[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2004 Edition]
[From the U.S. Government Printing Office]



[[Page i]]



          40


          Parts 53 to 59

                         Revised as of July 1, 2004


          Protection of Environment
          
          


________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2004
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2004



  For sale by the Superintendent of Documents, U.S. Government Printing 
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                            Table of Contents



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

  Title 40:
          Chapter I--Environmental Protection Agency                 3
  Finding Aids:
      Material Approved for Incorporation by Reference........     343
      Table of CFR Titles and Chapters........................     345
      Alphabetical List of Agencies Appearing in the CFR......     363
      List of CFR Sections Affected...........................     373

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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 53.1 refers 
                       to title 40, part 53, 
                       section 1.

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

[[Page v]]



                               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, 2004), 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.

[[Page vi]]

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, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, 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) 741-6010.

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 202-741-6000 
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 
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    The Office of the Federal Register also offers a free service on the 
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site for public law numbers, Federal Register finding aids, and related 
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register. The NARA site also contains links to GPO Access.

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

July 1, 2004.

[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty 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 (60.1-End), part 60 (Appendices), parts 61-62, part 63 
(63.1-63.599), part 63 (63.600-1-63.1199), part 63 (63.1200-63.1439), 
part 63 (63.1440-63.8830), part 63 (63.8980-End) parts 64-71, parts 72-
80, parts 81-85, part 86 (86.1-86.599-99) part 86 (86.600-1-End), parts 
87-99, parts 100-135, parts 136-149, parts 150-189, parts 190-259, parts 
260-265, parts 266-299, parts 300-399, parts 400-424, parts 425-699, 
parts 700-789, 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, 2004.

    Chapter I--Environmental Protection Agency appears in all thirty 
volumes. An alphabetical Listing of Pesticide Chemicals Index appears in 
parts 150-189. 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, Carol A. Conroy was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

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[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                    (This book contains parts 53-59)

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

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

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




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


  Editorial Note: Nomenclature changes to chapter I appear at 65 FR 
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001; 69 FR 
18803, Apr. 9, 2004.

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
53              Ambient air monitoring reference and 
                    equivalent methods......................           5
54              Prior notice of citizen suits...............         104
55              Outer continental shelf air regulations.....         105
56              Regional consistency........................         129
57              Primary nonferrous smelter orders...........         130
58              Ambient air quality surveillance............         205
59              National volatile organic compound emission 
                    standards for consumer and commercial 
                    products................................         291

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                  SUBCHAPTER C_AIR PROGRAMS (CONTINUED)





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




                      Subpart A_General Provisions

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

Table A-1 to Subpart A--Summary of Applicable Requirements for Reference 
          Equivalent Methods for Air Monitoring of Criteria Pollutants
Appendix A to Subpart A--References

    Subpart B_Procedures for Testing Performance Characteristics of 
      Automated Methods for SO2, CO, O3, and 
                             NO2

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

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

  Subpart C_Procedures for Determining Comparability Between Candidate 
                      Methods and Reference Methods

53.30 General provisions.
53.31 Test conditions.
53.32 Test procedures for methods for SO2, CO, O3, 
          and NO2.
53.33 Test procedure for methods for lead.
53.34 Test procedure for methods for PM10 and 
          PM2.5.

Table C-1 to Subpart C--Test Concentration Ranges, Number of 
          Measurements Required, and Maximum Discrepancy Specification
Table C-2 to Subpart C--Sequence of Test Measurements
Table C-3 to Subpart C--Test Specifications for Lead Methods
Table C-4 to Subpart C--Test Specifications for PM10 and 
          PM2.5 Methods
Figure C-1 to Subpart C--Suggested Format for Reporting Test Results
Appendix A to Subpart C--References

Subpart D_Procedures for Testing Performance Characteristics of Methods 
                           for PM10

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

   Subpart E_Procedures for Testing Physical (Design) and Performance 
Characteristics of Reference Methods and Class I Equivalent Methods for 
                            PM2.5

53.50 General provisions.
53.51 Demonstration of compliance with design specifications and 
          manufacturing and test requirements.
53.52 Leak check test.
53.53 Test for flow rate accuracy, regulation, measurement accuracy, and 
          cut-off.
53.54 Test for proper sampler operation following power interruptions.
53.55 Test for effect of variations in power line voltage and ambient 
          temperature.
53.56 Test for effect of variations in ambient pressure.
53.57 Test for filter temperature control during sampling and post-
          sampling periods.
53.58 Operational field precision and blank test.
53.59 Aerosol transport test for Class I equivalent method samplers.

Table E-1 to Subpart E--Summary of Test Requirements for Reference and 
          Class I Equivalent Methods for PM2.5
Table E-2 to Subpart E--Spectral Energy Distribution and Permitted 
          Tolerance for Conducting Radiative Tests
Figure E-1 to Subpart E--Designation Testing Checklist
Figure E-2 to Subpart E--Product Manufacturing Checklist
Appendix A to Subpart E--References

Subpart F_Procedures for Testing Performance Characteristics of Class II 
                 Equivalent Methods for PM2.5

53.60 General provisions.

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53.61 Test conditions for PM2.5 reference method equivalency.
53.62 Test procedure: Full wind tunnel test.
53.63 Test procedure: Wind tunnel inlet aspiration test.
53.64 Test procedure: Static fractionator test.
53.65 Test procedure: Loading test.
53.66 Test procedure: Volatility test.

Table F-1 to Subpart F--Performance Specifications for PM2.5 
          Class II Equivalent Samplers
Table F-2 to Subpart F--Particle Sizes and Wind Speeds for Full Wind 
          Tunnel Test, Wind Tunnel Inlet Aspiration Test, and Static 
          Chamber Test
Table F-3 to Subpart F--Critical Parameters of Idealized Ambient 
          Particle Size Distributions
Table F-4 to Subpart F--Estimated Mass Concentration Measurement of 
          PM2.5 for Idealized Coarse Aerosol Size 
          Distribution
Table F-5 to Subpart F--Estimated Mass Concentration Measurement of 
          PM2.5 for Idealized ``Typical''' Coarse Aerosol 
          Size Distribution
Table F-6 to Subpart F--Estimated Mass Concentration Measurement of 
          PM2.5 for Idealized Fine Aerosol Size Distribution
Figure E-1 to Subpart F--Designation Testing Checklist
Appendix A to Subpart F--References

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

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



                      Subpart A_General Provisions

    Source: 62 FR 38784, July 18, 1997, unless otherwise noted.



Sec. 53.1  Definitions.

    Terms used but not defined in this part shall have the meaning given 
them by the Act.
    Act means the Clean Air Act (42 U.S.C. 1857-1857l), as amended.
    Administrator means the Administrator of the Environmental 
Protection Agency or the Administrator's authorized representative.
    Agency means the Environmental Protection Agency.
    Applicant means a person or entity who submits an application for a 
reference or equivalent method determination under Sec. 53.4, or a 
person or entity who assumes the rights and obligations of an applicant 
under Sec. 53.7. Applicant may include a manufacturer, distributor, 
supplier, or vendor.
    Automated method or analyzer means a method for measuring 
concentrations of an ambient air pollutant in which sample collection 
(if necessary), analysis, and measurement are performed automatically by 
an instrument.
    Candidate method means a method for measuring the concentration of 
an air pollutant in the ambient air for which an application for a 
reference method determination or an equivalent method determination is 
submitted in accordance with Sec. 53.4, or a method tested at the 
initiative of the Administrator in accordance with Sec. 53.7.
    Class I equivalent method means an equivalent method for 
PM2.5 which is based on a sampler that is very similar to the 
sampler specified for reference methods in appendix L of this part, with 
only minor deviations or modifications, as determined by EPA.
    Class II equivalent method means an equivalent method for 
PM2.5 that utilizes a PM2.5 sampler in which an 
integrated PM2.5 sample is obtained from the atmosphere by 
filtration and is subjected to a subsequent filter conditioning process 
followed by a gravimetric mass determination, but which is not a Class I 
equivalent method because of substantial deviations from the design 
specifications of the sampler specified for reference methods in 
appendix L of part 50 of this chapter, as determined by EPA.
     Class III equivalent method means an equivalent method for 
PM2.5 that has been determined by EPA not to be a Class I or 
Class II equivalent method. This fourth type of PM2.5 method 
includes alternative equivalent method samplers and continuous 
analyzers, based on designs and measurement principles different from 
those specified for reference methods (e.g., a means for estimating 
aerosol mass concentration other than by conventional integrated 
filtration followed by equilibration and gravimetric analysis. These 
samplers (or monitors) are those deemed to be substantially different 
from reference method samplers and

[[Page 7]]

are likely to use components and methods other than those specified for 
reference method samplers.
    Collocated describes two or more air samplers, analyzers, or other 
instruments which sampler the ambient air that are operated 
silmultaneously while located side by side, separated by a distance that 
is large enough to preclude the air sampled by any of the devices from 
being affected by any of the other devices, but small enough so that all 
devices obtain identical or uniform ambient air samples that are equally 
representative of the general area in which the group of devices is 
located.
    Equivalent method means a method for measuring the concentration of 
an air pollutant in the ambient air that has been designated as an 
equivalent method in accordance with this part; it does not include a 
method for which an equivalent method designation has been canceled in 
accordance with Sec. 53.11 or Sec. 53.16.
    ISO 9001-registered facility means a manufacturing facility that is 
either:
    (1) An International Organization for Standardization (ISO) 9001-
registered manufacturing facility, registered to the ISO 9001 standard 
(by the Registrar Accreditation Board (RAB) of the American Society for 
Quality Control (ASQC) in the United States), with registration 
maintained continuously.
    (2) A facility that can be demonstrated, on the basis of information 
submitted to the EPA, to be operated according to an EPA-approved and 
periodically audited quality system which meets, to the extent 
appropriate, the same general requirements as an ISO 9001-registered 
facility for the design and manufacture of designated reference and 
equivalent method samplers and monitors.
    ISO-certified auditor means an auditor who is either certified by 
the Registrar Accreditation Board (in the United States) as being 
qualified to audit quality systems using the requirements of recognized 
standards such as ISO 9001, or who, based on information submitted to 
the EPA, meets the same general requirements as provided for ISO-
certified auditors.
    Manual method means a method for measuring concentrations of an 
ambient air pollutant in which sample collection, analysis, or 
measurement, or some combination therof, is performed manually. A method 
for PM10 or PM2.5 which utilizes a sampler that 
requires manual preparation, loading, and weighing of filter samples is 
considered a manual method even though the sampler may be capable of 
automatically collecting a series of sequential samples.
    PM2.5 sampler means a device, associated with a manual 
method for measuring PM2.5, designed to collect 
PM2.5 from an ambient air sample, but lacking the ability to 
automatically analyze or measure the collected sample to determine the 
mass concentrations of PM2.5 in the sampled air.
    PM10 sampler means a device, associated with a manual 
method for measuring PM10, designed to collect 
PM10 from an ambient air sample, but lacking the ability to 
automatically analyze or measure the collected sample to determine the 
mass concentrations of PM10 in the sampled air.
    Reference method means a method of sampling and analyzing the 
ambient air for an air pollutant that is specified as a reference method 
in an appendix to part 50 of this chapter, or a method that has been 
designated as a reference method in accordance with this part; it does 
not include a method for which a reference method designation has been 
canceled in accordance with Sec. 53.11 or Sec. 53.16.
    Sequential samples for PM samplers means two or more PM samples for 
sequential (but not necessarily contiguous) time periods that are 
collected automatically by the same sampler without the need for 
intervening operator service.
    Test analyzer means an analyzer subjected to testing as part of a 
candidate method in accordance with subparts B, C, D, E, or F of this 
part, as applicable. Test sampler means a PM10 sampler or a 
PM2.5 sampler subjected to testing as part of a candidate 
method in accordance with subparts C, D, E, or F of this part.
    Ultimate purchaser means the first person or entity who purchases a 
reference method or an equivalent method for purposes other than resale.

[[Page 8]]



Sec. 53.2   General requirements for a reference method determination.

    The following general requirements for a reference method 
determination are summarized in table A-1 of this subpart.
    (a) Manual methods. (1) For measuring sulfur dioxide 
(SO2) and lead, Appendices A and G of part 50 of this chapter 
specify unique manual reference methods for those pollutants. Except as 
provided in Sec. 53.16, other manual methods for SO2 and 
lead will not be considered for reference method determinations under 
this part.
    (2) A reference method for measuring PM10 must be a 
manual method that meets all requirements specified in appendix J of 
part 50 of this chapter and must include a PM10 sampler that 
has been shown in accordance with this part to meet all requirements 
specified in subparts A and D of this part.
    (3) A reference method for measuring PM2.5 must be a 
manual method that meets all requirements specified in appendix L of 
part 50 of this chapter and must include a PM2.5 sampler that 
has been shown in accordance with this part to meet the applicable 
requirements specified in subparts A and E of this part. Further, 
reference method samplers must be manufactured in an ISO 9001-registered 
facility, as defined in Sec. 53.1 and as set forth in Sec. 53.51, and 
the Product Manufacturing Checklist set forth in subpart E of this part 
must be completed by an ISO-certified auditor, as defined in Sec. 53.1, 
and submitted to EPA annually to retain a PM2.5 reference 
method designation.
    (b) Automated methods. An automated reference method for measuring 
carbon monoxide (CO), ozone (O3), and nitrogen dioxide 
(NO2) must utilize the measurement principle and calibration 
procedure specified in the appropriate appendix to part 50 of this 
chapter and must have been shown in accordance with this part to meet 
the requirements specified in subpart B of this part.



Sec. 53.3   General requirements for an equivalent method determination.

    (a) Manual methods. A manual equivalent method must have been shown 
in accordance with this part to satisfy the applicable requirements 
specified in subpart C of this part. In addition, PM10 or 
PM2.5 samplers associated with manual equivalent methods for 
PM10 or PM2.5 must have been shown in accordance 
with this part to satisfy the following additional requirements:
    (1) A PM10 sampler associated with a manual method for 
PM10 must satisfy the requirements of subpart D of this part.
    (2) A PM2.5 Class I equivalent method sampler must 
satisfy all requirements of subparts C and E of this part, which include 
appropriate demonstration that each and every deviation or modification 
from the reference method sampler specifications does not significantly 
alter the performance of the sampler.
    (3) A PM2.5 Class II equivalent method sampler must 
satisfy the applicable requirements of subparts C, E, and F of this 
part.
    (4) Requirements for PM2.5 Class III equivalent method 
samplers are not provided in this part because of the wide range of non-
filter-based measurement technologies that could be applied and the 
likelihood that these requirements will have to be specifically adapted 
for each such type of technology. Specific requirements will be 
developed as needed and may include selected requirements from subparts 
C, E, or F of this part or other requirements not contained in this 
part.
    (5) All designated equivalent methods for PM2.5 must be 
manufactured in an ISO 9001-registered facility, as defined in Sec. 
53.1 and as set forth in Sec. 53.51, and the Product Manufacturing 
Checklist set forth in subpart E of this part must be completed by an 
ISO-certified auditor, as defined in Sec. 53.1, and submitted to EPA 
annually to retain a PM2.5 equivalent method designation.
    (b) Automated methods. (1) Automated equivalent methods for 
pollutants other than PM2.5 or PM10 must have been 
shown in accordance with this part to satisfy the requirements specified 
in subparts B and C of this part.
    (2) Automated equivalent methods for PM10 must have been 
shown in accordance with this part to satisfy the requirements of 
subparts C and D of this part.
    (3) Requirements for PM2.5 Class III automated equivalent 
methods for

[[Page 9]]

PM2.5 are not provided in this part because of the wide range 
of non-filter-based measurement technologies that could be applied and 
the likelihood that these requirements will have to be specifically 
adapted for each such type of technology. Specific requirements will be 
developed as needed and may include selected requirements from subparts 
C, E, or F of this part or other requirements not contained in this 
part.
    (4) All designated equivalent methods for PM2.5 must be 
manufactured in an ISO 9001-registered facility, as set forth in subpart 
E of this part, and the Product Manufacturing Checklist set forth in 
subpart E of this part must be completed by an ISO-certified auditor and 
submitted to EPA annually to retain a PM2.5 equivalent method 
designation.

[62 FR 38784, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 53.4   Applications for reference or equivalent method determinations.

    (a) Applications for reference or equivalent method determinations 
shall be submitted in duplicate to: Director, National Exposure Research 
Laboratory, Department E (MD-77B), U.S. Environmental Protection Agency, 
Research Triangle Park, North Carolina 27711.
    (b) Each application shall be signed by an authorized representative 
of the applicant, shall be marked in accordance with Sec. 53.15 (if 
applicable), and shall contain the following:
    (1) A clear identification of the candidate method, which will 
distinguish it from all other methods such that the method may be 
referred to unambiguously. This identification must consist of a unique 
series of descriptors such as title, identification number, analyte, 
measurement principle, manufacturer, brand, model, etc., as necessary to 
distinguish the method from all other methods or method variations, both 
within and outside the applicant's organization.
    (2) A detailed description of the candidate method, including but 
not limited to the following: The measurement principle, manufacturer, 
name, model number and other forms of identification, a list of the 
significant components, schematic diagrams, design drawings, and a 
detailed description of the apparatus and measurement procedures. 
Drawings and descriptions pertaining to candidate methods or samplers 
for PM2.5 must meet all applicable requirements in reference 
1 of appendix A of this subpart, using appropriate graphical, 
nomenclature, and mathematical conventions such as those specified in 
references 3 and 4 of appendix A of this subpart.
    (3) A copy of a comprehensive operation or instruction manual 
providing a complete and detailed description of the operational, 
maintenance, and calibration procedures prescribed for field use of the 
candidate method and all instruments utilized as part of that method 
(under Sec. 53.9(a)).
    (i) As a minimum this manual shall include:
    (A) Description of the method and associated instruments.
    (B) Explanation of all indicators, information displays, and 
controls.
    (C) Complete setup and installation instructions, including any 
additional materials or supplies required.
    (D) Details of all initial or startup checks or acceptance tests and 
any auxiliary equipment required.
    (E) Complete operational instructions.
    (F) Calibration procedures and required calibration equipment and 
standards.
    (G) Instructions for verification of correct or proper operation.
    (H) Trouble-shooting guidance and suggested corrective actions for 
abnormal operation.
    (I) Required or recommended routine, periodic, and preventative 
maintenance and maintenance schedules.
    (J) Any calculations required to derive final concentration 
measurements.
    (K) Appropriate references to appendix L of part 50 of this chapter; 
reference 6 of appendix A of this subpart; and any other pertinent 
guidelines.
    (ii) The manual shall also include adequate warning of potential 
safety hazards that may result from normal use and/or malfunction of the 
method and a description of necessary safety precautions. (See Sec. 
53.9(b).) However, the previous requirement shall not be interpreted to 
constitute or imply any warranty of safety of the method by

[[Page 10]]

EPA. For samplers and automated methods, the manual shall include a 
clear description of all procedures pertaining to installation, 
operation, preventive maintenance, and troubleshooting and shall also 
include parts identification diagrams. The manual may be used to satisfy 
the requirements of paragraphs (b)(1) and (b)(2) of this section to the 
extent that it includes information necessary to meet those 
requirements.
    (4) A statement that the candidate method has been tested in 
accordance with the procedures described in subparts B, C, D, E, and/or 
F of this part, as applicable.
    (5) Descriptions of test facilities and test configurations, test 
data, records, calculations, and test results as specified in subparts 
B, C, D, E, and/or F of this part, as applicable. Data must be 
sufficiently detailed to meet appropriate principles described in 
paragraphs 4 through 6 of reference 2 of appendix A of this subpart, 
part b, sections 3.3.1 (paragraph 1) and 3.5.1 (paragraphs 2 and 3) and 
in paragraphs 1 through 3 of reference 5 (section 4.8, Records) of 
appendix A of this subpart. Salient requirements from these references 
include the following:
    (i) The applicant shall maintain and include records of all relevant 
measuring equipment, including the make, type, and serial number or 
other identification, and most recent calibration with identification of 
the measurement standard or standards used and their National Institute 
of Standards and Technology (NIST) traceability. These records shall 
demonstrate the measurement capability of each item of measuring 
equipment used for the application and include a description and 
justification (if needed) of the measurement setup or configuration in 
which it was used for the tests. The calibration results shall be 
recorded and identified in sufficient detail so that the traceability of 
all measurements can be determined and any measurement could be 
reproduced under conditions close to the original conditions, if 
necessary, to resolve any anomalies.
    (ii) Test data shall be collected according to the standards of good 
practice and by qualified personnel. Test anomalies or irregularities 
shall be documented and explained or justified. The impact and 
significance of the deviation on test results and conclusions shall be 
determined. Data collected shall correspond directly to the specified 
test requirement and be labeled and identified clearly so that results 
can be verified and evaluated against the test requirement. Calculations 
or data manipulations must be explained in detail so that they can be 
verified.
    (6) A statement that the method, analyzer, or sampler tested in 
accordance with this part is representative of the candidate method 
described in the application.
    (c) For candidate automated methods and candidate manual methods for 
PM10 and PM2.5, the application shall also contain 
the following:
    (1) A detailed description of the quality system that will be 
utilized, if the candidate method is designated as a reference or 
equivalent method, to ensure that all analyzers or samplers offered for 
sale under that designation will have essentially the same performance 
characteristics as the analyzer(s) or samplers tested in accordance with 
this part. In addition, the quality system requirements for candidate 
methods for PM2.5 must be described in sufficient detail, 
based on the elements described in section 4 of reference 1 (Quality 
System Requirements) of appendix A of this subpart. Further 
clarification is provided in the following sections of reference 2 of 
appendix A of this subpart: part A (Management Systems), sections 2.2 
(Quality System and Description), 2.3 (Personnel Qualification and 
Training), 2.4 (Procurement of Items and Services), 2.5 (Documents and 
Records), and 2.7 (Planning); part B (Collection and Evaluation of 
Environmental Data), sections 3.1 (Planning and Scoping), 3.2 (Design of 
Data Collection Operations), and 3.5 (Assessment and Verification of 
Data Usability); and part C (Operation of Environmental Technology), 
sections 4.1 (Planning), 4.2 (Design of Systems), and 4.4 (Operation of 
Systems).
    (2) A description of the durability characteristics of such 
analyzers or samplers (see Sec. 53.9(c)). For methods for 
PM2.5, the warranty program must ensure that the required 
specifications (see table A-1 of this subpart) will be

[[Page 11]]

met throughout the warranty period and that the applicant accepts 
responsibility and liability for ensuring this conformance or for 
resolving any nonconformities, including all necessary components of the 
system, regardless of the original manufacturer. The warranty program 
must be described in sufficient detail to meet appropriate provisions of 
the ANSI/ASQC and ISO 9001 standards (references 1 and 2 in appendix A 
of this subpart) for controlling conformance and resolving 
nonconformance, particularly sections 4.12, 4.13, and 4.14 of reference 
1 in appendix A of this subpart.
    (i) Section 4.12 in appendix A of this subpart requires the 
manufacturer to establish and maintain a system of procedures for 
identifying and maintaining the identification of inspection and test 
status throughout all phases of manufacturing to ensure that only 
instruments that have passed the required inspections and tests are 
released for sale.
    (ii) Section 4.13 in appendix A of this subpart requires documented 
procedures for control of nonconforming product, including review and 
acceptable alternatives for disposition; section 4.14 in appendix A of 
this subpart requires documented procedures for implementing corrective 
(4.14.2) and preventive (4.14.3) action to eliminate the causes of 
actual or potential nonconformities. In particular, section 4.14.3 
requires that potential causes of nonconformities be eliminated by using 
information such as service reports and customer complaints to eliminate 
potential causes of nonconformities.
    (d) For candidate reference or equivalent methods for 
PM2.5, the applicant shall provide to EPA for test purposes 
one sampler or analyzer that is representative of the sampler or 
analyzer associated with the candidate method. The sampler or analyzer 
shall be shipped FOB destination to Department E, (MD-77B), U.S. EPA, 79 
T.W. Alexander Drive, Research Triangle Park, NC 27711, scheduled to 
arrive concurrent with or within 30 days of the arrival of the other 
application materials. This analyzer or sampler may be subjected to 
various tests that EPA determines to be necessary or appropriate under 
Sec. 53.5(f), and such tests may include special tests not described in 
this part. If the instrument submitted under this paragraph 
malfunctions, becomes inoperative, or fails to perform as represented in 
the application before the necessary EPA testing is completed, the 
applicant shall be afforded an opportunity to repair or replace the 
device at no cost to EPA. Upon completion of EPA testing, the analyzer 
or sampler submitted under this paragraph shall be repacked by EPA for 
return shipment to the applicant, using the same packing materials used 
for shipping the instrument to EPA unless alternative packing is 
provided by the applicant. Arrangements for, and the cost of, return 
shipment shall be the responsibility of the applicant. EPA does not 
warrant or assume any liability for the condition of the analyzer or 
sampler upon return to the applicant.



