections. The Administrator will provide the permit applicant a copy 
of the objection.
    (4) Failure of the State to do any of the following also shall 
constitute grounds for an objection:
    (i) Comply with paragraph (f)(1) of this section;
    (ii) Submit any information necessary to review adequately the 
proposed permit; or
    (iii) Process the permit under procedures approved to meet paragraph 
(f) of this section.
    (5) If the State fails, within 90 days after the date of an 
objection under paragraph (f)(2) of this section, to revise and submit a 
proposed permit in response to the objection, the Administrator will 
issue or deny the permit in accordance with the requirements of this 
subpart.
    (6) Public petitions to the Administrator. Within 60 days after 
expiration of the Administrator's 45-day review period, any person may 
petition the Administrator in writing to make an objection. Any such 
petition shall be based only on objections to the permit that were 
raised with reasonable specificity during the public comment period 
provided for and consistent with Sec. 71.27, unless the petitioner 
demonstrates that it was impracticable to raise such objections within 
such period, or unless the grounds for such objection arose after such 
period. If the Administrator objects to the permit as a result of a 
petition filed under this paragraph, the permitting authority shall not 
issue the permit until EPA's objection has been resolved, except that a 
petition for review does not stay the effectiveness of a permit or its 
requirements if the permit was issued after the end of the 45-day review 
period and prior to an objection. If the permitting authority has issued 
a permit prior to receipt of an EPA objection under this paragraph, the 
Administrator will revise, terminate, or revoke such permit, and shall 
do so consistent with the procedures in 40 CFR 70.7(g)(4) or (g)(5)(i) 
except in unusual

[[Page 173]]

circumstances, and the permitting authority may thereafter issue only a 
revised permit that satisfies EPA's objection. In any case, the source 
will not be in violation of the requirement to have submitted a timely 
and complete application.



Sec. 71.27  Public participation and appeal.

    All permit proceedings, including preparation of draft permits, 
initial permit issuance, permit revisions, and granted appeals, shall 
provide adequate procedures for public participation, including notice, 
opportunity for comment, a hearing if requested, and administrative 
appeal. Specific procedures shall include the following:
    (a) Revision, revocation and reissuance, or termination of permits. 
(1) Permits may be revised, revoked and reissued, or terminated either 
at the request of any interested person (including the permittee) or 
upon the Administrator's initiative. However, permits may only be 
revised, revoked and reissued, or terminated for the reasons specified 
in Secs. 71.25(a)(7) and 71.26(e). All requests shall be in writing and 
shall contain facts or reasons supporting the request.
    (2) If the Administrator decides the request is not justified, he or 
she shall send the requester a brief written response giving a reason 
for the decision. Denials of requests for revision, revocation and 
reissuance, or termination are not subject to public notice, comment, or 
hearings. Denials by the Administrator may be informally appealed to the 
Environmental Appeals Board by a letter briefly setting forth the 
relevant facts. The Board may direct the Administrator to begin 
revision, revocation and reissuance, or termination proceedings under 
paragraph (a)(3) of this section. The appeal shall be considered denied 
if the Board takes no action within 60 days after receiving it. This 
informal appeal is, under 42 U.S.C. 307, a prerequisite to seeking 
judicial review of EPA action in denying a request for revision, 
revocation and reissuance, or termination.
    (3)(i) Except in the case of administrative amendment of a permit, 
if the Administrator tentatively decides to revise or revoke and reissue 
a permit under Secs. 71.25(a)(7) and 71.26(e), he or she shall prepare a 
draft permit under paragraph (b) of this section incorporating the 
proposed changes. The Administrator may request additional information 
and, in the case of a revised permit, shall require the submission of an 
updated application. In the case of revoked and reissued permits, the 
Administrator shall require the submission of a new application.
    (ii) In a permit revision under this subsection, only those 
conditions to be revised shall be reopened when a new draft permit is 
prepared. All other aspects of the existing permit shall remain in 
effect for the duration of the unrevised permit. When a permit is 
revoked and reissued under this subsection, the entire permit is 
reopened just as if the permit had expired and was being reissued. 
During any revocation and reissuance proceeding the permittee shall 
comply with all conditions of the existing permit until a new final 
permit is reissued.
    (4) If the Administrator tentatively decides to terminate a permit 
under Secs. 71.25(a)(7) and 71.26(e), he or she shall issue a notice of 
intent to terminate. A notice of intent to terminate is a type of draft 
permit which follows the same procedures as any draft permit prepared 
under paragraph (b) of this section. A notice of intent to terminate 
shall not be issued if the Administrator and the permittee agree to 
termination in the course of transferring permit responsibility to an 
approved State under Sec. 71.21(e).
    (5) Any request by the permittee for revision to an existing permit 
shall be treated as a permit application and shall be processed in 
accordance with all requirements of Sec. 71.24.
    (b) Draft permits. (1) Once an application is complete, the 
Administrator shall tentatively decide whether to prepare a draft permit 
or to deny the application.
    (2) If the Administrator tentatively decides to deny the permit 
application, he or she shall issue a notice of intent to deny. A notice 
of intent to deny the permit application is a type of draft permit which 
follows the same procedures as any draft permit prepared

[[Page 174]]

under this subsection. If the Administrator's final decision is that the 
tentative decision to deny the permit application was incorrect, he or 
she shall withdraw the notice of intent to deny and proceed to prepare a 
draft permit under paragraph (b)(4) of this section.
    (3) If the Administrator decides to prepare a draft permit, he or 
she shall prepare a draft permit that contains the permit conditions 
under Sec. 71.25.
    (4) All draft permits prepared under this subsection shall be 
publicly noticed and made available for public comment. The 
Administrator shall give notice of opportunity for a public hearing, 
issue a final decision and respond to comments. For all early reductions 
permits, an appeal may be taken under paragraph (l) of this section.
    (c) Statement of basis. The Administrator shall prepare a statement 
of basis for every draft permit. The statement of basis shall briefly 
describe the derivation of the conditions of the draft permit and the 
reasons for them or, in the case of notices of intent to deny or 
terminate, reasons supporting the tentative decision. The statement of 
basis shall be sent to the applicant and, on request, to any other 
person.
    (d) Public notice of permit actions and public comment period--(1) 
Scope. (i) The Administrator shall give public notice that the following 
actions have occurred:
    (A) A permit application has been tentatively denied under paragraph 
(b)(2) of this section;
    (B) A draft permit has been prepared under paragraph (b)(3) of this 
section;
    (C) A hearing has been scheduled under paragraph (f) of this 
section;
    (D) An appeal has been granted under paragraph (l)(3) of this 
section.
    (ii) No public notice is required in the case of administrative 
permit amendments, or when a request for permit revision, revocation and 
reissuance, or termination has been denied under paragraph (a)(2) of 
this section. Written notice of that denial shall be given to the 
requester and to the permittee.
    (iii) Public notices may describe more than one permit or permit 
action.
    (2) Timing. (i) Public notice of the preparation of a draft permit 
or permit revision (including a notice of intent to deny a permit or 
permit revision application) shall allow at least 30 days for public 
comment.
    (ii) Public notice of a public hearing shall be given at least 30 
days before the hearing. (Public notice of the hearing may be given at 
the same time as public notice of the draft permit or permit revision 
and the two notices may be combined.)
    (iii) The Administrator shall provide such notice and opportunity 
for participation to Affected States on or before the time that the 
Administrator provides this notice to the public.
    (3) Methods. Public notice of activities described in paragraph 
(d)(1)(i) of this section shall be given by the following methods:
    (i) By mailing a copy of a notice to the following persons (any 
person otherwise entitled to receive notice under this paragraph (d) may 
waive his or her rights to receive notice for any permit):
    (A) The applicant;
    (B) Any other agency which the Administrator knows has issued or is 
required to issue any other permit under the Clean Air Act for the same 
facility or activity;
    (C) Affected States and Indian Tribes;
    (D) Affected State and local air pollution control agencies, the 
chief executives of the city and county where the early reductions 
source is located, any comprehensive regional land use planning agency 
and any State, Federal Land Manager, or Indian Governing Body whose 
lands may be affected by emissions from the regulated activity;
    (E) Persons on a mailing list developed by:
    (1) Including those who request in writing to be on the list;
    (2) Soliciting persons for ``area lists'' from participants in past 
permit proceedings in that area; and
    (3) Notifying the public of the opportunity to be put on the mailing 
list through periodic publication in the public press and in such 
publications as Regional and State funded newsletters, environmental 
bulletins, or State law journals. (The Administrator may update the 
mailing list from time to time by requesting written indication of 
continued interest from those listed. The Administrator may delete from

[[Page 175]]