Sec. 53.5   Processing of applications.

    After receiving an application for a reference or equivalent method 
determination, the Administrator will publish notice of the application 
in the Federal Register and, within 120 calendar days after receipt of 
the application, take one or more of the following actions:
    (a) Send notice to the applicant, in accordance with Sec. 53.8, 
that the candidate method has been determined to be a reference or 
equivalent method.
    (b) Send notice to the applicant that the application has been 
rejected, including a statement of reasons for rejection.
    (c) Send notice to the applicant that additional information must be 
submitted before a determination can be made and specify the additional 
information that is needed (in such cases, the 120-day period shall 
commence upon receipt of the additional information).
    (d) Send notice to the applicant that additional test data must be 
submitted and specify what tests are necessary and how the tests shall 
be interpreted (in such cases, the 120-day period shall commence upon 
receipt of the additional test data).
    (e) Send notice to the applicant that the application has been found 
to be

[[Page 12]]

substantially deficient or incomplete and cannot be processed until 
additional information is submitted to complete the application and 
specify the general areas of substantial deficiency.
    (f) Send notice to the applicant that additional tests will be 
conducted by the Administrator, specifying the nature of and reasons for 
the additional tests and the estimated time required (in such cases, the 
120-day period shall commence 1 calendar day after the additional tests 
have been completed).



Sec. 53.6   Right to witness conduct of tests.

    (a) Submission of an application for a reference or equivalent 
method determination shall constitute consent for the Administrator or 
the Administrator's authorized representative, upon presentation of 
appropriate credentials, to witness or observe any tests required by 
this part in connection with the application or in connection with any 
modification or intended modification of the method by the applicant.
    (b) The applicant shall have the right to witness or observe any 
test conducted by the Administrator in connection with the application 
or in connection with any modification or intended modification of the 
method by the applicant.
    (c) Any tests by either party that are to be witnessed or observed 
by the other party shall be conducted at a time and place mutually 
agreeable to both parties.



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

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



Sec. 53.8   Designation of reference and equivalent methods.

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



Sec. 53.9   Conditions of designation.

    Designation of a candidate method as a reference method or 
equivalent method shall be conditioned to the applicant's compliance 
with the following requirements. Failure to comply with any of the 
requirements shall constitute a ground for cancellation of the 
designation in accordance with Sec. 53.11.

[[Page 13]]

    (a) Any method offered for sale as a reference or equivalent method 
shall be accompanied by a copy of the manual referred to in Sec. 
53.4(b)(3) when delivered to any ultimate purchaser.
    (b) Any method offered for sale as a reference or equivalent method 
shall generate no unreasonable hazard to operators or to the environment 
during normal use or when malfunctioning.
    (c) Any analyzer, PM10 sampler, or PM2.5 
sampler offered for sale as part of a reference or equivalent method 
shall function within the limits of the performance specifications 
referred to in Sec. 53.20(a), Sec. 53.30(a), Sec. 53.50, or Sec. 
53.60, as applicable, for at least 1 year after delivery and acceptance 
when maintained and operated in accordance with the manual referred to 
in Sec. 53.4(b)(3).
    (d) Any analyzer, PM10 sampler, or PM2.5 
sampler offered for sale as a reference or equivalent method shall bear 
a prominent, permanently affixed label or sticker indicating that the 
analyzer or sampler has been designated by EPA as a reference method or 
as an equivalent method (as applicable) in accordance with this part and 
displaying any designated method identification number that may be 
assigned by EPA.
    (e) If an analyzer is offered for sale as a reference or equivalent 
method and has one or more selectable ranges, the label or sticker 
required by paragraph (d) of this section shall be placed in close 
proximity to the range selector and shall indicate clearly which range 
or ranges have been designated as parts of the reference or equivalent 
method.
    (f) An applicant who offers analyzers, PM10 samplers, or 
PM2.5 samplers for sale as reference or equivalent methods 
shall maintain an accurate and current list of the names and mailing 
addresses of all ultimate purchasers of such analyzers or samplers. For 
a period of 7 years after publication of the reference or equivalent 
method designation applicable to such an analyzer or sampler, the 
applicant shall notify all ultimate purchasers of the analyzer or 
PM2.5 or PM10 sampler within 30 days if the 
designation has been canceled in accordance with Sec. 53.11 or Sec. 
53.16 or if adjustment of the analyzer or sampler is necessary under 
Sec. 53.11(b).
    (g) If an applicant modifies an analyzer, PM10 sampler, 
or PM2.5 sampler that has been designated as a reference or 
equivalent method, the applicant shall not sell the modified analyzer or 
sampler as a reference or equivalent method nor attach a label or 
sticker to the modified analyzer or sampler under paragraph (d) or (e) 
of this section until the applicant has received notice under Sec. 
53.14(c) that the existing designation or a new designation will apply 
to the modified analyzer, PM10 sampler, or PM2.5 
sampler or has applied for and received notice under Sec. 53.8(b) of a 
new reference or equivalent method determination for the modified 
analyzer or sampler.
    (h) An applicant who has offered PM2.5 samplers or 
analyzers for sale as part of a reference or equivalent method may 
continue to do so only so long as the facility in which the samplers or 
analyzers are manufactured continues to be an ISO 9001-registered 
facility, as set forth in subpart E of this part. In the event that the 
ISO 9001 registration for the facility is withdrawn, suspended, or 
otherwise becomes inapplicable, either permanently or for some specified 
time interval, such that the facility is no longer an ISO 9001-
registered facility, the applicant shall notify EPA within 30 days of 
the date the facility becomes other than an ISO 9001-registered 
facility, and upon such notification, EPA shall issue a preliminary 
finding and notification of possible cancellation of the reference or 
equivalent method designation under Sec. 53.11.
    (i) An applicant who has offered PM2.5 samplers or 
analyzers for sale as part of a reference or equivalent method may 
continue to do so only so long as updates of the Product Manufacturing 
Checklist set forth in subpart E of this part are submitted annually. In 
the event that an annual Checklist update is not received by EPA within 
12 months of the date of the last such submitted Checklist or Checklist 
update, EPA shall notify the applicant within 30 days that the Checklist 
update has not been received and shall, within 30 days from the issuance 
of such notification, issue a preliminary finding and notification of 
possible cancellation of the reference or equivalent method designation 
under Sec. 53.11.

[[Page 14]]



Sec. 53.10   Appeal from rejection of application.

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



Sec. 53.11   Cancellation of reference or equivalent method designation.

    (a) Preliminary finding. If the Administrator makes a preliminary 
finding on the basis of any available information that a representative 
sample of a method designated as a reference or equivalent method and 
offered for sale as such does not fully satisfy the requirements of this 
part or that there is any violation of the requirements set forth in 
Sec. 53.9, the Administrator may initiate proceedings to cancel the 
designation in accordance with the following procedures.
    (b) Notification and opportunity to demonstrate or achieve 
compliance. (1) After making a preliminary finding in accordance with 
paragraph (a) of this section, the Administrator will send notice of the 
preliminary finding to the applicant, together with a statement of the 
facts and reasons on which the preliminary finding is based, and will 
publish notice of the preliminary finding in the Federal Register.
    (2) The applicant will be afforded an opportunity to demonstrate or 
to achieve compliance with the requirements of this part within 60 days 
after publication of notice in accordance with paragraph (b)(1) of this 
section or within such further period as the Administrator may allow, by 
demonstrating to the satisfaction of the Administrator that the method 
in question satisfies the requirements of this part, by commencing a 
program to make any adjustments that are necessary to bring the method 
into compliance, or by taking such action as may be necessary to cure 
any violation of the requirements of Sec. 53.9. If adjustments are 
necessary to bring the method into compliance, all such adjustments 
shall be made within a reasonable time as determined by the 
Administrator. If the applicant demonstrates or achieves compliance in 
accordance with this paragraph (b)(2), the Administrator will publish 
notice of such demonstration or achievement in the Federal Register.
    (c) Request for hearing. Within 60 days after publication of a 
notice in accordance with paragraph (b)(1) of this section, the 
applicant or any interested person may request a hearing as provided in 
Sec. 53.12.
    (d) Notice of cancellation. If, at the end of the period referred to 
in paragraph (b)(2) of this section, the Administrator determines that 
the reference or equivalent method designation should be canceled, a 
notice of cancellation will be published in the Federal Register and the 
designation will be deleted from the list maintained under Sec. 
53.8(c). If a hearing has been requested and granted in accordance with 
Sec. 53.12, action under this paragraph (d) will be taken only after 
completion of proceedings (including any administrative review) 
conducted in accordance with Sec. 53.13 and only if the decision of the 
Administrator reached in such proceedings is that the designation in 
question should be canceled.



Sec. 53.12   Request for hearing on cancellation.

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

[[Page 15]]



Sec. 53.13   Hearings.

    (a)(1) After granting a request for a hearing under Sec. 53.12, the 
Administrator will designate a presiding officer for the hearing.
    (2) If a time and place for the hearing have not been fixed by the 
Administrator, the hearing will be held as soon as practicable at a time 
and place fixed by the presiding officer, except that the hearing shall 
in no case be held sooner than 30 days after publication of a notice of 
hearing in the Federal Register.
    (3) For purposes of the hearing, the parties shall include EPA, the 
applicant or interested person(s) who requested the hearing, and any 
person permitted to intervene in accordance with paragraph (c) of this 
section.
    (4) The Deputy General Counsel or the Deputy General Counsel's 
representative will represent EPA in any hearing under this section.
    (5) Each party other than EPA may be represented by counsel or by 
any other duly authorized representative.
    (b)(1) Upon appointment, the presiding officer will establish a 
hearing file. The file shall contain copies of the notices issued by the 
Administrator pursuant to Sec. 53.11(b)(1), together with any 
accompanying material, the request for a hearing and supporting data 
submitted therewith, the notice of hearing published in accordance with 
paragraph (a)(2) of this section, and correspondence and other material 
data relevant to the hearing.
    (2) The hearing file shall be available for inspection by the 
parties or their representatives at the office of the presiding officer, 
except to the extent that it contains information identified in 
accordance with Sec. 53.15.
    (c) The presiding officer may permit any interested person to 
intervene in the hearing upon such a showing of interest as the 
presiding officer may require; provided that permission to intervene may 
be denied in the interest of expediting the hearing where it appears 
that the interests of the person seeking to intervene will be adequately 
represented by another party (or by other parties), including EPA.
    (d)(1) The presiding officer, upon the request of any party or at 
the officer's discretion, may arrange for a prehearing conference at a 
time and place specified by the officer to consider the following:
    (i) Simplification of the issues.
    (ii) Stipulations, admissions of fact, and the introduction of 
documents.
    (iii) Limitation of the number of expert witnesses.
    (iv) Possibility of agreement on disposing of all or any of the 
issues in dispute.
    (v) Such other matters as may aid in the disposition of the hearing, 
including such additional tests as may be agreed upon by the parties.
    (2) The results of the conference shall be reduced to writing by the 
presiding officer and made part of the record.
    (e)(1) Hearings shall be conducted by the presiding officer in an 
informal but orderly and expeditious manner. The parties may offer oral 
or written evidence, subject to exclusion by the presiding officer of 
irrelevant, immaterial, or repetitious evidence.
    (2) Witnesses shall be placed under oath.
    (3) Any witness may be examined or cross-examined by the presiding 
officer, the parties, or their representatives. The presiding officer 
may, at his/her discretion, limit cross-examination to relevant and 
material issues.
    (4) Hearings shall be reported verbatim. Copies of transcripts of 
proceedings may be purchased from the reporter.
    (5) All written statements, charts, tabulations, and data offered in 
evidence at the hearing shall, upon a showing satisfactory to the 
presiding officer of their authenticity, relevancy, and materiality, be 
received in evidence and shall constitute part of the record.
    (6) Oral argument shall be permitted. The presiding officer may 
limit oral presentations to relevant and material issues and designate 
the amount of time allowed for oral argument.
    (f)(1) The presiding officer shall make an initial decision which 
shall include written findings and conclusions and the reasons therefore 
on all the material issues of fact, law, or discretion presented on the 
record. The findings, conclusions, and written decision shall be 
provided to the parties and made part of the record. The initial 
decision

[[Page 16]]

shall become the decision of the Administrator without further 
proceedings unless there is an appeal to, or review on motion of, the 
Administrator within 30 calendar days after the initial decision is 
filed.
    (2) On appeal from or review of the initial decision, the 
Administrator will have all the powers consistent with making the 
initial decision, including the discretion to require or allow briefs, 
oral argument, the taking of additional evidence or the remanding to the 
presiding officer for additional proceedings. The decision by the 
Administrator will include written findings and conclusions and the 
reasons or basis therefore on all the material issues of fact, law, or 
discretion presented on the appeal or considered in the review.



Sec. 53.14   Modification of a reference or equivalent method.

    (a) An applicant who offers a method for sale as a reference or 
equivalent method shall report to the EPA Administrator prior to 
implementation any intended modification of the method, including but 
not limited to modifications of design or construction or of operational 
and maintenance procedures specified in the operation manual (see Sec. 
53.9(g)). The report shall be signed by an authorized representative of 
the applicant, marked in accordance with Sec. 53.15 (if applicable), 
and addressed as specified in Sec. 53.4(a).
    (b) A report submitted under paragraph (a) of this section shall 
include:
    (1) A description, in such detail as may be appropriate, of the 
intended modification.
    (2) A brief statement of the applicant's belief that the 
modification will, will not, or may affect the performance 
characteristics of the method.
    (3) A brief statement of the probable effect if the applicant 
believes the modification will or may affect the performance 
characteristics of the method.
    (4) Such further information, including test data, as may be 
necessary to explain and support any statement required by paragraphs 
(b)(2) and (b)(3) of this section.
    (c) Within 30 calendar days after receiving a report under paragraph 
(a) of this section, the Administrator will take one or more of the 
following actions:
    (1) Notify the applicant that the designation will continue to apply 
to the method if the modification is implemented.
    (2) Send notice to the applicant that a new designation will apply 
to the method (as modified) if the modification is implemented, submit 
notice of the determination for publication in the Federal Register, and 
revise or supplement the list referred to in Sec. 53.8(c) to reflect 
the determination.
    (3) Send notice to the applicant that the designation will not apply 
to the method (as modified) if the modification is implemented and 
submit notice of the determination for publication in the Federal 
Register.
    (4) Send notice to the applicant that additional information must be 
submitted before a determination can be made and specify the additional 
information that is needed (in such cases, the 30-day period shall 
commence upon receipt of the additional information).
    (5) Send notice to the applicant that additional tests are necessary 
and specify what tests are necessary and how they shall be interpreted 
(in such cases, the 30-day period shall commence upon receipt of the 
additional test data).
    (6) Send notice to the applicant that additional tests will be 
conducted by the Administrator and specify the reasons for and the 
nature of the additional tests (in such cases, the 30-day period shall 
commence 1 calendar day after the additional tests are completed).
    (d) An applicant who has received a notice under paragraph (c)(3) of 
this section may appeal the Administrator's action as follows:
    (1) The applicant may submit new or additional information pertinent 
to the intended modification.
    (2) The applicant may request the Administrator to reconsider data 
and information already submitted.
    (3) The applicant may request that the Administrator repeat any test 
conducted that was a material factor in the Administrator's 
determination. A representative of the applicant may be present during 
the performance of any such retest.

[[Page 17]]



Sec. 53.15   Trade secrets and confidential or privileged information.

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



Sec. 53.16   Supersession of reference methods.

    (a) This section prescribes procedures and criteria applicable to 
requests that the Administrator specify a new reference method, or a new 
measurement principle and calibration procedure on which reference 
methods shall be based, by revision of the appropriate appendix to part 
50 of this chapter. Such action will ordinarily be taken only if the 
Administrator determines that a candidate method or a variation thereof 
is substantially superior to the existing reference method(s).
    (b) In exercising discretion under this section, the Administrator 
will consider:
    (1) The benefits, in terms of the requirements and purposes of the 
Act, that would result from specifying a new reference method or a new 
measurement principle and calibration procedure.
    (2) The potential economic consequences of such action for State and 
local control agencies.
    (3) Any disruption of State and local air quality monitoring 
programs that might result from such action.
    (c) An applicant who wishes the Administrator to consider revising 
an appendix to part 50 of this chapter on the ground that the 
applicant's candidate method is substantially superior to the existing 
reference method(s) shall submit an application for a reference or 
equivalent method determination in accordance with Sec. 53.4 and shall 
indicate therein that such consideration is desired. The application 
shall include, in addition to the information required by Sec. 53.4, 
data and any other information supporting the applicant's claim that the 
candidate method is substantially superior to the existing reference 
method(s).
    (d) After receiving an application under paragraph (c) of this 
section, the Administrator will publish notice of its receipt in the 
Federal Register and, within 120 calendar days after receipt of the 
application, take one of the following actions:
    (1) Determine that it is appropriate to propose a revision of the 
appendix to part 50 of this chapter in question and send notice of the 
determination to the applicant.
    (2) Determine that it is inappropriate to propose a revision of the 
appendix to part 50 of this chapter in question, determine whether the 
candidate method is a reference or equivalent method, and send notice of 
the determinations, including a statement of reasons for the 
determination not to propose a revision, to the applicant.
    (3) Send notice to the applicant that additional information must be 
submitted before a determination can be made and specify the additional 
information that is needed (in such cases, the 120-day period shall 
commence upon receipt of the additional information).
    (4) Send notice to the applicant that additional tests are 
necessary, specifying what tests are necessary and how the test shall be 
interpreted (in such cases, the 120-day period shall commence upon 
receipt of the additional test data).
    (5) Send notice to the applicant that additional tests will be 
conducted by the Administrator, specifying the nature of and reasons for 
the additional tests and the estimated time required (in such cases, the 
120-day period shall commence 1 calendar day after the additional tests 
have been completed).
    (e)(1)(i) After making a determination under paragraph (d)(1) of 
this section, the Administrator will publish a notice of proposed 
rulemaking in the Federal Register. The notice of proposed rulemaking 
will indicate that the Administrator proposes:
    (A) To revise the appendix to part 50 of this chapter in question.
    (B) Where the appendix specifies a measurement principle and 
calibration procedure, to cancel reference method designations based on 
the appendix.

[[Page 18]]

    (C) To cancel equivalent method designations based on the existing 
reference method(s).
    (ii) The notice of proposed rulemaking will include the terms or 
substance of the proposed revision, will indicate what period(s) of time 
the Administrator proposes to allow for replacement of existing methods 
under section 2.3 of appendix C to part 58 of this chapter, and will 
solicit public comments on the proposal with particular reference to the 
considerations set forth in paragraphs (a) and (b) of this section.
    (2)(i) If, after consideration of comments received, the 
Administrator determines that the appendix to part 50 in question should 
be revised, the Administrator will, by publication in the Federal 
Register:
    (A) Promulgate the proposed revision, with such modifications as may 
be appropriate in view of comments received.
    (B) Where the appendix to part 50 (prior to revision) specifies a 
measurement principle and calibration procedure, cancel reference method 
designations based on the appendix.
    (C) Cancel equivalent method designations based on the existing 
reference method(s).
    (D) Specify the period(s) that will be allowed for replacement of 
existing methods under section 2.3 of appendix C to part 58 of this 
chapter, with such modifications from the proposed period(s) as may be 
appropriate in view of comments received.
    (3) Canceled designations will be deleted from the list maintained 
under Sec. 53.8(c). The requirements and procedures for cancellation 
set forth in Sec. 53.11 shall be inapplicable to cancellation of 
reference or equivalent method designations under this section.
    (4) If the appendix to part 50 of this chapter in question is 
revised to specify a new measurement principle and calibration procedure 
on which the applicant's candidate method is based, the Administrator 
will take appropriate action under Sec. 53.5 to determine whether the 
candidate method is a reference method.
    (5) Upon taking action under paragraph (e)(2) of this section, the 
Administrator will send notice of the action to all applicants for whose 
methods reference and equivalent method designations are canceled by 
such action.
    (f) An applicant who has received notice of a determination under 
paragraph (d)(2) of this section may appeal the determination by taking 
one or more of the following actions:
    (1) The applicant may submit new or additional information in 
support of the application.
    (2) The applicant may request that the Administrator reconsider the 
data and information already submitted.
    (3) The applicant may request that any test conducted by the 
Administrator that was a material factor in making the determination be 
repeated.

 Table A-1 to Subpart A of Part 53--Summary of Applicable Requirements 
  for Reference and Equivalent Methods for Air Monitoring of Criteria 
                               Pollutants

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                  Applicable Subparts of Part 53
              Pollutant                   Ref. or Equivalent      Manual or Automated    Applicable Part -----------------------------------------------
                                                                                           50 Appendix       A       B       C       D       E       F
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2..................................  Reference..............  Manual.................               A
                                       Manual.................  .......................        [bcheck]   [bchec
                                                                                                             k]
                                       Equivalent.............  Automated..............  ...............  [bchec  [bchec  [bchec
                                                                                                             k]      k]      k]
CO...................................  Reference..............  Automated..............                C  [bchec  [bchec
                                                                                                             k]      k]
                                       Manual.................  .......................        [bcheck]   ......  [bchec
                                                                                                                     k]
                                       Equivalent.............  Automated..............  ...............  [bchec  [bchec  [bchec
                                                                                                             k]      k]      k]
O3...................................  Reference..............  Automated..............               D   [bchec  [bchec
                                                                                                             k]      k]
                                       Manual.................  .......................        [bcheck]   ......  [bchec
                                                                                                                     k]
                                       Equivalent.............  Automated..............  ...............  [bchec  [bchec  [bchec
                                                                                                             k]      k]      k]
NO2..................................  Reference..............  Automated..............               F   [bchec  [bchec
                                                                                                             k]      k]
                                       Manual.................  .......................        [bcheck]   ......  [bchec
                                                                                                                     k]
                                       Equivalent.............  Automated..............  ...............  [bchec  [bchec  [bchec
                                                                                                             k]      k]      k]
Pb...................................  Reference..............  Manual.................               G
                                       Equivalent.............  Manual.................  ...............  [bchec  ......  [bchec
                                                                                                             k]              k]
PM10.................................  Reference..............  Manual.................               J   [bchec  ......  ......  [bchec
                                                                                                             k]                      k]

[[Page 19]]

 
                                       Manual.................  .......................        [bcheck]   ......  [bchec  [bchec
                                                                                                                     k]      k]
                                       Equivalent.............  Automated..............  ...............  [bchec  ......  [bchec  [bchec
                                                                                                             k]              k]      k]
PM2.5................................  Reference..............  Manual.................               L   [bchec  ......  ......  ......  [bchec
                                                                                                             k]                              k]
                                       Equivalent Class I.....  Manual.................               L   [bchec  ......  [bchec  ......  [bchec
                                                                                                             k]              k]              k]
                                       Equivalent Class II....  Manual.................               L   [bchec  ......  [bchec  ......  [bchec  [bchec
                                                                                                             k]              k]              k]      k]
                                       Equivalent Class III...  Manual or Automated....  ...............  [bchec  ......  [bchec  ......  [bchec  [bchec
                                                                                                             k]           k] \1\          k] \1\  k] \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Note: Because of the wide variety of potential devices possible, the specific requirements applicable to a Class III candidate equivalent method for
  PM2.5 are not specified explicitly in this part but, instead, shall be determined on a case-by-case basis for each such candidiate method.