the list the name of any person who fails to respond to such a 
request.);
    (F) Any unit of local government with authority for regulating air 
pollution and having jurisdiction over the area where the early 
reductions source is located and to each State agency having any 
authority for regulating air pollution under State law with respect to 
the operation of such source.
    (ii) By publication of a notice in a daily or weekly newspaper of 
general circulation within the area affected by the early reductions 
source.
    (iii) By any other method reasonably calculated to give actual 
notice of the action in question to the persons potentially affected by 
it, including press releases or any other forum or medium to elicit 
public participation.
    (4) Contents--(i) All public notices. All public notices issued 
under this subpart shall contain the following minimum information:
    (A) The name and address of the Administrator or the Administrator's 
designated agent processing the permit;
    (B) The name and address of the permittee or permit applicant and, 
if different, of the facility regulated by the permit;
    (C) The activity or activities involved in the permit action;
    (D) The emissions change involved in any permit revision;
    (E) The name, address and telephone number of a person from whom 
interested persons may obtain additional information, including copies 
of the draft permit, the application, all relevant supporting materials, 
and all other materials available to the Administrator that are relevant 
to the permit decision;
    (F) A brief description of the comment procedures required by 
paragraphs (e) and (f) of this section and the time and place of any 
hearing that will be held, including a statement of procedures to 
request a hearing (unless a hearing has already been scheduled) and 
other procedures by which the public may participate in the final permit 
decision; and
    (G) Any additional information considered necessary or proper.
    (ii) Public notices for hearings. In addition to the general public 
notice described in paragraph (d)(4)(i) of this section, the public 
notice of a hearing under paragraph (f) of this section shall contain 
the following information:
    (A) Reference to the date of previous public notices relating to the 
permit;
    (B) Date, time, and place of the hearing; and
    (C) A brief description of the nature and purpose of the hearing, 
including the applicable rules and procedures.
    (5) In addition to the general public notice described in paragraph 
(d)(4)(i) of this section, all persons identified in paragraphs 
(d)(3)(i)(A), (B), and (C) of this section shall be mailed a copy of the 
fact sheet or statement of basis, the permit application (if any), and 
the draft permit (if any).
    (e) Public comments and requests for public hearings. During the 
public comment period provided under paragraph (a) of this section, any 
interested person may submit written comments on the draft permit or 
permit revision and may request a public hearing, if no hearing has 
already been scheduled. A request for a public hearing shall be in 
writing and shall state the nature of the issues proposed to be raised 
at the hearing. All comments shall be considered in making the final 
decision and shall be answered as provided in paragraph (j) of this 
section. The Administrator will keep a record of the commenters and of 
the issues raised during the public participation process, and such 
records shall be available to the public.
    (f) Public hearings. (1)(i) The Administrator shall hold a hearing 
whenever he or she finds, on the basis of requests, a significant degree 
of public interest in a draft permit or permit revision.
    (ii) The Administrator may also hold a public hearing at his or her 
discretion, whenever, for instance, such a hearing might clarify one or 
more issues involved in the permit decision.
    (iii) Public notice of the hearing shall be given as specified in 
paragraph (d) of this section.
    (2) Whenever a public hearing is held, the Administrator shall 
designate a Presiding Officer for the hearing who shall be responsible 
for its scheduling and orderly conduct.

[[Page 176]]

    (3) Any person may submit oral or written statements and data 
concerning the draft permit or permit revision. Reasonable limits may be 
set upon the time allowed for oral statements, and the submission of 
statements in writing may be required. The public comment period under 
paragraph (d) of this section shall be automatically extended to the 
close of any public hearing under this subsection. The hearing officer 
may also extend the comment period by so stating at the hearing.
    (4) A tape recording or written transcript of the hearing shall be 
made available to the public.
    (g) Obligation to raise issues and provide information during the 
public comment period. All persons, including applicants, who believe 
any condition of a draft permit is inappropriate or that the 
Administrator's tentative decision to deny an application, terminate a 
permit, or prepare a draft permit is inappropriate, must raise all 
reasonably ascertainable issues and submit all reasonably ascertainable 
arguments supporting their position by the close of the public comment 
period (including any public hearing). Any supporting materials which 
are submitted shall be included in full and may not be incorporated by 
reference, unless they are already part of the administrative record in 
the same proceeding, or consist of State or Federal statutes and 
regulations, EPA documents of general applicability, or other generally 
available reference materials. Commenters shall make supporting 
materials not already included in the administrative record available to 
EPA as directed by the Administrator. (A comment period longer than 30 
days may be necessary to give commenters a reasonable opportunity to 
comply with the requirements of this paragraph (g). Additional time 
shall be granted to the extent that a commenter who requests additional 
time demonstrates the need for such time.)
    (h) Reopening of the public comment period. (1)(i) The Administrator 
may order the public comment period reopened if the procedures of this 
paragraph (h) could expedite the decisionmaking process. When the public 
comment period is reopened under this paragraph (h), all persons, 
including applicants, who believe any condition of a draft permit is 
inappropriate or that the Administrator's tentative decision to deny an 
application, terminate a permit, or prepare a draft permit is 
inappropriate, must submit all reasonably available factual grounds 
supporting their position, including all supporting material, by a date, 
not less than 60 days after public notice under paragraph (h)(1)(ii) of 
this section, set by the Administrator. Thereafter, any person may file 
a written response to the material filed by any other person, by a date, 
not less than 20 days after the date set for filing of the material, set 
by the Administrator.
    (ii) Public notice of any comment period under this paragraph shall 
identify the issues to which the requirements of paragraph (h)(1)(i) of 
this section shall apply.
    (iii) On his or her own motion or on the request of any person, the 
Administrator may direct that the requirements of paragraph (h)(1)(i) of 
this section shall apply during the initial comment period where it 
reasonably appears that issuance of the permit will be contested and 
that applying the requirements of paragraph (h)(1)(i) of this section 
will substantially expedite the decisionmaking process. The notice of 
the draft permit shall state whenever this has been done.
    (iv) A comment period of longer than 60 days will often be necessary 
in complicated proceedings to give commenters a reasonable opportunity 
to comply with the requirements of this subsection. Commenters may 
request longer comment periods and they shall be granted to the extent 
they appear necessary.
    (2) If any data, information, or arguments submitted during the 
public comment period appear to raise substantial new questions 
concerning a permit, the Administrator may take one or more of the 
following actions:
    (i) Prepare a new draft permit, appropriately modified;
    (ii) Prepare a revised statement of basis, a fact sheet or revised 
fact sheet, and reopen the comment period; or

[[Page 177]]

    (iii) Reopen or extend the comment period to give interested persons 
an opportunity to comment on the information or arguments submitted.
    (3) Comments filed during the reopened comment period shall be 
limited to the substantial new questions that caused its reopening. The 
public notice shall define the scope of the reopening.
    (4) Public notice of any of the above actions shall be issued under 
paragraph (d) of this section.
    (i) Issuance and effective date of permit. (1) After the close of 
the public comment period on a draft permit, the Administrator shall 
issue a final permit decision. The Administrator shall notify the 
applicant and each person who has submitted written comments or 
requested notice of the final permit decision. This notice shall include 
reference to the procedures for appealing a decision on a permit. For 
the purposes of this paragraph (i), a final permit decision means a 
final decision to issue, deny, revise, revoke and reissue, or terminate 
a permit.
    (2) A final permit decision shall become effective 30 days after the 
service of notice of the decision unless:
    (i) A later effective date is specified in the decision; or
    (ii) No comments requested a change in the draft permit, in which 
case the permit shall become effective immediately upon issuance.
    (j) Response to comments. (1) At the time that any final permit 
decision is issued, the Administrator shall issue a response to 
comments. This response shall:
    (i) Specify which provisions, if any, of the draft permit have been 
changed in the final permit decision, and the reasons for the change; 
and
    (ii) Briefly describe and respond to all significant comments on the 
draft permit raised during the public comment period, or during any 
hearing.
    (2) Any documents cited in the response to comments shall be 
included in the administrative record for the final permit decision as 
defined in paragraph (k) of this section. If new points are raised or 
new material supplied during the public comment period, EPA may document 
its response to those matters by adding new materials to the 
administrative record.
    (3) The response to comments shall be available to the public.
    (4) The Administrator will notify in writing any Affected State of 
any refusal to accept recommendations for the permit that the State 
submitted during the public or Affected State review period.
    (k) Administrative record for final permit. (1) The Administrator 
shall base final permit decisions on the administrative record defined 
in this paragraph (k).
    (2) The administrative record for any final permit shall consist of:
    (i) All comments received during the public comment period, 
including any extension or reopening;
    (ii) The tape or transcript of any hearing(s) held;
    (iii) Any written material submitted at such a hearing;
    (iv) The response to comments required by paragraph (j) of this 
section and any new materials placed in the record under paragraph (j) 
of this section;
    (v) Other documents contained in the supporting file for the permit;
    (vi) The final permit;
    (vii) The application and any supporting data furnished by the 
applicant;
    (viii) The draft permit or notice of intent to deny the application 
or to terminate the permit;
    (ix) The statement of basis for the draft permit;
    (x) All documents cited in the statement of basis; and
    (xi) Other documents contained in the supporting file for the draft 
permit.
    (3) The additional documents required under paragraph (k)(2) of this 
section should be added to the record as soon as possible after their 
receipt or publication by EPA. The record shall be complete on the date 
the final permit is issued.
    (4) This section applies to all final permits.
    (5) Material readily available at the issuing Regional Office, or 
published materials which are generally available and which are included 
in the administrative record under the standards of paragraph (j) of 
this section

[[Page 178]]