             Appendix A to Subpart A of Part 53--References

    (1) American National Standard Quality Systems-Model for Quality 
Assurance in Design, Development, Production, Installation, and 
Servicing, ANSI/ISO/ASQC Q9001-1994. Available from American Society for 
Quality Control, 611 East Wisconsin Avenue, Milwaukee, WI 53202.
    (2) American National Standard--Specifications and Guidelines for 
Quality Systems for Environmental Data Collection and Environmental 
Technology Programs, ANSI/ASQC E41994. Available from American Society 
for Quality Control, 611 East Wisconsin Avenue, Milwaukee, WI 53202.
    (3) Dimensioning and Tolerancing, ASME Y14.5M-1994. Available from 
the American Society of Mechanical Engineers, 345 East 47th Street, New 
York, NY 10017.
    (4) Mathematical Definition of Dimensioning and Tolerancing 
Principles, ASME Y14.5.1M-1994. Available from the American Society of 
Mechanical Engineers, 345 East 47th Street, New York, NY 10017.
    (5) ISO 10012, Quality Assurance Requirements for Measuring 
Equipment-Part 1: Meteorological confirmation system for measuring 
equipment):1992(E). Available from American Society for Quality Control, 
611 East Wisconsin Avenue, Milwaukee, WI 53202.
    (6) Copies of section 2.12 of the Quality Assurance Handbook for Air 
Pollution Measurement Systems, Volume II, Ambient Air Specific Methods, 
EPA/600/R-94/038b, are available from Department E (MD-77B), U.S. EPA, 
Research Triangle Park, NC 27711.

    Subpart B_Procedures for Testing Performance Characteristics of 
 Automated Methods SO2, CO, O3, and NO2



Sec. 53.20  General provisions.

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

If the tests are conducted or passed only for the specified range, any 
reference or equivalent method determination with respect to the method 
will be limited to that range. If the tests are passed for both the 
specified range and a broader range (or ranges), any such determination 
will include the broader range(s) as well as the specified range, 
provided that the tests required by subpart C of this part (if 
applicable) are met for the broader range(s). If the tests are passed 
for both the specified range and a narrower range, a reference method 
determination for the method will include the narrower range as well as 
the specified range. Appropriate test data shall be

[[Page 20]]

submitted for each range sought to be included in a reference or 
equivalent method determination under this paragraph (b).
    (c) For each performance specification (except Range), the test 
procedure shall be initially repeated seven (7) times to yield 7 test 
results. Each result shall be compared with the corresponding 
specification in table B-1; a value higher than or outside that 
specified constitutes a failure. These 7 results for each parameter 
shall be interpreted as follows:
    (1) Zero (0) failures: Candidate method passes the performance 
parameter.
    (2) Three (3) or more failures: Candidate method fails the 
performance parameter.
    (3) One (1) or two (2) failures: Repeat the test procedures for the 
parameter eight (8) additional times yielding a total of fifteen (15) 
test results. The combined total of 15 test results shall then be 
interpreted as follows:
    (i) One (1) or two (2) failures: Candidate method passes the 
performance parameter.
    (ii) Three (3) or more failures: Candidate method fails the 
performance parameter.

                           Table B-1--Performance Specifications for Automated Methods
----------------------------------------------------------------------------------------------------------------
                                                   Sulfur   Photochemical    Carbon    Nitrogen  Definitions and
    Performance parameter          Units \1\      dioxide      oxidants     monoxide   dioxide   test procedures
----------------------------------------------------------------------------------------------------------------
1. Range.....................  Parts per             0-0.5        0-0.5         0-50      0-0.5  Sec. 53.23(a).
                                million.
2. Noise.....................  ......do........       .005         .005          .50       .005  Sec. 53.23(b).
3. Lower detectable limit....  Parts per               .01          .01          1.0        .01  Sec. 53.23(c).
                                million.
4. Interference equivalent...  ................  .........  .............  .........  .........  Sec. 53.23(d).
  Each interferant...........  Parts per            
Sec. 53.21  Test conditions.

    (a) Set-up and start-up of the test analyzer shall be in strict 
accordance with the operating instructions specified in the manual 
referred to in Sec. 53.4(b)(3). Allow adequate warm-up or stabilization 
time as indicated in the operating

[[Page 21]]

instructions before beginning the tests. If the candidate method does 
not include an integral strip chart recorder, connect the output signal 
of the test analyzer to a suitable strip chart recorder of the servo, 
null-balance type. This recorder shall have a chart width of at least 25 
centimeters, chart speeds up to 10 cm per hour, a response time of 1 
second or less, a deadband of not more than 0.25 percent of full scale, 
and capability either of reading measurements at least 5 percent below 
zero or of offsetting the zero by at least 5 percent.

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

    (b) Calibration of the test analyzer shall be as indicated in the 
manual referred to in Sec. 53.4(b)(3) and as follows: If the chart 
recorder does not have below zero capability, adjust either the controls 
of the test analyzer or the chart recorder to obtain a +5% offset zero 
reading on the recorder chart to facilitate observing negative response 
or drift. If the candidate method is not capable of negative response, 
the test analyzer (not recorder) shall be operated with an offset zero. 
Construct and submit a calibration curve showing a plot of recorder 
scale readings (ordinate) against pollutant concentrations (abscissa). A 
plot of output units (volts, millivolts, milliamps, etc.) against 
pollutant concentrations shall also be shown for methods not including 
an integral chart recorder. All such plots shall consist of at least 
seven (7) approximately equally spaced, identifiable points, including 0 
and 905 percent of full scale.
    (c) Once the test analyzer has been set up and calibrated and the 
tests started, manual adjustment or normal periodic maintenance is 
permitted only every 3 days. Automatic adjustments which the test 
analyzer performs by itself are permitted at any time. The submitted 
records shall show clearly when any manual adjustment or periodic 
maintenance was made and describe the operations performed.
    (d) If the test analyzer should malfunction during any of the 
performance tests, the tests for that parameter shall be repeated. A 
detailed explanation of the malfunction, remedial action taken, and 
whether recalibration was necessary (along with all pertinent records 
and charts) shall be submitted. If more than one malfunction occurs, all 
performance test procedures for all parameters shall be repeated.
    (e) Tests for all performance parameters shall be completed on the 
same test analyzer, except that use of multiple test analyzers to 
accelerate testing will be permitted when alternate ranges of a multi-
range candidate method are being tested.



Sec. 53.22  Generation of test atmospheres.

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

[[Page 22]]



                                           Table B-2--Test Atmospheres
----------------------------------------------------------------------------------------------------------------
               Test gas                             Generation                          Verification
----------------------------------------------------------------------------------------------------------------
Ammonia...............................  Permeation device. Similar to      Indophenol method, reference 3.
                                         system described in references 1
                                         and 2.
Carbon dioxide........................  Cylinder of zero air or nitrogen   Use NBS-certified standards whenever
                                         containing CO2 as required to      possible. If NBS standards are not
                                         obtain the concentration           available, obtain 2 standards from
                                         specified in table B-3.            independent sources which agree
                                                                            within 2 percent; or obtain one
                                                                            standard and submit it to an
                                                                            independent laboratory for analysis
                                                                            which must agree within 2 percent of
                                                                            the supplier's nominal analysis.
Carbon monoxide.......................  Cylinder of zero air or nitrogen    Do.
                                         containing CO as required to
                                         obtain the concentration
                                         specified in table B-3.
Ethane................................  Cylinder of zero air or nitrogen    Do.
                                         containing ethane as required to
                                         obtain the concentration
                                         specified in table B-3.
Ethylene..............................  Cylinder of prepurified nitrogen    Do.
                                         containing ethylene as required
                                         to obtain the concentration
                                         specified in table B-3.
Hydrogen chloride.....................  Cylinder \1\ of prepurified        Collect samples in bubbler containing
                                         nitrogen containing                distilled water and analyze by the
                                         approximately 100 p/m of gaseous   mercuric thiocyanate method, ASTM
                                         HCl. Dilute with zero air to       (D512), p. 29, reference 4.
                                         concentration specified in table
                                         B-3.
Hydrogen sulfide......................  Permeation device system           Tentative method of analysis for H2 S
                                         described in references 1 and 2.   content of the atmosphere, p. 426,
                                                                            reference 5.
Methane...............................  Cylinder of zero air containing    Use NBS-certified standards whenever
                                         methane as required to obtain      possible. If NBS standards are not
                                         the concentration specified in     available, obtain 2 standards from
                                         table B-3.                         independent sources which agree
                                                                            within 2 percent; or obtain one
                                                                            standard and submit it to an
                                                                            independent laboratory for an
                                                                            analysis which must agree within 2
                                                                            percent of the supplier's nominal
                                                                            analysis.
Nitric oxide..........................  Cylinder \1\ of prepurified        Gas-phase titration as described in
                                         nitrogen containing                reference 6, section 7.1.
                                         approximately 100 p/m NO. Dilute
                                         with zero air to required
                                         concentration.
Nitrogen dioxide......................  1. Gas phase titration as          1. Use an NO 2 analyzer calibrated
                                         described in reference 6.          with a gravimetrically calibrated
                                        2. Permeation device, similar to    permeation device.
                                         system described in references 1  2. Use an NO 2 analyzer calibrated by
                                         and 2.                             gas-phase titration as described in
                                                                            reference 6.
Ozone.................................  Calibrated ozone generator as      Use an ozone analyzer calibrated by
                                         described in reference 7,          gas-phase titration as described in
                                         appendix D.                        reference 6.
Sulfur dioxide........................  Permeation device Similar to       P-rosaniline method. Reference 7,
                                         system described in reference      appendix A.
                                         method for SO2, reference 7,
                                         appendix A.
Water.................................  Pass zero air through distilled    Measure relative humidity by means of
                                         water at a fixed known             a dew-point indicator, calibrated
                                         temperature between 20[deg] and    electrolytic or piezo electric
                                         30 [deg]C. such that the air       hygrometer, or wet/dry bulb
                                         stream becomes saturated. Dilute   thermometer.
                                         with zero air to concentration
                                         specified in table B-3.
Xylene................................  Cylinder of prepurified nitrogen   Use NBS-certified standards whenever
                                         containing 100 p/m xylene.         possible. If NBS standards are not
                                         Dilute with zero air to            available, obtain 2 standards from
                                         concentration specified in table   independent sources which agree
                                         B-3.                               within 2 percent; or obtain one
                                                                            standard and submit it to an
                                                                            independent laboratory for an
                                                                            analysis which must agree within 2
                                                                            percent of the supplier's nominal
                                                                            analysis.
Zero air..............................  1. Ambient air purified by
                                         appropriate scrubbers or other
                                         devices such that it is free of
                                         contaminants likely to cause a
                                         detectable response on the
                                         analyzer.
                                        2. Cylinder of compressed zero
                                         air certified by the supplier or
                                         an independent laboratory to be
                                         free of contaminants likely to
                                         cause a detectable response on
                                         the analyzer.
----------------------------------------------------------------------------------------------------------------
\1\ Use stainless steel pressure regulator dedicated to the pollutant measured.
Reference 1. O'Keeffe, A. E., and Ortaman, G. C. ``Primary Standards for Trace Gas Analysis,'' Anal. Chem. 38,
  760 (1966).
Reference 2. Scaringelli, F. P., A. E., Rosenberg, E., and Bell, J. P., ``Primary Standards for Trace Gas
  Analysis.'' Anal. Chem. 42, 871 (1970).
Reference 3. ``Tentative Method of Analysis for Ammonia in the Atmosphere (Indophenol Method)'', Health Lab
  Sciences, vol. 10, No. 2, 115-118, April 1973.
Reference 4. 1973 Annual Book of ASTM Standards, American Society for Testing and Materials, 1916 Race St.,
  Philadelphia, PA.
Reference 5. Methods for Air Sampling and Analysis, Intersociety Committee, 1972, American Public Health
  Association, 1015.
Reference 6. Federal Register, vol. 38, No. 110, Tentative Method for the Continuous Measurement of Nitrogen
  Dioxide (Chemiluminescent) addenda C. (June 8, 1973).
Reference 7. Federal Register, vol. 36, No. 228, National Primary and Secondary Ambient Air Quality Standards,
  Nov. 25, 1971.


[[Page 23]]

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

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



Sec. 53.23  Test procedures.

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

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

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

    Note: A single calibration curve will normally suffice.

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

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

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

    (vi) Let S at 0 ppm be identified as So; compare 
So to the noise specification given in table B-1.
    (vii) Repeat steps (iii) through (vi) of this section using a 
pollutant test atmosphere concentration of 805 
percent of the upper range limit (URL) instead of zero gas, and let S at 
80 percent of the URL be identified as S80. 
Compare S80 to the noise specification given in 
table B-1.
    (viii) Both S0 and S80 must be less 
than or equal to the specification for noise to pass the test for the 
noise parameter.
    (c) Lower detectable limit--(1) Technical definition. The minimum 
pollutant concentration which produces a signal of twice the noise 
level.
    (2) Test procedure. (i) Allow sufficient time for the test analyzer 
to warm up and stabilize. Measure zero air and record the stable reading 
in ppm as BZ. (See Figure B-3 in appendix A.)
    (ii) Generate and measure a pollutant test atmosphere concentration 
equal to the value for the lower detectable limit specified in table B-
1.

    Note: If necessary, the test atmosphere concentration may be 
generated or verified at a higher concentration, then accurately

[[Page 24]]

diluted with zero air to the final required concentration.

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

[[Page 25]]



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


[[Page 26]]

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

IE = RI-R


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

[[Page 27]]

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

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

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

      Table B-4--Line Voltage and Room Temperature Test Conditions
------------------------------------------------------------------------
                          Line           Room
      Test day        voltage,\1\  temperature,\2\        Comments
                          rms           [deg]C
------------------------------------------------------------------------
0...................          115             25    Initial set-up and
                                                     adjustments.
1...................          125             20
2...................          105             20
3...................          125             30    Adjustments and/or
                                                     periodic
                                                     maintenance
                                                     permitted at end of
                                                     tests.
4...................          105             30
5...................          125             20
6...................          105             20    Adjustments and/or
                                                     periodic
                                                     maintenance
                                                     permitted at end of
                                                     tests.
7...................          125             30    Examine test results
                                                     to ascertain if
                                                     further testing is
                                                     required.
8...................          105             30
9...................          125             20    Adjustments and/or
                                                     periodic
                                                     maintenance
                                                     permitted at end of
                                                     tests.
10..................          105             20
11..................          125             30
12..................          105             30    Adjustments and/or
                                                     periodic
                                                     maintenance
                                                     permitted at end of
                                                     tests.

[[Page 28]]

 
13..................          125             20
14..................          105             20
15..................          125             30
------------------------------------------------------------------------
\1\ Voltage specified shall be controlled to  1
  volt.
\2\ Temperature specified shall be controlled to 
  1 [deg]C.


[[Page 29]]

[GRAPHIC] [TIFF OMITTED] TC01JY92.000

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

------------------------------------------------------------------------
                                               Pollutant concentration
              Test atmosphere                         (percent)
------------------------------------------------------------------------
A0........................................  Zero air.
A20.......................................  205 of
                                             the upper range limit.
A30.......................................  305 of
                                             the upper range limit.

[[Page 30]]

 
A80.......................................  805 of
                                             the upper range limit.
A90.......................................  905 of
                                             the upper range limit.
------------------------------------------------------------------------


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

[[Page 31]]

hour continuous zero air test. Determine the minimum (Cmin.) and maximum 
(Cmax.) readings (in p/m) during this period of 12 consecutive hours, 
extrapolating the calibration curve to negative concentration units if 
necessary. Determine the 12-hour zero drift (12ZD) as 12ZD = 
Cmax.-Cmin.. (See Figure B-5 in appendix A.)
    (B) Calculate the 24-hour zero drift (24ZD) for the n-th test day as 
24ZDn = Zn-Zn-1, or 24ZDn = 
Zn-Z'n-1 if zero adjustment was made on 
the previous day, where Zn = \1/
2\(L1+L2) for L1 and L2 
taken on the n-th test day.
    (C) Compare 12ZD and 24ZD to the zero drift specification in table 
B-1. Both 12ZD and 24ZD must be equal to or less than the specified 
value to pass the test for zero drift.
    (ii) Span drift. (A) Span drift at 20 percent of URL (MSD)
    [GRAPHIC] [TIFF OMITTED] TC09NO91.000
    
    [GRAPHIC] [TIFF OMITTED] TC09NO91.001
    

If span adjustment was made on the previous day, where
[GRAPHIC] [TIFF OMITTED] TC09NO91.002


n indicates the n-th test day, and i indicates the i-th reading on the n 
th day.
    (B) Span drift at 80 percent of URL (USD):
    [GRAPHIC] [TIFF OMITTED] TC09NO91.003
    

or
[GRAPHIC] [TIFF OMITTED] TC09NO91.004


If span adjustment was made on the previous day, where
[GRAPHIC] [TIFF OMITTED] TC09NO91.005


n indicates the n-th test day, and i indicates the i-th reading on the 
n-th test day.
    (C) Both USD and MSD must be equal to or less than the respective 
specifications given in table B-1 to pass the test for span draft.
    (iii) Lag time. Determine, from the strip chart, the elapsed time in 
minutes between the mark made in step (xxvi) and the first observable 
(two times the noise level) response. This time must be equal to or less 
than the time specified in table B-1 to pass the test for lag time.
    (iv) Rise time. Calculate 95 percent of reading P9 and 
determine from the recorder chart, the elapsed time between the first 
observable (two times noise level) response and a response equal to 95 
percent of the P9 reading. This time must be equal to or less 
than the rise time specified in table B-1 to pass the test for rise 
time.
    (v) Fall time. Calculate five percent of (P10-
L2) and determine, from the strip chart, the elapsed time in 
minutes between the first observable decrease in response following 
reading P10 and a response equal to five percent of 
(P10-L2). This time must be equal to or less than 
the fall time specification in table B-1 to pass the test for fall time.
    (vi) Precision. Calculate precision (P20 and 
P80) for each day's test as follows:
    (A)
    [GRAPHIC] [TIFF OMITTED] TC09NO91.006
    
    (B)
    [GRAPHIC] [TIFF OMITTED] TC09NO91.007
    
    (C) Both P20 and P80 
must be equal to or less than the specification given in table B-1 to 
pass the test for precision.

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

[[Page 32]]

 Appendix A to Subpart B of Part 53--Optional Forms for Reporting Test 
                                 Results

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


[[Page 33]]




[[Page 34]]




[[Page 35]]




[[Page 36]]




[[Page 37]]

[GRAPHIC] [TIFF OMITTED] TC09NO91.031


[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18169, Apr. 25, 1975]

  Subpart C_Procedures for Determining Comparability Between Candidate 
                      Methods and Reference Methods

    Source: 62 FR 38792, July 18, 1997, unless otherwise noted.



Sec. 53.30   General provisions.

    (a) Determination of comparability. The test procedures prescribed 
in this subpart shall be used to determine if a candidate method is 
comparable to a reference method when both methods measure pollutant 
concentrations in ambient air.

[[Page 38]]

    (1) Comparability is shown for SO2, CO, O3, 
and NO2 methods when the differences between:
    (i) Measurements made by a candidate manual method or by a test 
analyzer representative of a candidate automated method.
    (ii) Measurements made simultaneously by a reference method, are 
less than or equal to the values specified in the last column of table 
C-1 of this subpart.
    (2) Comparability is shown for lead methods when the differences 
between:
    (i) Measurements made by a candidate method.
    (ii) Measurements made by the reference method on simultaneously 
collected lead samples (or the same sample, if applicable), are less 
than or equal to the value specified in table C-3 of this subpart.
    (3) Comparability is shown for PM10 and PM2.5 
methods when the relationship between:
    (i) Measurements made by a candidate method.
    (ii) Measurements made by a reference method on simultaneously 
collected samples (or the same sample, if applicable) at each of two 
test sites, is such that the linear regression parameters (slope, 
intercept, and correlation coefficient) describing the relationship meet 
the values specified in table C-4 of this subpart.
    (b) Selection of test sites--(1) All methods. Each test site shall 
be in a predominately urban area which can be shown to have at least 
moderate concentrations of various pollutants. The site shall be clearly 
identified and shall be justified as an appropriate test site with 
suitable supporting evidence such as maps, population density data, 
vehicular traffic data, emission inventories, pollutant measurements 
from previous years, concurrent pollutant measurements, and 
meteorological data. If approval of a proposed test site is desired 
prior to conducting the tests, a written request for approval of the 
test site or sites must be submitted prior to conducting the tests and 
must include the supporting and justification information required. The 
Administrator may exercise discretion in selecting a different site (or 
sites) for any additional tests the Administrator decides to conduct.
    (2) Methods for SO2, CO, O3, and 
NO2. All test measurements are to be made at the same test 
site. If necessary, the concentration of pollutant in the sampled 
ambient air may be augmented with artificially generated pollutant to 
facilitate measurements in the specified ranges described under 
paragraph (d)(2) of this section.
    (3) Methods for Pb. Test measurements may be made at any number of 
test sites. Augmentation of pollutant concentrations is not permitted, 
hence an appropriate test site or sites must be selected to provide lead 
concentrations in the specified range.
    (4) Methods for PM10. Test measurements must be made, or 
derived from particulate samples collected, at not less than two test 
sites, each of which must be located in a geographical area 
characterized by ambient particulate matter that is significantly 
different in nature and composition from that at the other test site(s). 
Augmentation of pollutant concentrations is not permitted, hence 
appropriate test sites must be selected to provide PM10 
concentrations in the specified range. The tests at the two sites may be 
conducted in different calendar seasons, if appropriate, to provide 
PM10 concentrations in the specified ranges.
    (5) Methods for PM2.5. Augmentation of pollutant 
concentrations is not permitted, hence appropriate test sites must be 
selected to provide PM2.5 concentrations and 
PM2.5/PM10 ratios (if applicable) in the specified 
ranges.
    (i) Where only one test site is required, as specified in table C-4 
of this subpart, the site need only meet the PM2.5 ambient 
concentration levels required by Sec. 53.34(c)(3).
    (ii) Where two sites are required, as specified in table C-4 of this 
subpart, each site must be selected to provide the ambient concentration 
levels required by Sec. 53.34(c)(3). In addition, one site must be 
selected such that all acceptable test sample sets, as defined in Sec. 
53.34(c)(3), have a PM2.5/PM10 ratio of more than 
0.75; the other site must be selected such that all acceptable test 
sample sets, as defined in Sec. 53.34(c)(3), have a PM2.5/
PM10 ratio of less than 0.40. At least two reference method

[[Page 39]]

PM10 samplers shall be collocated with the candidate and 
reference method PM2.5 samplers and operated simultaneously 
with the other samplers at each test site to measure concurrent ambient 
concentrations of PM10 to determine the PM2.5/
PM10 ratio for each sample set. The PM2.5/
PM10 ratio for each sample set shall be the average of the 
PM2.5 concentration, as determined in Sec. 53.34(c)(1), 
divided by the average PM10 concentration, as measured by the 
PM10 samplers. The tests at the two sites may be conducted in 
different calendar seasons, if appropriate, to provide PM2.5 
concentrations and PM2.5/PM10 ratios in the 
specified ranges.
    (c) Test atmosphere. Ambient air sampled at an appropriate test site 
or sites shall be used for these tests. Simultaneous concentration 
measurements shall be made in each of the concentration ranges specified 
in tables C-1, C-3, or C-4 of this subpart, as appropriate.
    (d) Sample collection--(1) All methods. All test concentration 
measurements or samples shall be taken in such a way that both the 
candidate method and the reference method receive air samples that are 
homogenous or as nearly identical as practical.
    (2) Methods for SO2, CO, O3, and 
NO2. Ambient air shall be sampled from a common intake and 
distribution manifold designed to deliver homogenous air samples to both 
methods. Precautions shall be taken in the design and construction of 
this manifold to minimize the removal of particulates and trace gases, 
and to ensure that identical samples reach the two methods. If 
necessary, the concentration of pollutant in the sampled ambient air may 
be augmented with artificially-generated pollutant. However, at all 
times the air sample measured by the candidate and reference methods 
under test shall consist of not less than 80 percent ambient air by 
volume. Schematic drawings, physical illustrations, descriptions, and 
complete details of the manifold system and the augmentation system (if 
used) shall be submitted.
    (3) Methods for Pb, PM10 and PM2.5. The 
ambient air intake points of all the candidate and reference method 
collocated samplers for lead, PM10 or PM2.5 shall 
be positioned at the same height above the ground level, and between 2 
and 4 meters apart. The samplers shall be oriented in a manner that will 
minimize spatial and wind directional effects on sample collection.
    (4) PM10 methods employing the same sampling procedure as 
the reference method but a different analytical method. Candidate 
methods for PM10 which employ a sampler and sample collection 
procedure that are identical to the sampler and sample collection 
procedure specified in the reference method, but use a different 
analytical procedure, may be tested by analyzing common samples. The 
common samples shall be collected according to the sample collection 
procedure specified by the reference method and shall be analyzed in 
accordance with the analytical procedures of both the candidate method 
and the reference method.
    (e) Submission of test data and other information. All recorder 
charts, calibration data, records, test results, procedural descriptions 
and details, and other documentation obtained from (or pertinent to) 
these tests shall be identified, dated, signed by the analyst performing 
the test, and submitted. For candidate methods for PM2.5, all 
submitted information must meet the requirements of the ANSI/ASQC E4 
Standard, sections 3.3.1, paragraphs 1 and 2 (reference 1 of appendix A 
of this subpart).