(``response to comments''), need not be physically included in the same 
file as the rest of the record as long as it is specifically referred to 
in the statement of basis or fact sheet or in the response to comments.
    (l) Appeal of permits. (1) Within 30 days after a final permit 
decision has been issued, any person who filed comments on the draft 
permit or participated in the public hearing may petition the 
Environmental Appeals Board to review any condition of the permit 
decision. Any person who failed to file comments or failed to 
participate in the public hearing on the draft permit may petition for 
administrative review only to the extent of the changes from the draft 
to the final permit decision. The 30-day period within which a person 
may request review under this subsection begins with the service of 
notice of the Administrator's action unless a later date is specified in 
that notice. The petition shall include a statement of the reasons 
supporting that review, including a demonstration that any issues raised 
were raised during the public comment period (including any public 
hearing) to the extent required by these regulations unless the 
petitioner demonstrates that it was impracticable to raise such 
objections within such period or unless the grounds for such objection 
arose after such period, and, when appropriate, a showing that the 
condition in question is based on:
    (i) A finding of fact or conclusion of law which is clearly 
erroneous; or
    (ii) An exercise of discretion or an important policy consideration 
which the Environmental Appeals Board should, in its discretion, review.
    (2) The Board may also decide on its initiative to review any 
condition of any permit issued under this subpart. The Board must act 
under this paragraph within 30 days of the service date of notice of the 
Administrator's action.
    (3) Within a reasonable time following the filing of the petition 
for review, the Board shall issue an order either granting or denying 
the petition for review. To the extent review is denied, the conditions 
of the final permit decision become final agency action. Public notice 
of any grant of review by the Board under paragraph (l) (1) or (2) of 
this section shall be given as provided in paragraph (d) of this 
section. Public notice shall set forth a briefing schedule for the 
appeal and shall state that any interested person may file an amicus 
brief. Notice of denial of review shall be sent only to applicant and to 
the person(s) requesting review.
    (4) A petition to the Board under paragraph (l)(1) of this section 
is, under 42 U.S.C. 307(b), a prerequisite to the seeking of judicial 
review of the final agency action.
    (5) For purposes of judicial review, final agency action occurs when 
a final permit is issued or denied by EPA and agency review procedures 
are exhausted. A final permit decision shall be issued by the 
Administrator:
    (i) When the Board issues notice to the parties that review has been 
denied;
    (ii) When the Board issues a decision on the merits of the appeal 
and the decision does not include a remand of the proceedings; or
    (iii) Upon the completion of remand proceedings if the proceedings 
are remanded, unless the Board's remand order specifically provides that 
appeal of the remand decision will be required to exhaust administrative 
remedies.
    (6) Neither the filing of a petition for review of any condition of 
the permit or permit decision nor the granting of an appeal by the 
Environmental Appeals Board shall stay the effect of any contested 
permit or permit condition.
    (m) Computation of time. (1) Any time period scheduled to begin on 
the occurrence of an act or event shall begin on the day after the act 
or event.
    (2) Any time period scheduled to begin before the occurrence of an 
act or event shall be computed so that the period ends on the day before 
the act or event, except as otherwise provided.
    (3) If the final day of any time period falls on a weekend or legal 
holiday, the time period shall be extended to the next working day.
    (4) Whenever a party or interested person has the right or is 
required to act within a prescribed period after the service of notice 
or other paper upon him or her by mail, 3 days shall be added to the 
prescribed time.


[[Page 179]]



                              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
  List of CFR Sections Affected

[[Page 181]]

            Material Approved for Incorporation by Reference

                      (Revised as of July 1, 2000)

  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 (PARTS 64 TO 71):

ENVIRONMENTAL PROTECTION AGENCY
                                                                  40 CFR


National Fire Protection Association

  1 Batterymarch Park, Quincy, MA 02269-9101, 
  Telephone: (800) 344-3555
NFPA 30 Flammable and Combustible Liquids Code,             68.115(2)(i)
  1996 Edition.
NFPA 704 Standard System for the Identification of          68.115(2)(i)
  the Hazards of Materials for Emergency Response, 
  1996 Edition.



[[Page 183]]



                    Table of CFR Titles and Chapters




                      (Revised as of June 23, 2000)

                      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)
         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 3201)

[[Page 184]]

     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
    LXXIII  Department of Agriculture (Part 8301)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     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

[[Page 185]]

         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of 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)
      XIII  Northeast Dairy Compact Commission (Parts 1300--1399)
       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 the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)

[[Page 186]]

    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     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)
       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--599)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

                      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)

[[Page 187]]

        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  Department of the Treasury (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)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, 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)

[[Page 188]]

        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)

          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)

[[Page 189]]

                     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 (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (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)

[[Page 190]]

                          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)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         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)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities 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--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 191]]

                           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)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      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)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)

[[Page 192]]

       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)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  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)
       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)

[[Page 193]]

       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)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of 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)
       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)

[[Page 194]]

             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)
         X  Presidio Trust (Parts 1000--1099)
        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)
        XV  Oklahoma City National Memorial Trust (Part 1501)

             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)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          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)

[[Page 195]]

        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)
       102  Federal Management Regulation (Parts 102-1--102-299)
       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) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300.99)
       301  Temporary Duty (TDY) 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 (Part 303-70)
       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)

[[Page 196]]

       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             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 
                (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  Corporation for National and Community Service (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)
     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)

[[Page 197]]

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      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  United States 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  Broadcasting Board of Governors (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)
        23  Social Security Administration (Parts 2300--2399)
        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)

[[Page 198]]

        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)
        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 Motor Carrier Safety 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)
        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)

[[Page 199]]

        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (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)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 201]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of June 23, 2000)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  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
  Food and Nutrition 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
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  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
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 202]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
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
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
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, VI
  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                   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                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
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; 
                                                  40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 203]]