Sec. 53.31   Test conditions.

    (a) All methods. All test measurements made or test samples 
collected by means of a sample manifold as specified in Sec. 
53.30(d)(2) shall be at a room temperature between 20 [deg]C and 30 
[deg]C, and at a line voltage between 105 and 125 volts. All methods 
shall be calibrated as specified in paragraph (c) of this section prior 
to initiation of the tests.
    (b) Samplers and automated methods. (1) Setup and start-up of the 
test analyzer, test sampler(s), and reference method (if applicable) 
shall be in strict accordance with the applicable operation manual(s). 
If the test analyzer does not have an integral strip chart or digital 
data recorder, connect the analyzer output to a suitable strip chart or 
digital data recorder. This recorder shall have a chart width of at 
least 25

[[Page 40]]

centimeters, a response time of 1 second or less, a deadband of not more 
than 0.25 percent of full scale, and capability of either reading 
measurements at least 5 percent below zero or offsetting the zero by at 
least 5 percent. Digital data shall be recorded at appropriate time 
intervals such that trend plots similar to a strip chart recording may 
be constructed with a similar or suitable level of detail.
    (2) Other data acquisition components may be used along with the 
chart recorder during the conduct of these tests. Use of the chart 
recorder is intended only to facilitate visual evaluation of data 
submitted.
    (3) Allow adequate warmup or stabilization time as indicated in the 
applicable operation manual(s) before beginning the tests.
    (c) Calibration. The reference method shall be calibrated according 
to the appropriate appendix to part 50 of this chapter (if it is a 
manual method) or according to the applicable operation manual(s) (if it 
is an automated method). A candidate manual method (or portion thereof) 
shall be calibrated, according to the applicable operation manual(s), if 
such calibration is a part of the method.
    (d) Range. (1) Except as provided in paragraph (d)(2) of this 
section, each method shall be operated in the range specified for the 
reference method in the appropriate appendix to part 50 of this chapter 
(for manual reference methods), or specified in table B-1 of subpart B 
of this part (for automated reference methods).
    (2) For a candidate method having more than one selectable range, 
one range must be that specified in table B-1 of subpart B of this part 
and a test analyzer representative of the method must pass the tests 
required by this subpart while operated on that range. The tests may be 
repeated for a broader range (i.e., one extending to higher 
concentrations) than the one specified in table B-1 of subpart B of this 
part, provided that the range does not extend to concentrations more 
than two times the upper range limit specified in table B-1 of subpart B 
of this part and that the test analyzer has passed the tests required by 
subpart B of this part (if applicable) for the broader range. If the 
tests required by this subpart are conducted or passed only for the 
range specified in table B-1 of subpart B of this part, any equivalent 
method determination with respect to the method will be limited to that 
range. If the tests are passed for both the specified range and a 
broader range (or ranges), any such determination will include the 
broader range(s) as well as the specified range. Appropriate test data 
shall be submitted for each range sought to be included in such a 
determination.
    (e) Operation of automated methods. (1) Once the test analyzer has 
been set up and calibrated and tests started, manual adjustment or 
normal periodic maintenance as specified in the manual referred to in 
Sec. 53.4(b)(3) is permitted only every 3 days. Automatic adjustments 
which the test analyzer performs by itself are permitted at any time. 
The submitted records shall show clearly when manual adjustments were 
made and describe the operations performed.
    (2) All test measurements shall be made with the same test analyzer; 
use of multiple test analyzers is not permitted. The test analyzer shall 
be operated continuously during the entire series of test measurements.
    (3) If a test analyzer should malfunction during any of these tests, 
the entire set of measurements shall be repeated, and a detailed 
explanation of the malfunction, remedial action taken, and whether 
recalibration was necessary (along with all pertinent records and 
charts) shall be submitted.



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

    (a) Conduct the first set of simultaneous measurements with the 
candidate and reference methods:
    (1) Table C-1 of this subpart specifies the type (1- or 24-hour) and 
number of measurements to be made in each of the three test 
concentration ranges.
    (2) The pollutant concentration must fall within the specified range 
as measured by the reference method.
    (3) The measurements shall be made in the sequence specified in 
table C-2 of this subpart, except for the 1-hour SO2 
measurements, which are all in the high range.

[[Page 41]]

    (b) For each pair of measurements, determine the difference 
(discrepancy) between the candidate method measurement and reference 
method measurement. A discrepancy which exceeds the discrepancy 
specified in table C-1 of this subpart constitutes a failure. Figure C-1 
of this subpart contains a suggested format for reporting the test 
results.
    (c) The results of the first set of measurements shall be 
interpreted as follows:
    (1) Zero failures. The candidate method passes the test for 
comparability.
    (2) Three or more failures. The candidate method fails the test for 
comparability.
    (3) One or two failures. Conduct a second set of simultaneous 
measurements as specified in table C-1 of this subpart. The results of 
the combined total of first-set and second-set measurements shall be 
interpreted as follows:
    (i) One or two failures. The candidate method passes the test for 
comparability.
    (ii) Three or more failures. The candidate method fails the test for 
comparability.
    (4) For SO2, the 1-hour and 24-hour measurements shall be 
interpreted separately, and the candidate method must pass the tests for 
both 1- and 24-hour measurements to pass the test for comparability.
    (d) A 1-hour measurement consists of the integral of the 
instantaneous concentration over a 60-minute continuous period divided 
by the time period. Integration of the instantaneous concentration may 
be performed by any appropriate means such as chemical, electronic, 
mechanical, visual judgment, or by calculating the mean of not less than 
12 equally spaced instantaneous readings. Appropriate allowances or 
corrections shall be made in cases where significant errors could occur 
due to characteristic lag time or rise/fall time differences between the 
candidate and reference methods. Details of the means of integration and 
any corrections shall be submitted.
    (e) A 24-hour measurement consists of the integral of the 
instantaneous concentration over a 24-hour continuous period divided by 
the time period. This integration may be performed by any appropriate 
means such as chemical, electronic, mechanical, or by calculating the 
mean of 24 sequential 1-hour measurements.
    (f) For ozone and carbon monoxide, no more than six 1-hour 
measurements shall be made per day. For sulfur dioxide, no more than 
four 1-hour measurements or one 24-hour measurement shall be made per 
day. One-hour measurements may be made concurrently with 24-hour 
measurements if appropriate.
    (g) For applicable methods, control or calibration checks may be 
performed once per day without adjusting the test analyzer or method. 
These checks may be used as a basis for a linear interpolation-type 
correction to be applied to the measurements to correct for drift. If 
such a correction is used, it shall be applied to all measurements made 
with the method, and the correction procedure shall become a part of the 
method.



Sec. 53.33   Test procedure for methods for lead.

    (a) Sample collection. Collect simultaneous 24-hour samples 
(filters) of lead at the test site or sites with both the reference and 
candidate methods until at least 10 filter pairs have been obtained. If 
the conditions of Sec. 53.30(d)(4) apply, collect at least 10 common 
samples (filters) in accordance with Sec. 53.30(d)(4) and divide each 
to form the filter pairs.
    (b) Audit samples. Three audit samples must be obtained from the 
address given in Sec. 53.4(a). The audit samples are 3/4x8-inch glass 
fiber strips containing known amounts of lead at the following nominal 
levels: 100 [mu]g/strip; 300 [mu]g/strip; 750 [mu]g/strip. The true 
amount of lead, in total [mu]g/strip, will be provided with each audit 
sample.
    (c) Filter analysis. (1) For both the reference method samples and 
the audit samples, analyze each filter extract three times in accordance 
with the reference method analytical procedure. The analysis of 
replicates should not be performed sequentially, i.e., a single sample 
should not be analyzed three

[[Page 42]]

times in sequence. Calculate the indicated lead concentrations for the 
reference method samples in [mu]g/m3 for each analysis of 
each filter. Calculate the indicated total lead amount for the audit 
samples in [mu]g/strip for each analysis of each strip. Label these test 
results as R1A, R1B, R1C, 
R2A, R2B, ..., Q1A, Q1B, 
Q1C, ..., where R denotes results from the reference method 
samples; Q denotes results from the audit samples; 1, 2, 3 indicate the 
filter number, and A, B, C indicate the first, second, and third 
analysis of each filter, respectively.
    (2) For the candidate method samples, analyze each sample filter or 
filter extract three times and calculate, in accordance with the 
candidate method, the indicated lead concentrates in [mu]g/m3 
for each analysis of each filter. Label these test results as 
C1A, C1B, C2C, ..., where C denotes 
results from the candidate method. For candidate methods which provide a 
direct measurement of lead concentrations without a separable procedure, 
C1A = C1B = C1C, C2A = 
C2B = C2C, etc.
    (d) Average lead concentration. For the reference method, calculate 
the average lead concentration for each filter by averaging the 
concentrations calculated from the three analyses:
                               Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.052

where:

i is the filter number.

    (e) Acceptable filter pairs. Disregard all filter pairs for which 
the lead concentration as determined in the previous paragraph (d) of 
this section by the average of the three reference method 
determinations, falls outside the range of 0.5 to 4.0 [mu]g/
m3. All remaining filter pairs must be subjected to both of 
the following tests for precision and comparability. At least five 
filter pairs must be within the 0.5 to 4.0 [mu]g/m3 range for 
the tests to be valid.
    (f) Test for precision. (1) Calculate the precision (P) of the 
analysis (in percent) for each filter and for each method, as the 
maximum minus the minimum divided by the average of the three 
concentration values, as follows:
                               Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.053


or
                               Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.054

where:

i indicates the filter number.

    (2) If any reference method precision value (PRi) exceeds 
15 percent, the precision of the reference method analytical procedure 
is out of control. Corrective action must be taken to determine the 
source(s) of imprecision and the reference method determinations must be 
repeated according to paragraph (c) of this section, or the entire test 
procedure (starting with paragraph (a) of this section) must be 
repeated.
    (3) If any candidate method precision value (PCi) exceeds 
15 percent, the candidate method fails the precision test.
    (4) The candidate method passes this test if all precision values 
(i.e., all PRi's and all PCi's) are less than 15 
percent.
    (g) Test for accuracy. (1)(i) For the audit samples calculate the 
average lead concentration for each strip by averaging the 
concentrations calculated from the three analyses:
                               Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.055

where:

i is audit sample number.

    (ii) Calculate the percent difference (Dq) between the 
indicated lead concentration for each audit sample and the true lead 
concentration (Tq) as follows:
                               Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.056

    (2) If any difference value (Dqi) exceeds 5 percent, the accuracy of the

[[Page 43]]

reference method analytical procedure is out of control. Corrective 
action must be taken to determine the source of the error(s) (e.g., 
calibration standard discrepancies, extraction problems, etc.) and the 
reference method and audit sample determinations must be repeated 
according to paragraph (c) of this section, or the entire test procedure 
(starting with paragraph (a) of this section) must be repeated.
    (h) Test for comparability. (1) For each filter pair, calculate all 
nine possible percent differences (D) between the reference and 
candidate methods, using all nine possible combinations of the three 
determinations (A, B, and C) for each method, as:
                               Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.057

where:

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

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



Sec. 53.34   Test procedure for methods for PM10 and 
          PM2.5.

    (a) Collocated measurements. Set up three reference method samplers 
collocated with three candidate method samplers or analyzers at each of 
the number of test sites specified in table C-4 of this subpart. At each 
site, obtain as many sets of simultaneous PM10 or 
PM2.5 measurements as necessary (see paragraph (c)(3) of this 
section), each set consisting of three reference method and three 
candidate method measurements, all obtained simultaneously. For 
PM2.5 candidate Class II equivalent methods, at least two 
collocated PM10 reference method samplers are also required 
to obtain PM2.5/PM10 ratios for each sample set. 
Candidate PM10 method measurements shall be 24-hour 
integrated measurements; PM2.5 measurements may be either 24- 
or 48-hour integrated measurements. All collocated measurements in a 
sample set must cover the same 24- or 48-hour time period. For samplers, 
retrieve the samples promptly after sample collection and analyze each 
sample according to the reference method or candidate method, as 
appropriate, and determine the PM10 or PM2.5 
concentration in [mu]g/m3. If the conditions of Sec. 
53.30(d)(4) apply, collect sample sets only with the three reference 
method samplers. Guidance for quality assurance procedures for 
PM2.5 methods is found in section 2.12 of the Quality 
Assurance Handbook (reference 6 of appendix A to subpart A of this 
part).
    (b) Sequential samplers. For sequential samplers, the sampler shall 
be configured for the maximum number of sequential samples and shall be 
set for automatic collection of all samples sequentially such that the 
test samples are collected equally, to the extent possible, among all 
available sequential channels or utilizing the full available sequential 
capability.
    (c) Test for comparability and precision. (1) For each of the 
measurement sets, calculate the average PM10 or 
PM2.5 concentration obtained with the reference method 
samplers:
                               Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.058

where:

R denotes results from the reference method;
i is the sampler number; and
j is the set.

    (2)(i) For each of the measurement sets, calculate the precision of 
the reference method PM10 or PM2.5 measurements 
as:

[[Page 44]]

                               Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.059


 If the corresponding Rj is below:

80 [mu]g/m3 for PM10 methods.
40 [mu]g/m3 for 24-hour PM2.5 at single test sites 
for Class I candidate methods.
40 [mu]g/m3 for 24-hour PM2.5 at sites having 
PM2.5/PM10 ratios 0.75.
30 [mu]g/m3 for 48-hour PM2.5 at single test sites 
for Class I candidate methods.
30 [mu]g/m3 for 48-hour PM2.5 at sites having 
PM2.5/PM10 ratios 0.75.
30 [mu]g/m3 for 24-hour PM2.5 at sites having 
PM2.5/PM10 ratios <0.40.
20 [mu]g/m3 for 48-hour PM2.5 at sites having 
PM2.5/PM10 ratios 0.75.

    (ii) Otherwise, calculate the precision of the reference method 
PM10 or PM2.5 measurements as:
                               Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.060

    (3) If Rj falls outside the acceptable concentration 
range specified in table C-4 of this subpart for any set, or if 
Pj RPj as applicable, exceeds the value specified 
in table C-4 of this subpart for any set, that set of measurements shall 
be discarded. For each site, table C-4 of this subpart specifies the 
minimum number of sample sets required for various conditions, and Sec. 
53.30(b)(5) specifies the PM2.5/PM10 ratio 
requirements applicable to Class II candidate equivalent methods. 
Additional measurement sets shall be collected and analyzed, as 
necessary, to provide a minimum of 10 acceptable measurement sets for 
each test site. If more than 10 measurement sets are collected that meet 
the above criteria, all such measurement sets shall be used to 
demonstrate comparability.
    (4) For each of the acceptable measurement sets, calculate the 
average PM10 or PM2.5 concentration obtained with 
the candidate method samplers:
                               Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.061

where:

C denotes results from the candidate method;
i is the sampler number; and
j is the set.

    (5) For each site, plot the average PM10 or 
PM2.5 measurements obtained with the candidate method 
(Rj) against the corresponding average PM10 or 
PM2.5 measurements obtained with the reference method 
(Rj). For each site, calculate and record the linear 
regression slope and intercept, and the correlation coefficient.
    (6) If the linear regression parameters calculated under paragraph 
(c)(5) of this section meet the values specified in table C-4 of this 
subpart for all test sites, the candidate method passes the test for 
comparability.

[62 FR 38792, July 19, 1997; 63 FR 7714, Feb. 17, 1998]

Table C-1 to Subpart C of Part 53--Test Concentration Ranges, Number of 
      Measurements Required, and Maximum Discrepancy Specification

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                              Simultaneous Measurements Required             Maximum
                                                                                       ------------------------------------------------    Discrepancy
                 Pollutant                     Concentration Range Parts per Million             1-hr                    24-hr           Specification,
                                                                                       ------------------------------------------------     Parts per
                                                                                         First Set  Second Set   First Set  Second Set       Million
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ozone......................................  Low 0.06 to 0.10.........................           5           6  ..........  ..........              0.02
                                             Med 0.15 to 0.25.........................           5           6  ..........  ..........               .03
                                             High 0.35 to 0.45........................           4           6  ..........  ..........               .04
                                                                                       -------------
                                               Total..................................          14          18
                                                                                       =============

[[Page 45]]

 
Carbon Monoxide............................  Low 7 to 11..............................           5           6  ..........  ..........               1.5
                                             Med 20 to 30.............................           5           6  ..........  ..........               2.0
                                             High 35 to 45............................           4           6  ..........  ..........               3.0
                                                                                       -------------
                                               Total..................................          14          18
                                                                                       =============
Sulfur Dioxide.............................  Low 0.02 to 0.05.........................  ..........  ..........           3           3              0.02
                                             Med 0.10 to 0.15.........................  ..........  ..........           2           3               .03
                                             High 0.30 to 0.50........................           7           8           2           2               .04
                                                                                       -------------
                                                Total.................................           7           8           7           8
                                                                                       =============
Nitrogen Dioxide...........................  Low 0.02 to 0.08.........................  ..........  ..........           3           3              0.02
                                             Med 0.10 to 0.20.........................  ..........  ..........           2           3               .03
                                             High 0.25 to 0.35........................  ..........  ..........           2           2               .03
                                                                                       -------------
                                               Total..................................  ..........  ..........           7           8
--------------------------------------------------------------------------------------------------------------------------------------------------------

     Table C-2 toSubpart C of Part 53--Sequence of Test Measurements

------------------------------------------------------------------------
                                               Concentration Range
              Measurement              ---------------------------------
                                           First Set        Second Set
------------------------------------------------------------------------
1.....................................             Low           Medium
2.....................................            High             High
3.....................................          Medium              Low
4.....................................            High             High
5.....................................             Low           Medium
6.....................................          Medium              Low
7.....................................             Low           Medium
8.....................................          Medium              Low
9.....................................            High             High
10....................................          Medium              Low
11....................................            High           Medium
12....................................             Low             High
13....................................          Medium           Medium
14....................................             Low             High
15....................................  ...............             Low
16....................................  ...............          Medium
17....................................  ...............             Low
18....................................  ...............            High
------------------------------------------------------------------------

 Table C-3 to Subpart C of Part 53--Test Specifications for Lead Methods


------------------------------------------------------------------------
 
------------------------------------------------------------------------
Concentration range, [mu]g/m\3\...............................   0.5-4.0
Minimum number of 24-hr measurements..........................         5
Maximum analytical precision, percent.........................         5
Maximum analytical accuracy, percent..........................    10 and PM2.5 Methods

------------------------------------------------------------------------
                                                          PM2.5
          Specification                PM10    -------------------------
                                                  Class I      Class II
------------------------------------------------------------------------
Acceptable concentration range         30-300       10-200       10-200
 (Rj), [mu]g/m3..................
Minimum number of test sites.....           2            1            2
Number of candidate method                  3            3            3
 samplers per site...............
Number of reference method                  3            3            3
 samplers per site...............
Minimum number of acceptable
 sample sets per site for PM10:
    Rj < 80 [mu]g/m3.............           3
    Rj > 80 [mu]g/m3.............           3
        Total....................          10
Minimum number of acceptable
 sample sets per site for PM2.5:

[[Page 46]]

 
    Single test site for Class I
     candidate equivalent
     methods:
        Rj < 40 [mu]g/m3 for 24-   ...........           3
         hr or Rj < 30 [mu]g/m3
         for 48-hr samples.......
        Rj > 40 [mu]g/m3 for 24-   ...........           3
         hr or Rj > 30 [mu]g/m3
         for 48-hr samples.......
    Sites at which the PM2.5/PM10
     ratio must be > 0.75:
        Rj < 40 [mu]g/m3 for 24-   ...........  ...........           3
         hr or Rj < 30 [mu]g/m3
         for 48-hr samples.......
        Rj > 40 [mu]g/m3 for 24-   ...........  ...........           3
         hr or Rj > 30 [mu]g/m3
         for 48-hr samples.......
    Sites at which the PM2.5/PM10
     ratio must be < 0.40:
        Rj < 30 [mu]g/m3 for 24-   ...........  ...........           3
         hr or Rj < 20 [mu]g/m3
         for 48-hr samples.......
        Rj > 30 [mu]g/m3 for 24-   ...........  ...........           3
         hr or Rj > 20 [mu]g/m3
         for 48-hr samples.......
Total, each site.................  ...........          10           10
Precision of replicate reference   5 [mu]g/m3   2 [mu]g/m3   2 [mu]g/m3
 method measurements, Pj or RPj         or 7%        or 5%        or 5%
 respectively, maximum...........
Slope of regression relationship.     1    
 and candidate method                   =0.97        =0.97        =0.97
 measurements....................
------------------------------------------------------------------------


[62 FR 38792, July 18, 1997; 63 FR 7714, Feb. 17, 1998]

Figure C-1 to Subpart C of Part 53--Suggested Format for Reporting Test 
                                 Results

                  Candidate Method------------------------------------------------------------
                  Reference Method------------------------------------------------------------
                  Applicant--------------------------------------------------------------------
                     [squ] First Set [squ] Second Set [squ] Type [squ] 1 Hour [squ] 24 Hour
----------------------------------------------------------------------------------------------------------------
                                                     Concentration, ppm
Concentration Range          Date        Time    --------------------------  Difference    Table C-1    Pass or
                                                   Candidate    Reference                    Spec.       Fail
----------------------------------------------------------------------------------------------------------------
        Low          1
---------- ppm
to -------- ppm1
                    ------
                     2
                    ------
                     3
                    ------
                     4
                    ------
                     5
                    ------
                     6
--------------------
       Medium        1
---------- ppm
to -------- ppm1
                    ------
                     2
                    ------
                     3
                    ------
                     4
                    ------
                     5
                    ------
                     6
--------------------
        High         1
---------- ppm
to -------- ppm1
                    ------
                     2
                    ------
                     3
                    ------
                     4
                    ------

[[Page 47]]

 
                     5
                    ------
                     6
                    ------
                     7
                    ------
                     8
                    ------
                     ...  ..........  ..........  ...........  ...........  ............  Total
                                                                                          Failures:
----------------------------------------------------------------------------------------------------------------

             Appendix A to Subpart C of Part 53--References

    (1) American National Standard--Specifications and Guidelines for 
Quality Systems for Environmental Data Collection and Environmental 
Technology Programs, ANSI/ASQC E4-1994. Available from American Society 
for Quality Control, 611 East Wisconsin Avenue, Milwaukee, WI 53202.

Subpart D_Procedures for Testing Performance Characteristics of Methods 
                           for PM10

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



Sec. 53.40  General provisions.

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

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

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

[[Page 48]]

    (e) For the 50 percent cutpoint parameter, the test result for each 
wind speed shall be reported as the particle size at which the curve 
specified in Sec. 53.40(d) crosses the 50 percent effectiveness line. 
The candidate method passes the 50 percent cutpoint test if the test 
result at each wind speed falls within 100.5 
[mu]m.
    (f) The solid particle sampling effectiveness of a test sampler 
shall be determined in a wind tunnel using 25 [mu]m particles at 2 wind 
speeds as specified in table D-2. A minimum of three replicate 
measurements of sampling effectiveness for the 25 [mu]m solid particles 
shall be required at both wind speeds for a minimum of 6 test 
measurements.
    (g) For the solid particle sampling effectiveness parameter, the 
test result for each wind speed shall be reported as the difference 
between the average of the replicate sampling effectiveness measurements 
obtained for the 25 [mu]m solid particles and the average of the 
replicate measurements obtained for the 25 [mu]m liquid particles. The 
candidate method passes the solid particle sampling effectiveness test 
if the test result for each wind speed is less than, or equal to, 5 
percent.
    (h) The precision and flow rate stability of three identical test 
samplers shall be determined at a suitable test site by simultaneously 
sampling the PM10 concentration of the atmosphere for 10 
periods of 24 hours.
    (i) For the precision parameter, the test result for each of the 10 
periods of 24 hours shall be calculated using the procedure in Sec. 
53.43(c). The candidate method passes the precision test if all of the 
test results meet the specifications in table D-1.
    (j) For the flow rate stability parameter, the test results for each 
of the three test samplers and for each of the 10 periods of 24 hours 
shall be calculated using the procedure in Sec. 53.43(d). The candidate 
method passes the flow rate stability test if all of the test results 
meet the specifications in table D-1.
    (k) All test data and other documentation obtained from or pertinent 
to these tests shall be identified, dated, signed by the analyst 
performing the test, and submitted to EPA.

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



Sec. 53.41  Test conditions.

    (a) Set-up and start-up of all test samplers shall be in strict 
accordance with the operating instructions specified in the manual 
referred to in Sec. 53.4(b)(3).
    (b) If the internal surface or surfaces of the candidate method's 
sampler inlet on which the particles removed by the inlet are collected 
is a dry surface (i.e., not normally coated with oil or grease), those 
surfaces shall be cleaned prior to conducting wind tunnel tests with 
solid particles.
    (c) Once the test sampler or samplers have been set up and the 
performance tests started, manual adjustment shall be permitted only 
between test points for the sampling effectiveness and 50 percent 
cutpoint tests or between test

[[Page 49]]

days for the precision and flow rate stability tests. The manual 
adjustments and any periodic maintenance shall be limited to only those 
procedures prescribed in the manual referred to in Sec. 53.4(b)(3). The 
submitted records shall show clearly when any manual adjustment or 
periodic maintenance was made and shall describe the operations 
performed.
    (d) If a test sampler malfunctions during any of the sampling 
effectiveness and 50 percent cutpoint tests, that test run shall be 
repeated. If a test sampler malfunctions during any of the precision and 
flow rate stability tests, that day's test shall be repeated. A detailed 
explanation of all malfunctions and the remedial actions taken shall be 
submitted to EPA with the application.



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

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

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

    (b) The size of the test particles delivered to the test section of 
the wind tunnel shall be established using the operating parameters of 
the vibrating orifice aerosol generator and shall be verified during the 
tests by microscopic examination of samples of the particles collected 
on glass slides or other suitable substrates. When sizing liquid 
particles on glass slides, the slides should be pretreated with an 
oleophobic surfactant and an appropriate flattening factor shall be used 
in the calculation of aerodynamic diameter. The particle size, as 
established by the operating parameters of the vibrating orifice aerosol 
generator, shall be within the tolerance specified in table D-2. The 
precision of the particle size verification technique shall be 0.5 [mu]m 
or better, and particle size determined by the verification technique 
shall not differ by more than 0.5 [mu]m or 10 percent, whichever is 
higher, from that established by the operating parameters of the 
vibrating orifice aerosol generator.
    (c) The population of multiplets in a test particle atmosphere shall 
be determined during the tests and shall not exceed 10 percent. Solid 
particles shall be checked for dryness and evidence of breakage or 
agglomeration during the microscopic examination. If the solid particles 
in a test atmosphere are wet or show evidence of significant breakage or 
agglomeration ([mu]5 percent), the solid particle test atmosphere is 
unacceptable for purposes of these tests.
    (d) The concentration of particles in the wind tunnel is not 
critical. However, the cross-sectional uniformity of the particle 
concentration in the sampling zone of the test section shall be

[[Page 50]]

established during the tests using isokinetic samplers. An array of not 
less than five evenly spaced isokinetic samplers shall be used to 
determine the particle concentration uniformity in the sampling zone. If 
the particle concentration measured by any single isokinetic sampler in 
the sampling zone differs by more than 10 percent from the mean 
concentration, the particle delivery system is unacceptable in terms of 
uniformity of particle concentration. The sampling zone shall be a 
rectangular area having a horizontal dimension not less than 1.2 times 
the width of the test sampler at its inlet opening and a vertical 
dimension not less than 25 centimeters. The sampling zone is an area in 
the test section of the wind tunnel that is horizontally and vertically 
symmetrical with respect to the test sampler inlet opening.
    (e) The wind speed in the wind tunnel shall be determined during the 
tests using an appropriate technique capable of a precision of 5 percent 
or better (e.g., hot-wire anemometry). The mean wind speed in the test 
section of the wind tunnel during the tests shall be within 10 percent 
of the value specified in table D-2. The wind speed measured at any test 
point in the test section shall not differ by more than 10 percent from 
the mean wind speed in the test section. The turbulence intensity 
(longitudinal component and macroscale) in the test section shall be 
determined during the tests using an appropriate technique (e.g., hot-
wire anemometry).
    (f) The accuracy of all flow measurements used to calculate the test 
atmosphere concentrations and the test results shall be documented to be 
within 2 percent, referenced to a primary 
standard. Any flow measurement corrections shall be clearly shown. All 
flow measurements shall be given in actual volumetric units.
    (g) Schematic drawings of the particle delivery system (wind tunnel 
and blower system) and other information showing complete procedural 
details of the test atmosphere generation, verification, and delivery 
techniques shall be submitted to EPA. All pertinent calculations shall 
be clearly presented.



Sec. 53.43  Test procedures.

    (a) Sampling effectiveness--(1) Technical definition. The ratio 
(expressed as a percentage) of the mass concentration of particles of a 
given size reaching the sampler filter or filters to the mass 
concentration of particles of the same size approaching the sampler.
    (2) Test procedure. (i) Establish a wind speed specified in table D-
2 and measure the wind speed and turbulence intensity (longitudinal 
component and macroscale) at a minimum of 12 test points in a cross-
sectional area of the test section of the wind tunnel. The mean wind 
speed in the test section must be within 10 
percent of the value specified in table D-2 and the variation at any 
test point in the test section may not exceed 10 percent of the mean.
    (ii) Generate particles of a size and type specified in table D-2 
using a vibrating orifice aerosol generator. Check for the presence of 
satellites and adjust the generator as necessary. Calculate the 
aerodynamic particle size using the operating parameters of the 
vibrating orifice aerosol generator and record. The calculated 
aerodynamic diameter must be within the tolerance specified in table D-
2.
    (iii) Collect a sample of the particles on a glass slide or other 
suitable substrate at the particle injection point. If a glass slide is 
used, it should be pretreated with an appropriate oleophobic surfactant 
when collecting liquid particles. Use a microscopic technique to size a 
minimum of 25 primary particles in three viewing fields (do not include 
multiplets). Determine the geometric mean aerodynamic diameter and 
geometric standard deviation using the bulk density of the particle type 
(and an appropriate flattening factor for liquid particles if collected 
on a glass slide). The measured geometric mean aerodynamic diameter must 
be within 0.5 [mu]m or 10 percent of the aerodynamic diameter calculated 
from the operating parameters of the vibrating orifice aerosol 
generator. The geometric standard deviation must not exceed 1.1.
    (iv) Determine the population of multiplets (doublets and triplets) 
in the collected sample by counting a minimum of 100 particles in three 
viewing fields. The multiplet population of

[[Page 51]]

the particle test atmosphere must not exceed 10 percent.
    (v) Introduce the particles into the wind tunnel and allow the 
particle concentration to stabilize.
    (vi) Install an array of five or more evenly spaced isokinetic 
samplers in the sampling zone (see Sec. 53.42(d)) of the wind tunnel. 
Collect particles on appropriate filters (e.g., glass fiber) over a time 
period such that the relative error of the measured particle 
concentration is less than 5 percent. Relative error is defined as 
(px100%)/(X), where p is the precision of the fluorometer on the 
appropriate range, X is the measured concentration, and the units of p 
and X are the same.
    (vii) Determine the quantity of material collected with each 
isokinetic sampler in the array using a calibrated fluorometer. 
Calculate and record the mass concentration for each isokinetic sampler 
as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.015

where
i = replicate number and j = isokinetic sampler number.

    (viii) Calculate and record the mean mass concentration as:
    [GRAPHIC] [TIFF OMITTED] TC09NO91.016
    
where

n = total number of isokinetic samplers.

    (ix) Calculate and record the coefficient of variation of the mass 
concentration measurements as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.017


If the value of CViso(i) exceeds 0.10, the particle 
concentration uniformity is unacceptable and steps (vi) through (ix) 
must be repeated. If adjustment of the vibrating orifice aerosol 
generator or changes in the particle delivery system are necessary to 
achieve uniformity, steps (ii) through (ix) must be repeated. Remove the 
array of isokinetic samplers from the wind tunnel. NOTE: A single 
isokinetic sampler, operated at the same nominal flow rate as the test 
sampler, may be used in place of the array of isokinetic samplers for 
the determination of particle mass concentration used in the calculation 
of sampling effectiveness of the test sampler in step (xiii). In this 
case, the array of isokinetic samplers must be used to demonstrate 
particle concentration uniformity prior to the replicate measurements of 
sampling effectiveness.
    (x) If a single isokinetic sampler is used, install the sampler in 
the wind tunnel with the sampler nozzle centered in the sampling zone 
(see Sec. 53.42(d)). Collect particles on an appropriate filter (e.g., 
glass fiber) for a time period such that the relative error of the 
measured concentration (as defined in step (vi)) is less than 5 percent. 
Determine the quantity of material collected with the isokinetic sampler 
using a calibrated fluorometer. Calculate and record the mass 
concentration as Ciso(i) as in step vii. Remove the

[[Page 52]]

isokinetic sampler from the wind tunnel.
    (xi) Install the test sampler (or portion thereof) in the wind 
tunnel with the sampler inlet opening centered in the sampling zone (see 
Sec. 53.42(d)). To meet the maximum blockage limit of Sec. 53.42(a) or 
for convenience, part of the test sampler may be positioned external to 
the wind tunnel provided that neither the geometry of the sampler nor 
the length of any connecting tube or pipe is altered. Collect particles 
on an appropriate filter or filters (e.g., glass fiber) for a time 
period such that the relative error of the measured concentration (as 
defined in step (vi)) is less than 5 percent.
    (xii) Determine the quantity of material collected with the test 
sampler using a calibrated fluorometer. Calculate and record the mass 
concentration as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.018

where i=replicate number.

    (xiii) Calculate and record the sampling effectiveness of the test 
sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.019

where i = replicate number.

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

    (xiv) Remove the test sampler from the wind tunnel. Repeat steps 
(vi) through (xiii), as appropriate, to obtain a minimum of three 
replicate measurements of sampling effectiveness.
    (xv) Calculate and record the average sampling effectiveness of the 
test sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.020

where n=number of replicates.
    (xvi) Calculate and record the coefficient of variation for the 
replicate sampling effectiveness measurements of the test sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.021


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

[[Page 53]]

and 1 in the second column of table D-3.
    (C) Multiply the values of Ecorr in column 2 by the 
interval mass concentration values in column 3 and enter the products in 
column 4 of table D-3.
    (D) Sum the values in column 4 and enter the total as the expected 
mass concentration for the test sampler at the bottom of column 4 of 
table D-3.
    (E) Calculate and record the percent difference in expected mass 
concentration between the test sampler and the ideal sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.022

where:

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

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

                                                Table D-3--Expected Mass Concentration for PM10 Samplers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                Test sampler                                                      Ideal Sampler
                     -----------------------------------------------------------------------------------------------------------------------------------
 Particle size (um)                             Interval mass         Expected mass                               Interval mass         Expected mass
                            Sampling        concentration ([mu]g/ concentration ([mu]g/       Sampling        concentration ([mu]g/ concentration ([mu]g/
                          effectiveness             m\3\)                 m\3\)             effectiveness             m\3\)                 m\3\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1)                                  (2)                   (3)                   (4)                   (5)                   (6)                   (7)
---------------------
              <1.0                 1.000                62.813                62.813                 1.000                62.813                62.813
               1.5    ....................               9.554    ....................               0.949                 9.554                 9.067
              02.0    ....................               2.164    ....................               0.942                 2.164                 2.038
              02.5    ....................               1.785    ....................               0.933                 1.785                 1.665
              03.0    ....................               2.084    ....................               0.922                 2.084                 1.921
              03.5    ....................               2.618    ....................               0.909                 2.618                 2.380
              04.0    ....................               3.211    ....................               0.893                 3.211                 2.867
              04.5    ....................               3.784    ....................               0.876                 3.784                 3.315
              05.0    ....................               4.300    ....................               0.857                 4.300                 3.685
              05.5    ....................               4.742    ....................               0.835                 4.742                 3.960
              06.0    ....................               5.105    ....................               0.812                 5.105                 4.145
              06.5    ....................               5.389    ....................               0.786                 5.389                 4.236
              07.0    ....................               5.601    ....................               0.759                 5.601                 4.251
              07.5    ....................               5.746    ....................               0.729                 5.746                 4.189
              08.0    ....................               5.834    ....................               0.697                 5.834                 4.066
              08.5    ....................               5.871    ....................               0.664                 5.871                 3.898
              09.0    ....................               5.864    ....................               0.628                 5.864                 3.683
              09.5    ....................               5.822    ....................               0.590                 5.822                 3.435
              10.0    ....................               5.750    ....................               0.551                 5.750                 3.168
              10.5    ....................               5.653    ....................               0.509                 5.653                 2.877
              11.0    ....................               8.257    ....................               0.465                 8.257                 3.840
              12.0    ....................              10.521    ....................               0.371                10.521                 3.903
              13.0    ....................               9.902    ....................               0.269                 9.902                 2.664
              14.0    ....................               9.250    ....................               0.159                 9.250                 1.471
              15.0    ....................               8.593    ....................               0.041                 8.593                 0.352
              16.0    ....................               7.948    ....................               0.000                 7.948                 0.000
              17.0    ....................               7.329    ....................               0.000                 7.329                 0.000
              18.0    ....................               9.904    ....................               0.000                 9.904                 0.000
              20.0    ....................              11.366    ....................               0.000                11.366                 0.000
              22.0    ....................               9.540    ....................               0.000                 9.540                 0.000
              24.0    ....................               7.997    ....................               0.000                 7.997                 0.000
              26.0    ....................               6.704    ....................               0.000                 6.704                 0.000
              28.0    ....................               5.627    ....................               0.000                 5.627                 0.000
              30.0    ....................               7.785    ....................               0.000                 7.785                 0.000
              35.0    ....................               7.800    ....................               0.000                 7.800                 0.000
              40.0    ....................               5.192    ....................               0.000                 5.192                 0.000
              45.0    ....................               4.959    ....................               0.000                 4.959                 0.000
                      ....................       Csam(exp) = D    ....................  ....................       Cideal(exp) =               143.889
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 54]]

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

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

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



[[Page 55]]


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


where n = number of flow rate measurements during the 24-hour test day.

    (iii) For each sampler and for each test day, calculate and record 
the percent difference between the average flow rate and the initial 
flow rate as:


where F(i)(j)(0) is the initial flow rate (t=0).

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


where t = 6, 12, 18, or 24 hours.

    (v) The candidate method passes the flow rate stability test if all 
of the [Delta] F(i)(j) and [Delta] F(i)(j)(t) 
values meet the specifications in table D-1.

   Subpart E_Procedures for Testing Physical (Design) and Performance 
Characteristics of Reference Methods and Class I Equivalent Methods for 
                            PM2.5

    Source: 62 FR 38799, July 18, 1997, unless otherwise noted.



Sec. 53.50   General provisions.

    (a) This subpart sets forth the specific tests that must be carried 
out and the test results, evidence, documentation, and other materials 
that must be provided to EPA to demonstrate that a PM2.5 
sampler associated with a candidate reference method or Class I 
equivalent method meets all design and performance specifications set 
forth in 40 CFR part 50, appendix L, as well as additional requirements 
specified in this subpart E. Some of these tests may also be applicable 
to portions of a candidate Class II equivalent method sampler, as 
determined under subpart F of this part. Some or all of these tests may 
also be applicable to a candidate Class III equivalent method sampler, 
as may be determined under Sec. 53.3(a)(4) or Sec. 53.3(b)(3).
    (b) Samplers associated with candidate reference methods for 
PM2.5 shall be subject to the provisions, specifications, and 
test procedures prescribed in Sec. Sec. 53.51 through 53.58. Samplers 
associated with candidate Class I equivalent methods for 
PM2.5 shall be subject to the provisions, specifications, and 
test procedures prescribed in all sections of this subpart. Samplers 
associated with candidate Class II equivalent methods for 
PM2.5 shall be subject to the provisions, specifications, and 
test procedures prescribed in all applicable sections of this subpart, 
as specified in subpart F of this part.
    (c) The provisions of Sec. 53.51 pertain to test results and 
documentation required to demonstrate compliance of a candidate method 
sampler with the design specifications set forth in 40 CFR part 50, 
appendix L. The test procedures prescribed in Sec. Sec. 53.52 through 
53.59 pertain to performance tests required to demonstrate compliance of 
a candidate method sampler with the performance specifications set forth 
in 40

[[Page 56]]

CFR part 50, appendix L, as well as additional requirements specified in 
this subpart E. These latter test procedures shall be used to test the 
performance of candidate samplers against the performance specifications 
and requirements specified in each procedure and summarized in table E-1 
of this subpart.
    (d) Test procedures prescribed in Sec. 53.59 do not apply to 
candidate reference method samplers. These procedures apply primarily to 
candidate Class I equivalent method samplers for PM2.5 which 
have a sample air flow path configuration upstream of the sample filter 
that is modified with respect to that specified for the reference method 
sampler, as set forth in 40 CFR part 50, appendix L, figures L-1 to L-
29, such as might be necessary to provide for sequential sample 
capability. The additional tests determine the adequacy of aerosol 
transport through any altered components or supplemental devices that 
are used in a candidate sampler upstream of the sample filter. In 
addition to the other test procedures in this subpart, these test 
procedures shall be used to further test the performance of such an 
equivalent method sampler against the performance specifications given 
in the procedure and summarized in table E-1 of this subpart.
    (e) A 10-day operational field test of measurement precision is 
required under Sec. 53.58 for both candidate reference and equivalent 
method samplers. This test requires collocated operation of three 
candidate method samplers at a field test site. For candidate equivalent 
method samplers, this test may be combined and carried out concurrently 
with the test for comparability to the reference method specified under 
Sec. 53.34, which requires collocated operation of three reference 
method samplers and three candidate equivalent method samplers.
    (f) All tests and collection of test data shall be performed in 
accordance with the requirements of reference 1, section 4.10.5 (ISO 
9001) and reference 2, part B, section 3.3.1, paragraphs 1 and 2 and 
part C, section 4.6 (ANSI/ASQC E4) in appendix A of this subpart. All 
test data and other documentation obtained specifically from or 
pertinent to these tests shall be identified, dated, signed by the 
analyst performing the test, and submitted to EPA in accordance with 
subpart A of this part.



Sec. 53.51   Demonstration of compliance with design specifications and 
          manufacturing and test requirements.

    (a) Overview. (1) The subsequent paragraphs of this section specify 
certain documentation that must be submitted and tests that are required 
to demonstrate that samplers associated with a designated reference or 
equivalent method for PM2.5 are properly manufactured to meet 
all applicable design and performance specifications and have been 
properly tested according to all applicable test requirements for such 
designation. Documentation is required to show that instruments and 
components of a PM2.5 sampler are manufactured in an ISO 
9001-registered facility under a quality system that meets ISO-9001 
requirements for manufacturing quality control and testing.
    (2) In addition, specific tests are required to verify that two 
critical features of reference method samplers impactor jet diameter and 
the surface finish of surfaces specified to be anodized meet the 
specifications of 40 CFR part 50, appendix L. A checklist is required to 
provide certification by an ISO-certified auditor that all performance 
and other required tests have been properly and appropriately conducted, 
based on a reasonable and appropriate sample of the actual operations or 
their documented records. Following designation of the method, another 
checklist is required, initially and annually, to provide an ISO-
certified auditor's certification that the sampler manufacturing process 
is being implemented under an adequate and appropriate quality system.
    (3) For the purposes of this section, the definitions of ISO 9001-
registered facility and ISO-certified auditor are found in Sec. 53.1. 
An exception to the reliance by EPA on ISO-certified auditors is the 
requirement for the submission of the operation or instruction manual 
associated with the candidate method to EPA as part of the application. 
This manual is required under Sec. 53.4(b)(3). EPA has determined that 
acceptable technical judgment for review of this

[[Page 57]]

manual may not be assured by ISO-certified auditors, and approval of 
this manual will therefore be performed by EPA.
    (b) ISO registration of manufacturing facility. (1) The applicant 
must submit documentation verifying that the samplers identified and 
sold as part of a designated PM2.5 reference or equivalent 
method will be manufactured in an ISO 9001-registered facility and that 
the manufacturing facility is maintained in compliance with all 
applicable ISO 9001 requirements (reference 1 in appendix A of this 
subpart). The documentation shall indicate the date of the original ISO 
9001 registration for the facility and shall include a copy of the most 
recent certification of continued ISO 9001 facility registration. If the 
manufacturer does not wish to initiate or complete ISO 9001 registration 
for the manufacturing facility, documentation must be included in the 
application to EPA describing an alternative method to demonstrate that 
the facility meets the same general requirements as required for 
registration to ISO-9001. In this case, the applicant must provide 
documentation in the application to demonstrate, by required ISO-
certified auditor's inspections, that a quality system is in place which 
is adequate to document and monitor that the sampler system components 
and final assembled samplers all conform to the design, performance and 
other requirements specified in this part and in 40 CFR part 50, 
appendix L.
    (2) Phase-in period. For a period of 1 year following the effective 
date of this subpart, a candidate reference or equivalent method for 
PM2.5 that utilizes a sampler manufactured in a facility that 
is not ISO 9001-registered or otherwise approved by EPA under paragraph 
(b)(1) of this section may be conditionally designated as a reference or 
equivalent method under this part. Such conditional designation will be 
considered on the basis of evidence submitted in association with the 
candidate method application showing that appropriate efforts are 
currently underway to seek ISO 9001 registration or alternative approval 
of the facility's quality system under paragraph (b)(1) of this section 
within the next 12 months. Such conditional designation shall expire 1 
year after the date of the Federal Register notice of the conditional 
designation unless documentation verifying successful ISO 9001 
registration for the facility or other EPA-acceptable quality system 
review and approval process of the production facility that will 
manufacture the samplers is submitted at least 30 days prior to the 
expiration date.
    (c) Sampler manufacturing quality control. The manufacturer must 
ensure that all components used in the manufacture of PM2.5 
samplers to be sold as part of a reference or equivalent method and that 
are specified by design in 40 CFR part 50, appendix L, are fabricated or 
manufactured exactly as specified. If the manufacturer's quality records 
show that its quality control (QC) and quality assurance (QA) system of 
standard process control inspections (of a set number and frequency of 
testing that is less than 100 percent) complies with the applicable QA 
provisions of section 4 of reference 4 in appendix A of this subpart and 
prevents nonconformances, 100 percent testing shall not be required 
until that conclusion is disproved by customer return or other 
independent manufacturer or customer test records. If problems are 
uncovered, inspection to verify conformance to the drawings, 
specifications, and tolerances shall be performed. Refer also to 
paragraph (e) of this section--final assembly and inspection 
requirements.
    (d) Specific tests and supporting documentation required to verify 
conformance to critical component specifications--(1) Verification of 
PM2.5 impactor jet diameter. The diameter of the jet of each 
impactor manufactured for a PM2.5 sampler under the impactor 
design specifications set forth in 40 CFR part 50, appendix L, shall be 
verified against the tolerance specified on the drawing, using standard, 
NIST-traceable ZZ go/no go plug gages. This test shall be a final check 
of the jet diameter following all fabrication operations, and a record 
shall be kept of this final check.