  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  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 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 Development Administration               13, III
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
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
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                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 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
Environmental Protection Agency                   5, LIV; 40, I, VII
  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 204]]

Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 5, XXIX; 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              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
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 Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
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
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
Food and Drug Administration                      21, I
Food and Nutrition 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                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
     Expenses
[[Page 205]]

  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) 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
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 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      5, LXV; 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
  Multifamily Housing Assistance Restructuring,   24, IV
       Office of
  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 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
  American Indians, Office of the Special         25, VII
       Trustee
  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
  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

[[Page 206]]

  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, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
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                                5, XXVIII; 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                                  5, XLII
  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 Standards, Office of           29, II, 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 Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  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

[[Page 207]]

Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Multifamily Housing Assistance Restructuring,     24, IV
     Office of
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 and Community Service, Corporation for   45, XII, XXV
National Archives and Records Administration      5, LXVI; 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 Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
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 Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
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                       5, XLIII; 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
Northeast Dairy Compact Commission                7, XIII
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
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
Oklahoma City National Memorial Trust             36, XV
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
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII

[[Page 208]]

  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 Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
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, XXXV
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
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
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 Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Commercial Space Transportation                 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
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V

[[Page 209]]

  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 Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Statistics Brureau                 49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 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
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 211]]



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.
Title 40 was established at 36 FR 12213, June 29, 1971. For the period 
before January 1, 1986, see the ``List of CFR Sections Affected, 1964-
1972, 1964-1972, and 1973-1985,'' published in seven separate volumes.

                                  1986

40 CFR
                                                                   51 FR
                                                                    Page
Chapter I
65  Administrative order.....................................7790, 29216
65.271  Table amended..............................................33266
65.400  Table amended...............................................6737
65.431  Table amended...............................................9957
    Table amended.................................................25695,
26892, 28225, 30064, 33267, 36692
65.481  Table amended..............................................24657

                                  1987

40 CFR
                                                                   52 FR
                                                                    Page
Chapter I
65  Administrative order...........................................41711
65.271  Table amended........................................3801, 16248
65.301  Table amended..............................................17760
65.431  Table amended.........................................7864, 7865

                                  1988

40 CFR
                                                                   53 FR
                                                                    Page
Chapter I
65.482  Table amended...............................................4027
65.541  Table revised; eff. 8-30-88................................24939

                                  1989

40 CFR
                                                                   54 FR
                                                                    Page
Chapter I
65.50--65.52 (Subpart B)    Removed................................25259
65.60--65.62 (Subpart C)    Removed................................25259
65.71  Removed.....................................................25259
65.72  Removed.....................................................25259
65.80--65.82 (Subpart E)    Removed................................25259
65.90--65.92 (Subpart F)    Removed................................25259
65.100--65.102 (Subpart G)    Removed..............................25259
65.110--65.112 (Subpart H)    Removed..............................25259
65.120--65.122 (Subpart I)    Removed..............................25259
65.130--65.132 (Subpart J)    Removed..............................25259
65.140  Removed....................................................25259
65.142  Removed....................................................25259
65.151  Removed....................................................25259
65.152  Removed....................................................25259
65.160--65.162 (Subpart M)    Removed..............................25259
65.170--65.172 (Subpart N)    Removed..............................25259
65.181  Removed....................................................25259
65.182  Removed....................................................25259
65.190--65.192 (Subpart P)    Removed..............................25259
65.200--65.202 (Subpart Q)    Removed..............................25259
65.210--65.212 (Subpart R)    Removed..............................25259
65.220--65.222 (Subpart S)    Removed..............................25259
65.230  Removed....................................................25259
65.232  Removed....................................................25259

[[Page 212]]