[[Page 58]]

The manufacturer shall submit evidence that this procedure is 
incorporated into the manufacturing procedure, that the test is or will 
be routinely implemented, and that an appropriate procedure is in place 
for the disposition of units that fail this tolerance test.
    (2) Verification of surface finish. The anodization process used to 
treat surfaces specified to be anodized shall be verified by testing 
treated specimen surfaces for weight and corrosion resistance to ensure 
that the coating obtained conforms to the coating specification. The 
specimen surfaces shall be finished in accordance with military standard 
specification 8625F, Type II, Class I (reference 4 in appendix A of this 
subpart) in the same way the sampler surfaces are finished, and tested, 
prior to sealing, as specified in section 4.5.2 of reference 4 in 
appendix A of this subpart.
    (e) Final assembly and inspection requirements. Each sampler shall 
be tested after manufacture and before delivery to the final user. Each 
manufacturer shall document its post-manufacturing test procedures. As a 
minimum, each test shall consist of the following: Tests of the overall 
integrity of the sampler, including leak tests; calibration or 
verification of the calibration of the flow measurement device, 
barometric pressure sensor, and temperature sensors; and operation of 
the sampler with a filter in place over a period of at least 48 hours. 
The results of each test shall be suitably documented and shall be 
subject to review by an ISO-certified auditor.
    (f) Manufacturer's audit checklists. Manufacturers shall require an 
ISO-certified auditor to sign and date a statement indicating that the 
auditor is aware of the appropriate manufacturing specifications 
contained in 40 CFR part 50, appendix L, and the test or verification 
requirements in this subpart. Manufacturers shall also require an ISO-
certified auditor to complete the checklists, shown in figures E-1 and 
E-2 of this subpart, which describe the manufacturer's ability to meet 
the requirements of the standard for both designation testing and 
product manufacture.
    (1) Designation testing checklist. The completed statement and 
checklist as shown in figure E-1 of this subpart shall be submitted with 
the application for reference or equivalent method determination.
    (2) Product manufacturing checklist. Manufacturers shall require an 
ISO-certified auditor to complete a Product Manufacturing Checklist 
(figure E-2 of this subpart), which evaluates the manufacturer on its 
ability to meet the requirements of the standard in maintaining quality 
control in the production of reference or equivalent devices. The 
initial completed checklist shall be submitted with the application for 
reference or equivalent method determination. Also, this checklist 
(figure E-2 of this subpart) must be completed and submitted annually to 
retain a reference or equivalent method designation for a 
PM2.5 method.
    (3) Phase-in period. If the conditions of paragraph (b)(2) of this 
section apply, a candidate reference or equivalent method for 
PM2.5 may be conditionally designated as a reference or 
equivalent method under this part 53 without the submission of the 
checklists described in paragraphs (f)(1) and (f)(2) of this section. 
Such conditional designation shall expire 1 year after the date of the 
Federal Register notice of the conditional designation unless the 
checklists are submitted at least 30 days prior to the expiration date.

[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 53.52   Leak check test.

    (a) Overview. In section 7.4.6 of 40 CFR part 50, appendix L, the 
sampler is required to include the facility, including components, 
instruments, operator controls, a written procedure, and other 
capabilities as necessary, to allow the operator to carry out a leak 
test of the sampler at a field monitoring site without additional 
equipment. This test procedure is intended to test the adequacy and 
effectiveness of the sampler's leak check facility. Because of the 
variety of potential sampler configurations and leak check procedures 
possible, some adaptation of this procedure may be necessary to 
accommodate the specific sampler

[[Page 59]]

under test. The test conditions and performance specifications 
associated with this test are summarized in table E-1 of this subpart. 
The candidate test sampler must meet all test parameters and test 
specifications to successfully pass this test.
    (b) Technical definitions. (1) External leakage includes the total 
flow rate of external ambient air which enters the sampler other than 
through the sampler inlet and which passes through any one or more of 
the impactor, filter, or flow rate measurement components.
    (2) Internal leakage is the total sample air flow rate that passes 
through the filter holder assembly without passing through the sample 
filter.
    (c) Required test equipment. (1) Flow rate measurement device, range 
70 mL/min to 130 mL/min, 2 percent certified accuracy, NIST-traceable.
    (2) Flow rate measurement adaptor (40 CFR part 50, appendix L, 
figure L-30) or equivalent adaptor to facilitate measurement of sampler 
flow rate at the top of the downtube.
    (3) Impermeable membrane or disk, 47 mm nominal diameter.
    (4) Means, such as a micro-valve, of providing a simulated leak flow 
rate through the sampler of approximately 80 mL/min under the conditions 
specified for the leak check in the sampler's leak check procedure.
    (5) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L.
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and one or more non-zero flow rates within 7 days of use for this 
test.
    (e) Test setup. (1) The test sampler shall be set up for testing as 
described in the sampler's operation or instruction manual referred to 
in Sec. 53.4(b)(3). The sampler shall be installed upright and set up 
in its normal configuration for collecting PM2.5 samples, 
except that the sample air inlet shall be removed and the flow rate 
measurement adaptor shall be installed on the sampler's downtube.
    (2) The flow rate control device shall be set up to provide a 
constant, controlled flow rate of 80 mL/min into the sampler downtube 
under the conditions specified for the leak check in the sampler's leak 
check procedure.
    (3) The flow rate measurement device shall be set up to measure the 
controlled flow rate of 80 mL/min into the sampler downtube under the 
conditions specified for the leak check in the sampler's leak check 
procedure.
    (f) Procedure. (1) Install the impermeable membrane in a filter 
cassette and install the cassette into the sampler. Carry out the 
internal leak check procedure as described in the sampler's operation/
instruction manual and verify that the leak check acceptance criterion 
specified in table E-1 of this subpart is met.
    (2) Replace the impermeable membrane with a Teflon filter and 
install the cassette in the sampler. Remove the inlet from the sampler 
and install the flow measurement adaptor on the sampler's downtube. 
Close the valve of the adaptor to seal the flow system. Conduct the 
external leak check procedure as described in the sampler's operation/
instruction manual and verify that the leak check acceptance criteria 
specified in table E-1 of this subpart are met.
    (3) Arrange the flow control device, flow rate measurement device, 
and other apparatus as necessary to provide a simulated leak flow rate 
of 80 mL/min into the test sampler through the downtube during the 
specified external leak check procedure. Carry out the external leak 
check procedure as described in the sampler's operation/instruction 
manual but with the simulated leak of 80 mL/min.
    (g) Test results. The requirements for successful passage of this 
test are:
    (1) That the leak check procedure indicates no significant external 
or internal leaks in the test sampler when no simulated leaks are 
introduced.
    (2) That the leak check procedure properly identifies the occurrence 
of the simulated external leak of 80 mL/min.

[[Page 60]]



Sec. 53.53   Test for flow rate accuracy, regulation, measurement 
          accuracy, and cut-off.

    (a) Overview. This test procedure is designed to evaluate a 
candidate sampler's flow rate accuracy with respect to the design flow 
rate, flow rate regulation, flow rate measurement accuracy, coefficient 
of variability measurement accuracy, and the flow rate cut-off function. 
The tests for the first four parameters shall be conducted over a 6-hour 
time period during which reference flow measurements are made at 
intervals not to exceed 5 minutes. The flow rate cut-off test, conducted 
separately, is intended to verify that the sampler carries out the 
required automatic sample flow rate cut-off function properly in the 
event of a low-flow condition. The test conditions and performance 
specifications associated with this test are summarized in table E-1 of 
this subpart. The candidate test sampler must meet all test parameters 
and test specifications to successfully pass this test.
    (b) Technical definitions. (1) Sample flow rate means the 
quantitative volumetric flow rate of the air stream caused by the 
sampler to enter the sampler inlet and pass through the sample filter, 
measured in actual volume units at the temperature and pressure of the 
air as it enters the inlet.
    (2) The flow rate cut-off function requires the sampler to 
automatically stop sample flow and terminate the current sample 
collection if the sample flow rate deviates by more than the variation 
limits specified in table E-1 of this subpart (10 
percent from the nominal sample flow rate) for more than 60 seconds 
during a sample collection period. The sampler is also required to 
properly notify the operator with a flag warning indication of the out-
of-specification flow rate condition and if the flow rate cut-off 
results in an elapsed sample collection time of less than 23 hours.
    (c) Required test equipment. (1) Flow rate meter, suitable for 
measuring and recording the actual volumetric sample flow rate at the 
sampler downtube, with a minimum range of 10 to 25 L/min, 2 percent 
certified, NIST-traceable accuracy. Optional capability for continuous 
(analog) recording capability or digital recording at intervals not to 
exceed 30 seconds is recommended. While a flow meter which provides a 
direct indication of volumetric flow rate is preferred for this test, an 
alternative certified flow measurement device may be used as long as 
appropriate volumetric flow rate corrections are made based on 
measurements of actual ambient temperature and pressure conditions.
    (2) Ambient air temperature sensor, with a resolution of 0.1 [deg]C 
and certified to be accurate to within 0.5 [deg]C (if needed). If the 
certified flow meter does not provide direct volumetric flow rate 
readings, ambient air temperature measurements must be made using 
continuous (analog) recording capability or digital recording at 
intervals not to exceed 5 minutes.
    (3) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2 
mm Hg (if needed). If the certified flow meter does not provide direct 
volumetric flow rate readings, ambient pressure measurements must be 
made using continuous (analog) recording capability or digital recording 
at intervals not to exceed 5 minutes.
    (4) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sample flow rate 
at the sampler downtube.
    (5) Valve or other means to restrict or reduce the sample flow rate 
to a value at least 10 percent below the design flow rate (16.67 L/min). 
If appropriate, the valve of the flow measurement adaptor may be used 
for this purpose.
    (6) Means for creating an additional pressure drop of 55 mm Hg in 
the sampler to simulate a heavily loaded filter, such as an orifice or 
flow restrictive plate installed in the filter holder or a valve or 
other flow restrictor temporarily installed in the flow path near the 
filter.
    (7) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L (if required).
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-

[[Page 61]]

traceability (if required) of all measurement instruments used in the 
tests. The accuracy of flow-rate meters shall be verified at the highest 
and lowest pressures and temperatures used in the tests and shall be 
checked at zero and at least one flow rate within 3 percent of 16.7 L/min within 7 days prior to use for 
this test. Where an instrument's measurements are to be recorded with an 
analog recording device, the accuracy of the entire instrument-recorder 
system shall be calibrated or verified.
    (e) Test setup. (1) Setup of the sampler shall be as required in 
this paragraph (e) and otherwise as described in the sampler's operation 
or instruction manual referred to in Sec. 53.4(b)(3). The sampler shall 
be installed upright and set up in its normal configuration for 
collecting PM2.5 samples. A sample filter and (or) the device 
for creating an additional 55 mm Hg pressure drop shall be installed for 
the duration of these tests. The sampler's ambient temperature, ambient 
pressure, and flow rate measurement systems shall all be calibrated per 
the sampler's operation or instruction manual within 7 days prior to 
this test.
    (2) The inlet of the candidate sampler shall be removed and the flow 
measurement adaptor installed on the sampler's downtube. A leak check as 
described in the sampler's operation or instruction manual shall be 
conducted and must be properly passed before other tests are carried 
out.
    (3) The inlet of the flow measurement adaptor shall be connected to 
the outlet of the flow rate meter.
    (4) For the flow rate cut-off test, the valve or means for reducing 
sampler flow rate shall be installed between the flow measurement 
adaptor and the downtube or in another location within the sampler such 
that the sampler flow rate can be manually restricted during the test.
    (f) Procedure. (1) Set up the sampler as specified in paragraph (e) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual. Set the sampler to automatically start a 6-hour 
sample collection period at a convenient time.
    (2) During the 6-hour operational flow rate portion of the test, 
measure and record the sample flow rate with the flow rate meter at 
intervals not to exceed 5 minutes. If ambient temperature and pressure 
corrections are necessary to calculate volumetric flow rate, ambient 
temperature and pressure shall be measured at the same frequency as that 
of the certified flow rate measurements. Note and record the actual 
start and stop times for the 6-hour flow rate test period.
    (3) Following completion of the 6-hour flow rate test period, 
install the flow rate reduction device and change the sampler flow rate 
recording frequency to intervals of not more than 30 seconds. Reset the 
sampler to start a new sample collection period. Manually restrict the 
sampler flow rate such that the sampler flow rate is decreased slowly 
over several minutes to a flow rate slightly less than the flow rate 
cut-off value (15.0 L/min). Maintain this flow rate for at least 2.0 
minutes or until the sampler stops the sample flow automatically. 
Manually terminate the sample period, if the sampler has not terminated 
it automatically.
    (g) Test results. At the completion of the test, validate the test 
conditions and determine the test results as follows:
    (1) Mean sample flow rate. (i) From the certified measurements 
(Qref) of the test sampler flow rate obtained by use of the 
flow rate meter, tabulate each flow rate measurement in units of L/min. 
If ambient temperature and pressure corrections are necessary to 
calculate volumetric flow rate, each measured flow rate shall be 
corrected using its corresponding temperature and pressure measurement 
values. Calculate the mean flow rate for the sample period 
(Qref,ave) as follows:
                               Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.063

where:

n equals the number of discrete certified flow rate measurements over 
the 6-hour test period.

    (ii)(A) Calculate the percent difference between this mean flow rate

[[Page 62]]

value and the design value of 16.67 L/min, as follows:
                               Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.064

    (B) To successfully pass the mean flow rate test, the percent 
difference calculated in Equation 2 of this paragraph (g)(1)(ii) must be 
within 5 percent.
    (2) Sample flow rate regulation. (i) From the certified measurements 
of the test sampler flow rate, calculate the sample coefficient of 
variation (CV) of the discrete measurements as follows:
                               Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.065

    (ii) To successfully pass the flow rate regulation test, the 
calculated coefficient of variation for the certified flow rates must 
not exceed 2 percent.
    (3) Flow rate measurement accuracy. (i) Using the mean volumetric 
flow rate reported by the candidate test sampler at the completion of 
the 6-hour test period (Qind,ave), determine the accuracy of 
the reported mean flow rate as:
                               Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.066

    (ii) To successfully pass the flow rate measurement accuracy test, 
the percent difference calculated in Equation 4 of this paragraph (g)(3) 
shall not exceed 2 percent.
    (4) Flow rate coefficient of variation measurement accuracy. (i) 
Using the flow rate coefficient of variation indicated by the candidate 
test sampler at the completion of the 6-hour test (%CVind), 
determine the accuracy of this reported coefficient of variation as:
                               Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.067

    (ii) To successfully pass the flow rate CV measurement accuracy 
test, the absolute difference in values calculated in Equation 5 of this 
paragraph (g)(4) must not exceed 0.3 (CV%).
    (5) Flow rate cut-off. (i) Inspect the measurements of the sample 
flow rate during the flow rate cut-off test and determine the time at 
which the sample flow rate decreased to a value less than the cut-off 
value specified in table E-1 of this subpart. To pass this test, the 
sampler must have automatically stopped the sample flow at least 30 
seconds but not more than 90 seconds after the time at which the sampler 
flow rate was determined to have decreased to a value less than the cut-
off value.
    (ii) At the completion of the flow rate cut-off test, download the 
archived data from the test sampler and verify that the sampler's 
required Flow-out-of-spec and Incorrect sample period flag indicators 
are properly set.



Sec. 53.54   Test for proper sampler operation following power 
          interruptions.

    (a) Overview. (1) This test procedure is designed to test certain 
performance parameters of the candidate sampler during a test period in 
which power interruptions of various duration occur. The performance 
parameters tested are:
    (i) Proper flow rate performance of the sampler.
    (ii) Accuracy of the sampler's average flow rate, CV, and sample 
volume measurements.
    (iii) Accuracy of the sampler's reported elapsed sampling time.
    (iv) Accuracy of the reported time and duration of power 
interruptions.
    (2) This test shall be conducted during operation of the test 
sampler over a continuous 6-hour test period during which the sampler's 
flow rate shall be measured and recorded at intervals not to exceed 5 
minutes. The performance parameters tested under this procedure, the 
corresponding minimum performance specifications, and the applicable 
test conditions are summarized

[[Page 63]]

in table E-1 of this subpart. Each performance parameter tested, as 
described or determined in the test procedure, must meet or exceed the 
associated performance specification to successfully pass this test.
    (b) Required test equipment. (1) Flow rate meter, suitable for 
measuring and recording the actual volumetric sample flow rate at the 
sampler downtube, with a minimum range of 10 to 25 L/min, 2 percent 
certified, NIST-traceable accuracy. Optional capability for continuous 
(analog) recording capability or digital recording at intervals not to 
exceed 5 minutes is recommended. While a flow meter which provides a 
direct indication of volumetric flow rate is preferred for this test, an 
alternative certified flow measurement device may be used as long as 
appropriate volumetric flow rate corrections are made based on 
measurements of actual ambient temperature and pressure conditions.
    (2) Ambient air temperature sensor (if needed for volumetric 
corrections to flow rate measurements), with a resolution of 0.1 [deg]C, 
certified accurate to within 0.5 [deg]C, and continuous (analog) 
recording capability or digital recording at intervals not to exceed 5 
minutes.
    (3) Barometer (if needed for volumetric corrections to flow rate 
measurements), range 600 mm Hg to 800 mm Hg, certified accurate to 2 mm 
Hg, with continuous (analog) recording capability or digital recording 
at intervals not to exceed 5 minutes.
    (4) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sample flow rate 
at the sampler downtube.
    (5) Means for creating an additional pressure drop of 55 mm Hg in 
the sampler to simulate a heavily loaded filter, such as an orifice or 
flow restrictive plate installed in the filter holder or a valve or 
other flow restrictor temporarily installed in the flow path near the 
filter.
    (6) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L (if required).
    (7) Time measurement system, accurate to within 10 seconds per day.
    (c) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (d) Test setup. (1) Setup of the sampler shall be performed as 
required in this paragraph (d) and otherwise as described in the 
sampler's operation or instruction manual referred to in Sec. 
53.4(b)(3). The sampler shall be installed upright and set up in its 
normal configuration for collecting PM2.5 samples. A sample 
filter and (or) the device for creating an additional 55 mm Hg pressure 
drop shall be installed for the duration of these tests. The sampler's 
ambient temperature, ambient pressure, and flow measurement systems 
shall all be calibrated per the sampler's operating manual within 7 days 
prior to this test.
    (2) The inlet of the candidate sampler shall be removed and the flow 
measurement adaptor installed on the sample downtube. A leak check as 
described in the sampler's operation or instruction manual shall be 
conducted and must be properly passed before other tests are carried 
out.
    (3) The inlet of the flow measurement adaptor shall be connected to 
the outlet of the flow rate meter.
    (e) Procedure. (1) Set up the sampler as specified in paragraph (d) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual. Set the sampler to automatically start a 6-hour 
sample collection period at a convenient time.
    (2) During the entire 6-hour operational flow rate portion of the 
test, measure and record the sample flow

[[Page 64]]

rate with the flow rate meter at intervals not to exceed 5 minutes. If 
ambient temperature and pressure corrections are necessary to calculate 
volumetric flow rate, ambient temperature and pressure shall be measured 
at the same frequency as that of the certified flow rate measurements. 
Note and record the actual start and stop times for the 6-hour flow rate 
test period.
    (3) During the 6-hour test period, interrupt the AC line electrical 
power to the sampler 5 times, with durations of 20 seconds, 40 seconds, 
2 minutes, 7 minutes, and 20 minutes (respectively), with not less than 
10 minutes of normal electrical power supplied between each power 
interruption. Record the hour and minute and duration of each power 
interruption.
    (4) At the end of the test, terminate the sample period (if not 
automatically terminated by the sampler) and download all archived 
instrument data from the test sampler.
    (f) Test results. At the completion of the sampling period, validate 
the test conditions and determine the test results as follows:
    (1) Mean sample flow rate. (i) From the certified measurements 
(Qref) of the test sampler flow rate, tabulate each flow rate 
measurement in units of L/min. If ambient temperature and pressure 
corrections are necessary to calculate volumetric flow rate, each 
measured flow rate shall be corrected using its corresponding 
temperature and pressure measurement values. Calculate the mean flow 
rate for the sample period (Qref,ave) as follows:
                               Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.068

where:

n equals the number of discrete certified flow rate measurements over 
the 6-hour test period, excluding flow rate values obtained during 
periods of power interruption.

    (ii)(A) Calculate the percent difference between this mean flow rate 
value and the design value of 16.67 L/min, as follows:
                               Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.069

    (B) To successfully pass this test, the percent difference 
calculated in Equation 7 of this paragraph (f)(1)(ii) must be within 
5 percent.
    (2) Sample flow rate regulation. (i) From the certified measurements 
of the test sampler flow rate, calculate the sample coefficient of 
variation of the discrete measurements as follows:
                               Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.070

    (ii) To successfully pass this test, the calculated coefficient of 
variation for the certified flow rates must not exceed 2 percent.
    (3) Flow rate measurement accuracy. (i) Using the mean volumetric 
flow rate reported by the candidate test sampler at the completion of 
the 6-hour test (Qind,ave), determine the accuracy of the 
reported mean flow rate as:
                               Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.071

    (ii) To successfully pass this test, the percent difference 
calculated in Equation 9 of this paragraph (f)(3) shall not exceed 2 
percent.
    (4) Flow rate CV measurement accuracy. (i) Using the flow rate 
coefficient of variation indicated by the candidate test sampler at the 
completion of the 6-hour test (%CVind), determine the 
accuracy of the reported coefficient of variation as:
                               Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.072

    (ii) To successfully pass this test, the absolute difference in 
values calculated in Equation 10 of this paragraph (f)(4) must not 
exceed 0.3 (CV%).

[[Page 65]]

    (5) Verify that the sampler properly provided a record and visual 
display of the correct year, month, day-of-month, hour, and minute with 
an accuracy of 2 minutes, of the start of each 
power interruption of duration greater than 60 seconds.
    (6) Calculate the actual elapsed sample time, excluding the periods 
of electrical power interruption. Verify that the elapsed sample time 
reported by the sampler is accurate to within 20 
seconds for the 6-hour test run.
    (7) Calculate the sample volume as Qref.ave multiplied by 
the sample time, excluding periods of power interruption. Verify that 
the sample volume reported by the sampler is within 2 percent of the 
calculated sample volume to successfully pass this test.
    (8) Inspect the downloaded instrument data from the test sampler and 
verify that all data are consistent with normal operation of the 
sampler.

[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 53.55   Test for effect of variations in power line voltage and 
          ambient temperature.