65.240--65.242 (Subpart U)    Removed..............................25259
65.251  Removed....................................................25259
65.252  Removed....................................................25259
65.261  Removed....................................................25259
65.262  Removed....................................................25259
65.280--65.282 (Subpart Y)    Removed..............................25259
65.290--65.292 (Subpart Z)    Removed..............................25259
65.300  Removed....................................................25259
65.302  Removed....................................................25259
65.310--65.312 (Subpart BB)    Removed.............................25259
65.320--65.322 (Subpart CC)    Removed.............................25259
65.330--65.332 (Subpart DD)    Removed.............................25259
65.340--65.342 (Subpart EE)    Removed.............................25259
65.351  Removed....................................................25259
65.352  Removed....................................................25259
65.360--65.362 (Subpart GG)    Removed.............................25259
65.370--65.372 (Subpart HH)    Removed.............................25259
65.380--65.382 (Subpart II)    Removed.............................25259
65.390--65.392 (Subpart JJ)    Removed.............................25259
65.400  Removed....................................................25259
65.401  Removed....................................................25259
65.402  Removed....................................................25259
65.410--65.412 (Subpart LL)    Removed.............................25259
65.420--65.422 (Subpart MM)    Removed.............................25259
65.430  Removed....................................................25259
65.432  Removed....................................................25259
65.440--65.442 (Subpart OO)    Removed.............................25259
65.450--65.452 (Subpart PP)    Removed.............................25259
65.460--65.462 (Subpart QQ)    Removed.............................25259
65.470  Removed....................................................25259
65.472  Removed....................................................25259
65.480  Removed....................................................25259
65.482  Removed....................................................25259
65.490--65.492 (Subpart TT)    Removed.............................25259
65.500--65.502 (Subpart UU)    Removed.............................25259
65.511  Removed....................................................25259
65.512  Removed....................................................25259
65.520  Removed....................................................25259
65.522  Removed....................................................25259
65.530--65.532 (Subpart XX)    Removed.............................25259
65.541  Removed....................................................25259
65.542  Removed....................................................25259
65.550--65.552 (Subpart ZZ)    Removed.............................25259
65.561  Removed....................................................25259
65.562  Removed....................................................25259
65.570--65.572 (Subpart BBB)    Removed............................25259
65.580--65.582 (Subpart CCC)    Removed............................25259
65.590--65.592 (Subpart DDD)    Removed............................25259
65.600--65.602 (Subpart EEE)    Removed............................25259
67.11  (b)(3) revised..............................................25259
67  Appendices A, B and C revised..................................25259

                               1990--1991

                       (No Regulations Published)

                                  1992

40 CFR
                                                                   57 FR
                                                                    Page
Chapter I
66.3  (g) through (l) redesignated as (h) through (m); new (g) 
        added.......................................................5328
66.6  (b) revised...................................................5329
66.72  (a) amended..................................................5329
66.81  (b) amended; (c) revised.....................................5329
66.95  (c) amended..................................................5329
70  Added..........................................................32295
70.1  (f) added....................................................57347

                                  1993

40 CFR
                                                                   58 FR
                                                                    Page
Chapter I
69  Authority citation revised.....................................43043
69.11  (a) and (b) added...........................................43043
70.1  (f) removed..................................................34375

                                  1994

40 CFR
                                                                   59 FR
                                                                    Page
Chapter I
68  Added...........................................................4493
70  State operating permit program approvals.......................48802

[[Page 213]]

    Regulation at 59 FR 48802 withdrawn............................60561
    Appendix A added; interim......................................55820
    Appendix A amended.................59660, 61552, 61827, 62327, 66740
71  Added..........................................................59924

                                  1995

40 CFR
                                                                   60 FR
                                                                    Page
Chapter I
65  Removed........................................................33925
69.11  (c) added...................................................48038
70  Appendix A amended.......................................1744, 2534,
3770, 4568, 12137, 12483, 15069, 21723, 35338, 36069, 36072, 39864, 
40104, 42046, 45673, 46774, 47297, 49347, 50108, 52336, 53875, 55466, 
57191, 57352, 57357, 57361, 57837, 62034, 62758, 62762, 62998, 63634
    Regulation at 60 FR 2534 eff. date corrected to 3-13-95.........8772
    Regulation at 60 FR 2534 confirmed.............................13046
    Appendix A amended; interim....................................25146
    Appendix A amended; eff. 7-10-95...............................30195
    Appendix A amended; interim; eff. 7-17-95......................31641
    Appendix A amended; eff. 8-22-95...............................32606
    Appendix A amended; eff. 7-24-95...............................32612
    Appendix A amended; eff. 7-26-95...............................32916
    State operating permit approvals...............................57186

                                  1996

40 CFR
                                                                   61 FR
                                                                    Page
Chapter I
68  Authority citation revised.....................................31717
68.2  Added........................................................31731
68.3  Amended; eff. 8-19-96........................................31717
68.10  Added; eff. 8-19-96.........................................31717
68.12  Added; eff. 8-19-96.........................................31718
68.15  Added; eff. 8-19-96.........................................31718
68.20--68.42 (Subpart B)  Added; eff. 8-19-96......................31718
68.48--68.60 (Subpart C)  Added; eff. 8-19-96......................31721
68.65--68.87 (Subpart D)  Added; eff. 8-19-96......................31722
68.90--68.95 (Subpart E)  Added; eff. 8-19-96......................31725
68.100--68.130 (Subpart C)  Redesignated as 68.100--68.130 
        (Subpart F); eff. 8-19-96..................................31717
68.150--68.190 (Subpart G)  Added; eff. 8-19-96....................31726
68.200--68.220 (Subpart H)  Added; eff. 8-19-96....................31728
68  Appendix A added; eff. 8-19-96.................................31729
69.13  Added.......................................................58289
    (a)(2), (b), (c), (d)(1) and (3) corrected.....................66077
69.21--69.22 (Subpart B)  Heading revised..........................58291
69.22  Added.......................................................58291
    (a)(2), (b), (c)(1), (2), (d) and (e)(1) corrected.............66077
69.31--69.32 (Subpart C)  Heading revised..........................58292
69.32  Added.......................................................58292
    (a)(2), (b), (c)(2), (3), (d), (e)(1) and (3) corrected........66077
70.4  (d)(3) introductory text and (ii) revised; eff. 7-22-96......31448
    (d)(2) revised.................................................56370
70  Appendix A amended...2722, 2939, 3832, 4220, 4224, 5707, 7076, 8876, 
                  11739, 13103, 16065, 18088, 18968, 24461, 24720, 31443
    Appendix A corrected............................................7073
    Appendix A amended; eff. 7-5-96................................20155
    Appendix A amended; eff. 7-25-96...............................32699
    Appendix A amended.........34739, 39343, 39601, 39883, 45336, 51370, 
                         51372, 55923, 56370, 57594, 60034, 64475, 64635
    Regulation at 61 FR 45336 withdrawn............................56631
    Appendix A corrected...........................................63928
71  Operating permits..............................................39877
71.1--71.12 (Subpart A)  Added; eff. 7-31-96.......................34229