    (a) Overview. (1) This test procedure is a combined procedure to 
test various performance parameters under variations in power line 
voltage and ambient temperature. Tests shall be conducted in a 
temperature controlled environment over four 6-hour time periods during 
which reference temperature and flow rate measurements shall be made at 
intervals not to exceed 5 minutes. Specific parameters to be evaluated 
at line voltages of 105 and 125 volts and temperatures of -20 [deg]C and 
=40 [deg]C are as follows:
    (i) Sample flow rate.
    (ii) Flow rate regulation.
    (iii) Flow rate measurement accuracy.
    (iv) Coefficient of variability measurement accuracy.
    (v) Ambient air temperature measurement accuracy.
    (vi) Proper operation of the sampler when exposed to power line 
voltage and ambient temperature extremes.
    (2) The performance parameters tested under this procedure, the 
corresponding minimum performance specifications, and the applicable 
test conditions are summarized in table E-1 of this subpart. Each 
performance parameter tested, as described or determined in the test 
procedure, must meet or exceed the associated performance specification 
given. The candidate sampler must meet all specifications for the 
associated PM2.5 method to pass this test procedure.
    (b) Technical definition. Sample flow rate means the quantitative 
volumetric flow rate of the air stream caused by the sampler to enter 
the sampler inlet and pass through the sample filter, measured in actual 
volume units at the temperature and pressure of the air as it enters the 
inlet.
    (c) Required test equipment. (1) Environmental chamber or other 
temperature-controlled environment or environments, capable of obtaining 
and maintaining temperatures at -20 [deg]C and =40 [deg]C as required 
for the test with an accuracy of 2 [deg]C. The 
test environment(s) must be capable of maintaining these temperatures 
within the specified limits continuously with the additional heat load 
of the operating test sampler in the environment. Henceforth, where the 
test procedures specify a test or environmental ``chamber,'' an 
alternative temperature-controlled environmental area or areas may be 
substituted, provided the required test temperatures and all other test 
requirements are met.
    (2) Variable voltage AC power transformer, range 100 Vac to 130 Vac, 
with sufficient current capacity to operate the test sampler 
continuously under the test conditions.
    (3) Flow rate meter, suitable for measuring and recording the actual 
volumetric sample flow rate at the sampler downtube, with a minimum 
range of 10 to 25 actual L/min, 2 percent certified, NIST-traceable 
accuracy. Optional capability for continuous (analog) recording 
capability or digital recording at intervals not to exceed 5 minutes is 
recommended. While a flow meter which provides a direct indication of 
volumetric flow rate is preferred for this test, an alternative 
certified flow measurement device may be used as long as appropriate 
volumetric flow rate corrections are made

[[Page 66]]

based on measurements of actual ambient temperature and pressure 
conditions.
    (4) Ambient air temperature recorder, range -30 [deg]C to =50 
[deg]C, with a resolution of 0.1 [deg]C and certified accurate to within 
0.5 [deg]C. Ambient air temperature measurements must be made using 
continuous (analog) recording capability or digital recording at 
intervals not to exceed 5 minutes.
    (5) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2 
mm Hg. If the certified flow rate meter does not provide direct 
volumetric flow rate readings, ambient pressure measurements must be 
made using continuous (analog) recording capability or digital recording 
at intervals not to exceed 5 minutes.
    (6) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate 
at the sampler downtube.
    (7) Means for creating an additional pressure drop of 55 mm Hg in 
the sampler to simulate a heavily loaded filter, such as an orifice or 
flow restrictive plate installed in the filter holder or a valve or 
other flow restrictor temporarily installed in the flow path near the 
filter.
    (8) AC RMS voltmeter, accurate to 1.0 volt.
    (9) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L (if required).
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) Setup of the sampler shall be performed as 
required in this paragraph (e) and otherwise as described in the 
sampler's operation or instruction manual referred to in Sec. 
53.4(b)(3). The sampler shall be installed upright and set up in the 
temperature-controlled chamber in its normal configuration for 
collecting PM2.5 samples. A sample filter and (or) the device 
for creating an additional 55 mm Hg pressure drop shall be installed for 
the duration of these tests. The sampler's ambient temperature, ambient 
pressure, and flow measurement systems shall all be calibrated per the 
sampler's operating manual within 7 days prior to this test.
    (2) The inlet of the candidate sampler shall be removed and the flow 
measurement adaptor installed on the sampler's downtube. A leak check as 
described in the sampler's operation or instruction manual shall be 
conducted and must be properly passed before other tests are carried 
out.
    (3) The inlet of the flow measurement adaptor shall be connected to 
the outlet of the flow rate meter.
    (4) The ambient air temperature recorder shall be installed in the 
test chamber such that it will accurately measure the temperature of the 
air in the vicinity of the candidate sampler without being unduly 
affected by the chamber's air temperature control system.
    (f) Procedure. (1) Set up the sampler as specified in paragraph (e) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual.
    (2) The test shall consist of four test runs, one at each of the 
following conditions of chamber temperature and electrical power line 
voltage (respectively):
    (i) -20 [deg]C 2 [deg]C and 105 1 Vac.
    (ii) -20 [deg]C 2 [deg]C and 125 1 Vac.
    (iii) =40 [deg]C 2 [deg]C and 105 1 Vac.
    (iv) =40 [deg]C 2 [deg]C and 125 1 Vac.
    (3) For each of the four test runs, set the selected chamber 
temperature and power line voltage for the test run. Upon achieving each 
temperature setpoint in the chamber, the candidate sampler and flow 
meter shall be thermally equilibrated for a period of at least 2 hours 
prior to the test run. Following the thermal conditioning time, set the 
sampler to automatically start

[[Page 67]]

a 6-hour sample collection period at a convenient time.
    (4) During each 6-hour test period:
    (i) Measure and record the sample flow rate with the flow rate meter 
at intervals not to exceed 5 minutes. If ambient temperature and 
pressure corrections are necessary to calculate volumetric flow rate, 
ambient temperature and pressure shall be measured at the same frequency 
as that of the certified flow rate measurements. Note and record the 
actual start and stop times for the 6-hour flow rate test period.
    (ii) Determine and record the ambient (chamber) temperature 
indicated by the sampler and the corresponding ambient (chamber) 
temperature measured by the ambient temperature recorder specified in 
paragraph (c)(4) of this section at intervals not to exceed 5 minutes.
    (iii) Measure the power line voltage to the sampler at intervals not 
greater than 1 hour.
    (5) At the end of each test run, terminate the sample period (if not 
automatically terminated by the sampler) and download all archived 
instrument data from the test sampler.
    (g) Test results. For each of the four test runs, examine the 
chamber temperature measurements and the power line voltage 
measurements. Verify that the temperature and line voltage met the 
requirements specified in paragraph (f) of this section at all times 
during the test run. If not, the test run is not valid and must be 
repeated. Determine the test results as follows:
    (1) Mean sample flow rate. (i) From the certified measurements 
(Qref) of the test sampler flow rate, tabulate each flow rate 
measurement in units of L/min. If ambient temperature and pressure 
corrections are necessary to calculate volumetric flow rate, each 
measured flow rate shall be corrected using its corresponding 
temperature and pressure measurement values. Calculate the mean flow 
rate for each sample period (Qref,ave) as follows:
                               Equation 11
[GRAPHIC] [TIFF OMITTED] TR18JY97.073

where:

n equals the number of discrete certified flow rate measurements over 
each 6-hour test period.

    (ii)(A) Calculate the percent difference between this mean flow rate 
value and the design value of 16.67 L/min, as follows:
                               Equation 12
[GRAPHIC] [TIFF OMITTED] TR18JY97.074

    (B) To successfully pass this test, the percent difference 
calculated in Equation 12 of this paragraph (g)(1)(ii) must be within 
5 percent for each test run.
    (2) Sample flow rate regulation. (i) From the certified measurements 
of the test sampler flow rate, calculate the sample coefficient of 
variation of the discrete measurements as follows:
                               Equation 13
[GRAPHIC] [TIFF OMITTED] TR18JY97.075

    (ii) To successfully pass this test, the calculated coefficient of 
variation for the certified flow rates must not exceed 2 percent.
    (3) Flow rate measurement accuracy. (i) Using the mean volumetric 
flow rate reported by the candidate test sampler at the completion of 
each 6-hour test (Qind,ave), determine the accuracy of the 
reported mean flow rate as:
                               Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.076

    (ii) To successfully pass this test, the percent difference 
calculated in Equation 14 of this paragraph (g)(3) shall not exceed 2 
percent for each test run.

[[Page 68]]

    (4) Flow rate coefficient of variation measurement accuracy. (i) 
Using the flow rate coefficient of variation indicated by the candidate 
test sampler (%CVind), determine the accuracy of the reported 
coefficient of variation as:
                               Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.077

    (ii) To successfully pass this test, the absolute difference 
calculated in Equation 15 of this paragraph (g)(4) must not exceed 0.3 
(CV%) for each test run.
    (5) Ambient temperature measurement accuracy. (i) Calculate the 
absolute value of the difference between the mean ambient air 
temperature indicated by the test sampler and the mean ambient (chamber) 
air temperature measured with the ambient air temperature recorder as:
                               Equation 16
[GRAPHIC] [TIFF OMITTED] TR18JY97.078

where:

Tind,ave = mean ambient air temperature indicated by the test 
sampler, [deg]C; and
ref,ave = mean ambient air temperature measured by the 
reference temperature instrument, [deg]C.

    (ii) The calculated temperature difference must be less than 2 
[deg]C for each test run.
    (6) Sampler functionality. To pass the sampler functionality test, 
the following two conditions must both be met for each test run:
    (i) The sampler must not shutdown during any portion of the 6-hour 
test.
    (ii) An inspection of the downloaded data from the test sampler 
verifies that all the data are consistent with normal operation of the 
sampler.



Sec. 53.56   Test for effect of variations in ambient pressure.

    (a) Overview. (1) This test procedure is designed to test various 
sampler performance parameters under variations in ambient (barometric) 
pressure. Tests shall be conducted in a pressure-controlled environment 
over two 6-hour time periods during which reference pressure and flow 
rate measurements shall be made at intervals not to exceed 5 minutes. 
Specific parameters to be evaluated at operating pressures of 600 and 
800 mm Hg are as follows:
    (i) Sample flow rate.
    (ii) Flow rate regulation.
    (iii) Flow rate measurement accuracy.
    (iv) Coefficient of variability measurement accuracy.
    (v) Ambient pressure measurement accuracy.
    (vi) Proper operation of the sampler when exposed to ambient 
pressure extremes.
    (2) The performance parameters tested under this procedure, the 
corresponding minimum performance specifications, and the applicable 
test conditions are summarized in table E-1 of this subpart. Each 
performance parameter tested, as described or determined in the test 
procedure, must meet or exceed the associated performance specification 
given. The candidate sampler must meet all specifications for the 
associated PM2.5 method to pass this test procedure.
    (b) Technical definition. Sample flow rate means the quantitative 
volumetric flow rate of the air stream caused by the sampler to enter 
the sampler inlet and pass through the sample filter, measured in actual 
volume units at the temperature and pressure of the air as it enters the 
inlet.
    (c) Required test equipment. (1) Hypobaric chamber or other 
pressure-controlled environment or environments, capable of obtaining 
and maintaining pressures at 600 mm Hg and 800 mm Hg required for the 
test with an accuracy of 5 mm Hg. Henceforth, where the test procedures 
specify a test or environmental chamber, an alternative pressure-
controlled environmental area or areas may be substituted, provided the 
test pressure requirements are met. Means for simulating ambient 
pressure using a closed-loop sample air system may also be approved for 
this test; such a proposed method for simulating the test pressure 
conditions may be described and submitted to EPA at the address given in 
Sec. 53.4(a) prior to conducting the test for a specific individual 
determination of acceptability.
    (2) Flow rate meter, suitable for measuring and recording the actual

[[Page 69]]

volumetric sampler flow rate at the sampler downtube, with a minimum 
range of 10 to 25 L/min, 2 percent certified, NIST-traceable accuracy. 
Optional capability for continuous (analog) recording capability or 
digital recording at intervals not to exceed 5 minutes is recommended. 
While a flow meter which provides a direct indication of volumetric flow 
rate is preferred for this test, an alternative certified flow 
measurement device may be used as long as appropriate volumetric flow 
rate corrections are made based on measurements of actual ambient 
temperature and pressure conditions.
    (3) Ambient air temperature recorder (if needed for volumetric 
corrections to flow rate measurements) with a range -30 [deg]C to =50 
[deg]C, certified accurate to within 0.5 [deg]C. If the certified flow 
meter does not provide direct volumetric flow rate readings, ambient 
temperature measurements must be made using continuous (analog) 
recording capability or digital recording at intervals not to exceed 5 
minutes.
    (4) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2 
mm Hg. Ambient air pressure measurements must be made using continuous 
(analog) recording capability or digital recording at intervals not to 
exceed 5 minutes.
    (5) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate 
at the sampler downtube.
    (6) Means for creating an additional pressure drop of 55 mm Hg in 
the sampler to simulate a heavily loaded filter, such as an orifice or 
flow restrictive plate installed in the filter holder or a valve or 
other flow restrictor temporarily installed in the flow path near the 
filter.
    (7) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L (if required).
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) Setup of the sampler shall be performed as 
required in this paragraph (e) and otherwise as described in the 
sampler's operation or instruction manual referred to in Sec. 
53.4(b)(3). The sampler shall be installed upright and set up in the 
pressure-controlled chamber in its normal configuration for collecting 
PM2.5 samples. A sample filter and (or) the device for 
creating an additional 55 mm Hg pressure drop shall be installed for the 
duration of these tests. The sampler's ambient temperature, ambient 
pressure, and flow measurement systems shall all be calibrated per the 
sampler's operating manual within 7 days prior to this test.
    (2) The inlet of the candidate sampler shall be removed and the flow 
measurement adaptor installed on the sampler's downtube. A leak check as 
described in the sampler's operation or instruction manual shall be 
conducted and must be properly passed before other tests are carried 
out.
    (3) The inlet of the flow measurement adaptor shall be connected to 
the outlet of the flow rate meter.
    (4) The barometer shall be installed in the test chamber such that 
it will accurately measure the air pressure to which the candidate 
sampler is subjected.
    (f) Procedure. (1) Set up the sampler as specified in paragraph (e) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual.
    (2) The test shall consist of two test runs, one at each of the 
following conditions of chamber pressure:
    (i) 600 mm Hg.
    (ii) 800 mm Hg.
    (3) For each of the two test runs, set the selected chamber pressure 
for the test run. Upon achieving each pressure setpoint in the chamber, 
the candidate sampler shall be pressure-equilibrated

[[Page 70]]

for a period of at least 30 minutes prior to the test run. Following the 
conditioning time, set the sampler to automatically start a 6-hour 
sample collection period at a convenient time.
    (4) During each 6-hour test period:
    (i) Measure and record the sample flow rate with the flow rate meter 
at intervals not to exceed 5 minutes. If ambient temperature and 
pressure corrections are necessary to calculate volumetric flow rate, 
ambient temperature and pressure shall be measured at the same frequency 
as that of the certified flow rate measurements. Note and record the 
actual start and stop times for the 6-hour flow rate test period.
    (ii) Determine and record the ambient (chamber) pressure indicated 
by the sampler and the corresponding ambient (chamber) pressure measured 
by the barometer specified in paragraph (c)(4) of this section at 
intervals not to exceed 5 minutes.
    (5) At the end of each test period, terminate the sample period (if 
not automatically terminated by the sampler) and download all archived 
instrument data for the test run from the test sampler.
    (g) Test results. For each of the two test runs, examine the chamber 
pressure measurements. Verify that the pressure met the requirements 
specified in paragraph (f) of this section at all times during the test. 
If not, the test run is not valid and must be repeated. Determine the 
test results as follows:
    (1) Mean sample flow rate. (i) From the certified measurements 
(Qref) of the test sampler flow rate, tabulate each flow rate 
measurement in units of L/min. If ambient temperature and pressure 
corrections are necessary to calculate volumetric flow rate, each 
measured flow rate shall be corrected using its corresponding 
temperature and pressure measurement values. Calculate the mean flow 
rate for the sample period (Qref,ave) as follows:
                               Equation 17
[GRAPHIC] [TIFF OMITTED] TR18JY97.079

where:

n equals the number of discrete certified flow measurements over the 6-
hour test period.

    (ii)(A) Calculate the percent difference between this mean flow rate 
value and the design value of 16.67 L/min, as follows:
                               Equation 18
[GRAPHIC] [TIFF OMITTED] TR18JY97.080

    (B) To successfully pass this test, the percent difference 
calculated in Equation 18 of this paragraph (g)(1) must be within 5 percent for each test run.
    (2) Sample flow rate regulation. (i) From the certified measurements 
of the test sampler flow rate, calculate the sample coefficient of 
variation of the discrete measurements as follows:
                               Equation 19
[GRAPHIC] [TIFF OMITTED] TR18JY97.081

    (ii) To successfully pass this test, the calculated coefficient of 
variation for the certified flow rates must not exceed 2 percent.
    (3) Flow rate measurement accuracy. (i) Using the mean volumetric 
flow rate reported by the candidate test sampler at the completion of 
each 6-hour test (Qind,ave), determine the accuracy of the 
reported mean flow rate as:
                               Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.082

    (ii) To successfully pass this test, the percent difference 
calculated in Equation 20 of this paragraph (g)(3) shall not exceed 2 
percent for each test run.

[[Page 71]]

    (4) Flow rate CV measurement accuracy. (i) Using the flow rate 
coefficient of variation indicated by the candidate test sampler at the 
completion of the 6-hour test (%CVind), determine the 
accuracy of the reported coefficient of variation as:
                               Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.083

    (ii) To successfully pass this test, the absolute difference in 
values calculated in Equation 21 of this paragraph (g)(4) must not 
exceed 0.3 (CV%) for each test run.
    (5) Ambient pressure measurement accuracy. (i) Calculate the 
absolute difference between the mean ambient air pressure indicated by 
the test sampler and the ambient (chamber) air pressure measured with 
the reference barometer as:
                               Equation 22
[GRAPHIC] [TIFF OMITTED] TR18JY97.084

where:

Pind,ave = mean ambient pressure indicated by the test 
sampler, mm Hg; and
Pref,ave = mean barometric pressure measured by the reference 
barometer, mm Hg.

    (ii) The calculated pressure difference must be less than 10 mm Hg 
for each test run to pass the test.
    (6) Sampler functionality. To pass the sampler functionality test, 
the following two conditions must both be met for each test run:
    (i) The sampler must not shut down during any part of the 6-hour 
tests; and
    (ii) An inspection of the downloaded data from the test sampler 
verifies that all the data are consistent with normal operation of the 
sampler.

[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 53.57   Test for filter temperature control during sampling and 
          post-sampling periods.

    (a) Overview. This test is intended to measure the candidate 
sampler's ability to prevent excessive overheating of the 
PM2.5 sample collection filter (or filters) under conditions 
of elevated solar insolation. The test evaluates radiative effects on 
filter temperature during a 4-hour period of active sampling as well as 
during a subsequent 4-hour non-sampling time period prior to filter 
retrieval. Tests shall be conducted in an environmental chamber which 
provides the proper radiant wavelengths and energies to adequately 
simulate the sun's radiant effects under clear conditions at sea level. 
For additional guidance on conducting solar radiative tests under 
controlled conditions, consult military standard specification 810-E 
(reference 6 in appendix A of this subpart). The performance parameters 
tested under this procedure, the corresponding minimum performance 
specifications, and the applicable test conditions are summarized in 
table E-1 of this subpart. Each performance parameter tested, as 
described or determined in the test procedure, must meet or exceed the 
associated performance specification to successfully pass this test.
    (b) Technical definition. Filter temperature control during sampling 
is the ability of a sampler to maintain the temperature of the 
particulate matter sample filter within the specified deviation (5 
[deg]C) from ambient temperature during any active sampling period. 
Post-sampling temperature control is the ability of a sampler to 
maintain the temperature of the particulate matter sample filter within 
the specified deviation from ambient temperature during the period from 
the end of active sample collection of the PM2.5 sample by 
the sampler until the filter is retrieved from the sampler for 
laboratory analysis.
    (c) Required test equipment. (1) Environmental chamber providing the 
means, such as a bank of solar-spectrum lamps, for generating or 
simulating thermal radiation in approximate spectral content and 
intensity equivalent to solar insolation of 1000 50 W/m2 inside the environmental chamber. To 
properly simulate the sun's radiative effects on the sampler, the solar 
bank must provide the spectral energy distribution and permitted 
tolerances specified in table E-2 of this subpart. The solar radiation 
source area shall be such that the width of the candidate sampler shall 
not exceed one-half the dimensions of the solar

[[Page 72]]

bank. The solar bank shall be located a minimum of 76 cm (30 inches) 
from any surface of the candidate sampler. To meet requirements of the 
solar radiation tests, the chamber's internal volume shall be a minimum 
of 10 times that of the volume of the candidate sampler. Air velocity in 
the region of the sampler must be maintained continuously during the 
radiative tests at 2.0 0.5 m/sec.
    (2) Ambient air temperature recorder, range -30 [deg]C to =50 
[deg]C, with a resolution of 0.1 [deg]C and certified accurate to within 
0.5 [deg]C. Ambient air temperature measurements must be made using 
continuous (analog) recording capability or digital recording at 
intervals not to exceed 5 minutes.
    (3) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate 
at the sampler downtube.
    (4) Miniature temperature sensor(s), capable of being installed in 
the sampler without introducing air leakage and capable of measuring the 
sample air temperature within 1 cm of the center of the filter, 
downstream of the filter; with a resolution of 0.1 [deg]C, certified 
accurate to within 0.5 [deg]C, NIST-traceable, with continuous (analog) 
recording capability or digital recording at intervals of not more than 
5 minutes.
    (5) Solar radiometer, to measure the intensity of the simulated 
solar radiation in the test environment, range of 0 to approximately 
1500 W/m2. Optional capability for continuous (analog) 
recording or digital recording at intervals not to exceed 5 minutes is 
recommended.
    (6) Sample filter or filters, as specified in section 6 of 40 CFR 
part 50, appendix L.
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) Setup of the sampler shall be performed as 
required in this paragraph (e) and otherwise as described in the 
sampler's operation or instruction manual referred to in Sec. 
53.4(b)(3). The sampler shall be installed upright and set up in the 
solar radiation environmental chamber in its normal configuration for 
collecting PM2.5 samples (with the inlet installed). The 
sampler's ambient and filter temperature measurement systems shall be 
calibrated per the sampler's operating manual within 7 days prior to 
this test. A sample filter shall be installed for the duration of this 
test. For sequential samplers, a sample filter shall also be installed 
in each available sequential channel or station intended for collection 
of a sequential sample (or at least 5 additional filters for magazine-
type sequential samplers) as directed by the sampler's operation or 
instruction manual.
    (2) The miniature temperature sensor shall be temporarily installed 
in the test sampler such that it accurately measures the air temperature 
1 cm from the center of the filter on the downstream side of the filter. 
The sensor shall be installed such that no external or internal air 
leakage is created by the sensor installation. The sensor's dimensions 
and installation shall be selected to minimize temperature measurement 
uncertainties due to thermal conduction along the sensor mounting 
structure or sensor conductors. For sequential samplers, similar 
temperature sensors shall also be temporarily installed in the test 
sampler to monitor the temperature 1 cm from the center of each filter 
stored in the sampler for sequential sample operation.
    (3) The solar radiant energy source shall be installed in the test 
chamber such that the entire test sampler is irradiated in a manner 
similar to the way it would be irradiated by solar radiation if it were 
located outdoors in an open area on a sunny day, with the

[[Page 73]]

radiation arriving at an angle of between 30[deg] and 45[deg] from 
vertical. The intensity of the radiation received by all sampler 
surfaces that receive direct radiation shall average 1000 50 W/m2, measured in a plane perpendicular to 
the incident radiation. The incident radiation shall be oriented with 
respect to the sampler such that the area of the sampler's ambient 
temperature sensor (or temperature shield) receives full, direct 
radiation as it would or could during normal outdoor installation. Also, 
the temperature sensor must not be shielded or shaded from the radiation 
by a sampler part in a way that would not occur at other normal 
insolation angles or directions.
    (4) The solar radiometer shall be installed in a location where it 
measures thermal radiation that is generally representative of the 
average thermal radiation intensity that the upper portion of the 
sampler and sampler inlet receive. The solar radiometer shall be 
oriented so that it measures the radiation in a plane perpendicular to 
its angle of incidence.
    (5) The ambient air temperature recorder shall be installed in the 
test chamber such that it will accurately measure the temperature of the 
air in the chamber without being unduly affected by the chamber's air 
temperature control system or by the radiant energy from the solar 
radiation source that may be present inside the test chamber.
    (f) Procedure. (1) Set up the sampler as specified in paragraph (e) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual.
    (2) Remove the inlet of the candidate test sampler and install the 
flow measurement adaptor on the sampler's downtube. Conduct a leak check 
as described in the sampler's operation or instruction manual. The leak 
test must be properly passed before other tests are carried out.
    (3) Remove the flow measurement adaptor from the downtube and re-
install the sampling inlet.
    (4) Activate the solar radiation source and verify that the 
resulting energy distribution prescribed in table E-2 of this subpart is 
achieved.
    (5) Program the test sampler to conduct a single sampling run of 4 
continuous hours. During the 4-hour sampling run, measure and record the 
radiant flux, ambient temperature, and filter temperature (all filter 
temperatures for sequential samplers) at intervals not to exceed 5 
minutes.
    (6) At the completion of the 4-hour sampling phase, terminate the 
sample period, if not terminated automatically by the sampler. Continue 
to measure and record the radiant flux, ambient temperature, and filter 
temperature or temperatures for 4 additional hours at intervals not to 
exceed 5 minutes. At the completion of the 4-hour post-sampling period, 
discontinue the measurements and turn off the solar source.
    (7) Download all archived sampler data from the test run.
    (g) Test results. Chamber radiant flux control. Examine the 
continuous record of the chamber radiant flux and verify that the flux 
met the requirements specified in table E-2 of this subpart at all times 
during the test. If not, the entire test is not valid and must be 
repeated.
    (1) Filter temperature measurement accuracy. (i) For each 4-hour 
test period, calculate the absolute value of the difference between the 
mean filter temperature indicated by the sampler (active filter) and the 
mean filter temperature measured by the reference temperature sensor 
installed within 1 cm downstream of the (active) filter as:
                               Equation 23
[GRAPHIC] [TIFF OMITTED] TR18JY97.085

where:

Tind,filter = mean filter temperature indicated by the test 
sampler, [deg]C; and
Tref,filter = mean filter temperature measured by the 
reference temperature sensor, [deg]C.