                                  1997

40 CFR
                                                                   62 FR
                                                                    Page
Chapter I
64  Added..........................................................54940
68  Interpretation.................................................45134
68.130  Tables 1 and 2 amended.....................................45132
68  Appendix A amended.............................................45132
69.11  (d) added...................................................44416
69.41..............................................................61205

[[Page 214]]

70  Guidance availability..........................................63662
70.6  (a)(3)(i)(A), (c)(5)(iii) and (iv) revised; (c)(5)(v) 
        removed....................................................54946
70  Appendix A amended.....1399, 7941, 8883, 13833, 26407, 31519, 33011, 
                                              37516, 45167, 45734, 62951
71  Guidance availability..........................................63662
71.6  (a)(3)(i)(A), (iii)(C), (c)(5)(iii) and (iv) revised; 
        (c)(5)(v) removed..........................................54947

                                  1998

40 CFR
                                                                   63 FR
                                                                    Page
Chapter I
64  Guidance availability..........................................63662
68  Delagation request.............................................55954
68.3  Amended........................................................644
68.10  (f) added.....................................................645
68.115  (b) introductory text and (2) revised; (b)(3) removed; 
        (b)(4), (5) and (6) redesignated as (b)(3), (4) and (5)......645
68.130  (a) removed; (b) and (c) redesignated as new (a) and (b) 
                                                                     645
69  Authority citation revised.....................................49465
69.51 (Subpart E)  Added...........................................49465
70  Regulation at 61 FR 31443 eff. date corrected to 2-9-98.........6494
70.5  (c) reinstated in part; CFR correction.......................64869
70  Appendix A amended...............................13346, 40057, 50773

                                  1999

40 CFR
                                                                   64 FR
                                                                    Page
Chapter I
68  Authority delegation notice....................................59650
68.2  (c) added....................................................29170
68.3  Amended........................................................979
68.10  (d)(1) revised................................................979
68.25  (e) revised; (f), (g) and (h) redesignated as (g), (h) and 
        (i); new (f) added.........................................28700
68.42  (b)(3) revised; (b)(4) through (10) redesignated as (b)(5) 
        through (11); new (b)(4) added...............................979
68.79  (a) revised...................................................979
68.150  (e) added....................................................979
68.151  Added........................................................979
68.152  Added........................................................980
68.160  (b)(1), (7) and (12) revised; (b)(14) through (18) added 
                                                                     980
68.165  (b) revised..................................................980
68.170  (b) revised..................................................980
68.175  (b) revised..................................................980
68.180  (b) revised..................................................980
69.51 (Subpart E)  (c) revised.....................................34133
70  Appendix A amended..............................................8526
    Appendix A amended; eff. 7-6-99................................23779
    Appendix A amended; eff. 8-16-99...............................32436
    Appendix A amended......................................71041, 72035
71.2  Amended.......................................................8262
71.3  (e) added.....................................................8262
71.4  (a) introductory text, (b), (f), (h) and (i) introductory 
        text revised; (j) amended...................................8262
71.8  (a) and (d) revised...........................................8263
71.9  (p) added.....................................................8263
71.11  (l)(7) added.................................................8263

                                  2000

   (Regulations published from January 1, 2000, through July 1, 2000)

40 CFR
                                                                   65 FR
                                                                    Page
Chapter I
68  Authority citation revised.....................................13250
68.3  Amended......................................................13250
68.126  Added......................................................13250
68.130  Tables 3 and 4 amended.....................................13250
70  Appendix A amended...........................1790, 3136, 7294, 32040
    Regulation at 65 FR 7294 withdrawn.............................16523
    Appendix A amended; eff. 8-7-00.........................36362, 36364
    Appendix A amended; eff. 8-14-00...............................37052
    Appendix A amended; eff. 8-21-00...............................38748