    (ii) To successfully pass the indicated filter temperature accuracy 
test, the calculated difference between the measured means 
(Tdiff,filter) must not exceed 2 [deg]C for each 4-hour test 
period.
    (2) Ambient temperature measurement accuracy. (i) For each 4-hour 
test period, calculate the absolute value of the difference between the 
mean ambient air temperature indicated by the

[[Page 74]]

test sampler and the mean ambient air temperature measured by the 
reference ambient air temperature recorder as:
                               Equation 24
[GRAPHIC] [TIFF OMITTED] TR18JY97.086

where:

Tind,ambient = mean ambient air temperature indicated by the 
test sampler, [deg]C; and
Tref,ambient = mean ambient air temperature measured by the 
reference ambient air temperature recorder, [deg]C.

    (ii) To successfully pass the indicated ambient temperature accuracy 
test, the calculated difference between the measured means 
(Tdiff,ambient) must not exceed 2 [deg]C for each 4-hour test 
period.
    (3) Filter temperature control accuracy. (i) For each temperature 
measurement interval over each 4-hour test period, calculate the 
difference between the filter temperature indicated by the reference 
temperature sensor and the ambient temperature indicated by the test 
sampler as:
                               Equation 25
[GRAPHIC] [TIFF OMITTED] TR18JY97.087

    (ii) Tabulate and inspect the calculated differences as a function 
of time. To successfully pass the indicated filter temperature control 
test, the calculated difference between the measured values must not 
exceed 5 [deg]C for any consecutive intervals covering more than a 30-
minute time period.
    (iii) For sequential samplers, repeat the test calculations for each 
of the stored sequential sample filters. All stored filters must also 
meet the 5 [deg]C temperature control test.

[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 53.58   Operational field precision and blank test.

    (a) Overview. This test is intended to determine the operational 
precision of the candidate sampler during a minimum of 10 days of field 
operation, using three collocated test samplers. Measurements of 
PM2.5 are made at a test site with all of the samplers and 
then compared to determine replicate precision. Candidate sequential 
samplers are also subject to a test for possible deposition of 
particulate matter on inactive filters during a period of storage in the 
sampler. This procedure is applicable to both reference and equivalent 
methods. In the case of equivalent methods, this test may be combined 
and conducted concurrently with the comparability test for equivalent 
methods (described in subpart C of this part), using three reference 
method samplers collocated with three candidate equivalent method 
samplers and meeting the applicable site and other requirements of 
subpart C of this part.
    (b) Technical definition. (1) Field precision is defined as the 
standard deviation or relative standard deviation of a set of 
PM2.5 measurements obtained concurrently with three or more 
collocated samplers in actual ambient air field operation.
    (2) Storage deposition is defined as the mass of material 
inadvertently deposited on a sample filter that is stored in a 
sequential sampler either prior to or subsequent to the active sample 
collection period.
    (c) Test site. Any outdoor test site having PM2.5 
concentrations that are reasonably uniform over the test area and that 
meet the minimum level requirement of paragraph (g)(2) of this section 
is acceptable for this test.
    (d) Required facilities and equipment. (1) An appropriate test site 
and suitable electrical power to accommodate three test samplers are 
required.
    (2) Teflon sample filters, as specified in section 6 of 40 CFR part 
50, appendix L, conditioned and preweighed as required by section 8 of 
40 CFR part 50, appendix L, as needed for the test samples.
    (e) Test setup. (1) Three identical test samplers shall be installed 
at the test site in their normal configuration for collecting 
PM2.5 samples in accordance with the instructions in the 
associated manual referred to in Sec. 53.4(b)(3) and should be in 
accordance with applicable supplemental guidance provided in reference 3 
in appendix A of this subpart. The test samplers' inlet openings shall 
be located at the same height above ground and between 2 and 4 meters 
apart horizontally. The samplers shall be arranged or oriented in a 
manner that will minimize the spatial and

[[Page 75]]

wind directional effects on sample collection of one sampler on any 
other sampler.
    (2) Each test sampler shall be successfully leak checked, 
calibrated, and set up for normal operation in accordance with the 
instruction manual and with any applicable supplemental guidance 
provided in reference 3 in appendix A of this subpart.
    (f) Test procedure. (1) Install a conditioned, preweighed filter in 
each test sampler and otherwise prepare each sampler for normal sample 
collection. Set identical sample collection start and stop times for 
each sampler. For sequential samplers, install a conditioned, preweighed 
specified filter in each available channel or station intended for 
automatic sequential sample filter collection (or at least 5 additional 
filters for magazine-type sequential samplers), as directed by the 
sampler's operation or instruction manual. Since the inactive sequential 
channels are used for the storage deposition part of the test, they may 
not be used to collect the active PM2.5 test samples.
    (2) Collect either a 24-hour or a 48-hour atmospheric 
PM2.5 sample simultaneously with each of the three test 
samplers.
    (3) Following sample collection, retrieve the collected sample from 
each sampler. For sequential samplers, retrieve the additional stored 
(blank, unsampled) filters after at least 5 days (120 hours) storage in 
the sampler if the active samples are 24-hour samples, or after at least 
10 days (240 hours) if the active samples are 48-hour samples.
    (4) Determine the measured PM2.5 mass concentration for 
each sample in accordance with the applicable procedures prescribed for 
the candidate method in appendix L, 40 CFR part 50 of this chapter, in 
the associated manual referred to in Sec. 53.4(b)(3) and in accordance 
with supplemental guidance in reference 2 in appendix A of this subpart. 
For sequential samplers, also similarly determine the storage deposition 
as the net weight gain of each blank, unsampled filter after the 5-day 
(or 10-day) period of storage in the sampler.
    (5) Repeat this procedure to obtain a total of 10 sets of any 
combination of 24-hour or 48-hour PM2.5 measurements over 10 
test periods. For sequential samplers, repeat the 5-day (or 10-day) 
storage test of additional blank filters once for a total of two sets of 
blank filters.
    (g) Calculations. (1) Record the PM2.5 concentration for 
each test sampler for each test period as Ci,j, where i is 
the sampler number (i = 1,2,3) and j is the test period (j = 1,2, . . . 
10).
    (2)(i) For each test period, calculate and record the average of the 
three measured PM2.5 concentrations as Cj where j 
is the test period:
                               Equation 26
[GRAPHIC] [TIFF OMITTED] TR18JY97.088

    (ii) If Cave,j < 10 [mu]g/m3 for any test 
period, data from that test period are unacceptable, and an additional 
sample collection set must be obtained to replace the unacceptable data.
    (3)(i) Calculate and record the precision for each of the 10 test 
days as:
                               Equation 27
[GRAPHIC] [TIFF OMITTED] TR18JY97.089

    (ii) If Cave,j is below 40 [mu]g/m3 for 24-
hour measurements or below 30 [mu]g/m3 for 48-hour 
measurements; or
                               Equation 28
[GRAPHIC] [TIFF OMITTED] TR18JY97.090

    (iii) If Cave,j is above 40 [mu]g/m3 for 24-
hour measurements or above 30 [mu]g/m3 for 48-hour 
measurements.
    (h) Test results. (1) The candidate method passes the precision test 
if all 10 Pj or RPj values meet the specifications 
in table E-1 of this subpart.
    (2) The candidate sequential sampler passes the blank filter storage 
deposition test if the average net storage deposition weight gain of 
each set of blank

[[Page 76]]

filters (total of the net weight gain of each blank filter divided by 
the number of filters in the set) from each test sampler (six sets in 
all) is less than 50 [mu]g.



Sec. 53.59   Aerosol transport test for Class I equivalent method 
          samplers.

    (a) Overview. This test is intended to verify adequate aerosol 
transport through any modified or air flow splitting components that may 
be used in a Class I candidate equivalent method sampler such as may be 
necessary to achieve sequential sampling capability. This test is 
applicable to all Class I candidate samplers in which the aerosol flow 
path (the flow path through which sample air passes upstream of sample 
collection filter) differs from that specified for reference method 
samplers as specified in 40 CFR part 50, appendix L. The test 
requirements and performance specifications for this test are summarized 
in table E-1 of this subpart.
    (b) Technical definitions. (1) Aerosol transport is the percentage 
of a laboratory challenge aerosol which penetrates to the active sample 
filter of the candidate equivalent method sampler.
    (2) The active sample filter is the exclusive filter through which 
sample air is flowing during performance of this test.
    (3) A no-flow filter is a sample filter through which no sample air 
is intended to flow during performance of this test.
    (4) A channel is any of two or more flow paths that the aerosol may 
take, only one of which may be active at a time.
    (5) An added component is any physical part of the sampler which is 
different in some way from that specified for a reference method sampler 
in 40 CFR part 50, appendix L, such as a device or means to allow or 
cause the aerosol to be routed to one of several channels.
    (c) Required facilities and test equipment. (1) Aerosol generation 
system, as specified in Sec. 53.62(c)(2).
    (2) Aerosol delivery system, as specified in Sec. 53.64(c)(2).
    (3) Particle size verification equipment, as specified in Sec. 
53.62(c)(3).
    (4) Fluorometer, as specified in Sec. 53.62(c)(7).
    (5) Candidate test sampler, with the inlet and impactor or impactors 
removed, and with all internal surfaces of added components electroless 
nickel coated as specified in Sec. 53.64(d)(2).
    (6) Filters that are appropriate for use with fluorometric methods 
(e.g., glass fiber).
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) The candidate test sampler shall have its inlet 
and impactor or impactors removed. The lower end of the down tube shall 
be reconnected to the filter holder, using an extension of the downtube, 
if necessary. If the candidate sampler has a separate impactor for each 
channel, then for this test, the filter holder assemblies must be 
connected to the physical location on the sampler where the impactors 
would normally connect.
    (2) The test particle delivery system shall be connected to the 
sampler downtube so that the test aerosol is introduced at the top of 
the downtube.
    (f) Test procedure. (1) All surfaces of the added or modified 
component or components which come in contact with the aerosol flow 
shall be thoroughly washed with 0.01 N NaOH and then dried.
    (2) Generate aerosol. (i) Generate aerosol composed of oleic acid 
with a uranine fluorometric tag of 3 0.25 [mu]m 
aerodynamic diameter using a vibrating orifice aerosol generator 
according to conventions specified in Sec. 53.61(g).
    (ii) Check for the presence of satellites and adjust the generator 
to minimize their production.

[[Page 77]]

    (iii) Calculate the aerodynamic particle size using the operating 
parameters of the vibrating orifice aerosol generator. The calculated 
aerodynamic diameter must be 3 0.25 [mu]m 
aerodynamic diameter.
    (3) Verify the particle size according to procedures specified in 
Sec. 53.62(d)(4)(i).
    (4) Collect particles on filters for a time period such that the 
relative error of the resulting measured fluorometric concentration for 
the active filter is less than 5 percent.
    (5) Determine the quantity of material collected on the active 
filter using a calibrated fluorometer. Record the mass of fluorometric 
material for the active filter as Mactive (i) where i = the 
active channel number.
    (6) Determine the quantity of material collected on each no-flow 
filter using a calibrated fluorometer. Record the mass of fluorometric 
material on each no-flow filter as Mno-flow.
    (7) Using 0.01 N NaOH, wash the surfaces of the added component or 
components which contact the aerosol flow. Determine the quantity of 
material collected using a calibrated fluorometer. Record the mass of 
fluorometric material collected in the wash as Mwash.
    (8) Calculate the aerosol transport as:
                               Equation 29
[GRAPHIC] [TIFF OMITTED] TR18JY97.091

where:

i = the active channel number.

    (9) Repeat paragraphs (f)(1) through (8) of this section for each 
channel, making each channel in turn the exclusive active channel.
    (g) Test results. The candidate Class I sampler passes the aerosol 
transport test if T(i) is at least 97 percent for each 
channel.

  Table E-1 to Subpart E of Part 53--Summary of Test Requirements for 
      Reference and Class I Equivalent Methods for PM2.5

----------------------------------------------------------------------------------------------------------------
                                                                                                     Part 50,
        Subpart E Procedure           Performance Test       Performance       Test Conditions      Appendix L
                                                            Specification                           Reference
----------------------------------------------------------------------------------------------------------------
Sec. 53.52 Sampler leak check     Sampler leak check   External leakage:   Controlled leak     Sec. 7.4.6
 test.                               facility             80 mL/min, max      flow rate of 80
                                                         Internal leakage:    mL/min
                                                          80 mL/min, max
-----------------------------------
Sec. 53.53 Base flow rate test..  Sample flow rate:    1. 16.67 5   operational test   Sec. 7.4.2
                                    2. Regulation         %, L/min            plus flow rate     Sec. 7.4.3
                                    3. Meas. accuracy    2. 2%, max           cut-off test       Sec. 7.4.4
                                    4. CV accuracy       3. 2%, max          (b) Nominal         Sec. 7.4.5
                                    5. Cut-off           4. 0.3%, max         conditions
                                                         5. Flow rate cut-   (c) Additional 55
                                                          off if flow rate    mm Hg pressure
                                                          deviates more       drop to simulate
                                                          than 10% from       loaded filter
                                                          design flow rate   (d) Variable flow
                                                          for 603
                                                          0 seconds
-----------------------------------
Sec. 53.54 Power interruption     Sample flow rate:    1. 16.675   operational test   Sec. 7.4.2
                                    2. Regulation         %, L/min           (b) Nominal         Sec. 7.4.3
                                    3. Meas. accuracy    2. 2%, max           conditions         Sec. 7.4.5
                                    4. CV accuracy       3. 2%, max          (c) Additional 55   Sec. 7.4.12
                                    5. Occurrence time   4. 0.3%, max         mm Hg pressure     Sec. 7.4.13
                                     of power            5. 2 min if     loaded filter      Sec. 7.4.15.5
                                    6. Elapsed sample     60      (d) 6 power
                                     time                 seconds             interruptions of
                                    7. Sample volume     6. 20 seconds
                                                         7. 2%,
                                                          max
-----------------------------------

[[Page 78]]

 
Sec. 53.55 Temperature and line   Sample flow rate:    1. 16.675   operational test   Sec. 7.4.2
                                    2. Regulation         %, L/min           (b) Nominal         Sec. 7.4.3
                                    3. Meas. accuracy    2. 2 %, max          conditions         Sec. 7.4.5
                                    4. CV accuracy       3. 2 %, max         (c) Additional 55   Sec. 7.4.8
                                    5. Temperature       4. 0.3 %, max        mm Hg pressure     Sec. 7.4.15.1
                                     meas. accuracy      5. 2 [deg]C          drop to simulate
                                    6. Proper operation                       loaded filter
                                                                             (d) Ambient
                                                                              temperature at -
                                                                              20 and +40 [deg]C
                                                                             (e) Line voltage:
                                                                              105 Vac to 125
                                                                              Vac
-----------------------------------
Sec. 53.56 Barometric pressure    Sample flow rate:    1. 16.675   operational test   Sec. 7.4.2
                                    2. Regulation         %, L/min           (b) Nominal         Sec. 7.4.3
                                    3. Meas. accuracy    2. 2%, max           conditions         Sec. 7.4.5
                                    4. CV accuracy       3. 2%, max          (c) Additional 55   Sec. 7.4.9
                                    5. Pressure meas.    4. 0.3%, max         mm Hg pressure
                                     accuracy            5. 10 mm Hg          drop to simulate
                                    6. Proper operation                       loaded filter
                                                                             (d) Barometric
                                                                              pressure at 600
                                                                              and 800 mm Hg.
-----------------------------------
Sec. 53.57 Filter temperature     1. Filter temp       1. 2 [deg]C         (a) 4-hour          Sec. 7.4.8
 control test.                       meas. accuracy      2. 2 [deg]C          simulated solar    Sec. 7.4.10
                                    2. Ambient temp.     3. Not more than 5   radiation,         Sec. 7.4.11
                                     meas. accuracy       [deg]C above        sampling
                                    3. Filter temp        ambient temp. for  (b) 4-hour
                                     control accuracy,    more than 30 min    simulated solar
                                     sampling and non-                        radiation, non-
                                     sampling                                 sampling
                                                                             (c) Solar flux of
                                                                              10005
                                                                              0W/m2
-----------------------------------
Sec. 53.58 Field precision test.  1. Measurement       1. Pj <2 [mu]g/m3   (a) 3 collocated    Sec. 5.1
                                     precision            for conc. <40       samplers at 1      Sec. 7.3.5
                                    2. Storage            [mu]g/m3 (24-hr)    site for at least  Sec. 8
                                     deposition test      or <30 [mu]g/m3     10 days            Sec. 9
                                     for sequential       (48-hr); or        (b) PM2.5           Sec. 10
                                     samplers            RPj < 5% for conc.   conc.>=10 [mu]g/
                                                          >40 [mu]g/m3 (24-   m3
                                                          hr) or >30 [mu]g/  (c) 24- or 48-hour
                                                          m3 (48-hr)          samples
                                                         2. 50 [mu]g, max    (d) 5- or 10-day
                                                          weight gain         storage period
                                                                              for inactive
                                                                              stored filters
-----------------------------------
 
                  The Following Requirement is Applicable to Candidate Equivalent Methods Only
----------------------------------------------------------------------------------------------------------------
 
Sec. 53.59 Aerosol transport      Aerosol transport    97%, min, for all   Determine aerosol
 test.                                                    channels            transport through
                                                                              any new or
                                                                              modified
                                                                              components with
                                                                              respect to the
                                                                              reference method
                                                                              sampler before
                                                                              the filter for
                                                                              each channel.
----------------------------------------------------------------------------------------------------------------


[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]

  Table E-2 to Subpart E of Part 53--Spectral Energy Distribution and 
           Permitted Tolerance for Conducting Radiative Tests

------------------------------------------------------------------------
                                       Spectral Region
  Characteristic   -----------------------------------------------------
                        Ultraviolet         Visible          Infrared
------------------------------------------------------------------------
Bandwidth ([mu]m)   0.28 to 0.32 0.32   0.40 to 0.78     0.78 to 3.00
                     to 0.40
Irradiance (W/m2)   5 56                450 to 550       439
Allowed Tolerance    35%  10%      thn-eq>10%
                     minus2
                     5%
------------------------------------------------------------------------


[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]

    Figure E-1 to Subpart E of Part 53--Designation Testing Checklist

                      DESIGNATION TESTING CHECKLIST

     -------------------- -------------------- --------------------
     Auditee Auditor signature Date

[[Page 79]]



------------------------------------------------------------------------
Compliance Status: Y = Yes N = No NA = Not applicable/    Verification
                    Not available                           Comments
------------------------------------------------------     (Includes
    Verification      Verified by Direct Observation    documentation of
--------------------    of Process or of Documented    who, what, where,
                     Evidence: Performance, Design or   when, why) (Doc.
                      Application Spec. Corresponding   , Rev.
  Y      N      NA   to Sections of 40 CFR Part 53 or   , Rev.
                        40 CFR Part 50, Appendix L           Date)
------------------------------------------------------------------------
       .....  .....  Performance Specification Tests
       .....  .....  Sample flow rate coefficient of
                      variation (Sec. 53.53) (L-
                      7.4.3)
------
       .....  .....  Filter temperature control
                      (sampling) (Sec. 53.57) (L-
                      7.4.10)
------
       .....  .....  Elapsed sample time accuracy
                      (Sec. 53.54) (L-7.4.13)
------
       .....  .....  Filter temperature control (post
                      sampling) (Sec. 53.57) (L-
                      7.4.10)
------
       .....  .....  Application Specification Tests
------
       .....  .....  Field Precision (Sec. 53.58)
                      (L-5.1)
------
       .....  .....  Meets all Appendix L
                      requirements (part 53, subpart
                      A, Sec. 53.2(a)(3)) (part 53,
                      subpart E, Sec. 53.51(a),(d))
------
       .....  .....  Filter Weighing (L-8)
------
       .....  .....  Field Sampling Procedure (Sec.
                      53.30, .31, .34)
------
       .....  .....  Design Specification Tests
------
       .....  .....  Filter ( L-6)
------
       .....  .....  Range of Operational Conditions
                      (L-7.4.7)
------
 
  The Following Requirements Apply Only to Class I Candidate Equivalent
                                 Methods
------------------------------------------------------------------------
 
       .....  .....  Aerosol Transport (Sec. 53.59)
------------------------------------------------------------------------

   Figure E-2 to Subpart E of Part 53--Product Manufacturing Checklist

                     PRODUCT MANUFACTURING CHECKLIST

     -------------------- -------------------- --------------------
     Auditee Auditor signature Date

------------------------------------------------------------------------
Compliance Status: Y = Yes N = No NA = Not applicable/    Verification
                    Not available                           Comments
------------------------------------------------------     (Includes
    Verification      Verified by Direct Observation    documentation of
--------------------    of Process or of Documented    who, what, where,
                     Evidence: Performance, Design or   when, why) (Doc.
                      Application Spec. Corresponding   , Rev.
  Y      N      NA   to Sections of 40 CFR Part 53 or   , Rev.
                        40 CFR Part 50, Appendix L           Date)
------------------------------------------------------------------------
       .....  .....  Performance Specification Tests
------
       .....  .....   Assembled operational
                      performance (Burn-in test)
                      (Sec. 53.53)
------
       .....  .....   Sample flow rate (Sec. 53.53)
                      (L-7.4.1, L-7.4.2)
------
       .....  .....   Sample flow rate regulation
                      (Sec. 53.53) (L-7.4.3)
------
       .....  .....   Flow rate and average flow rate
                      measurement accuracy (Sec.
                      53.53) (L-7.4.5)
------
       .....  .....   Ambient air temperature
                      measurement accuracy (Sec.
                      53.55) (L-7.4.8)
------
       .....  .....   Ambient barometric pressure
                      measurement accuracy (Sec.
                      53.56) (L-7.4.9)
------
       .....  .....   Sample flow rate cut-off (Sec.
                       53.53) (L-7.4.4)
------
       .....  .....   Sampler leak check facility
                      (Sec. 53.52) (L-7.4.6)
------
       .....  .....   Application Specification Tests
------
       .....  .....   Flow rate calibration transfer
                      standard (L-9.2)
------
       .....  .....   Operational /Instructional
                      manual (L-7.4.18)
------

[[Page 80]]

 
       .....  .....   Design Specification Tests
------
       .....  .....   Impactor (jet width) (Sec.
                      53.51(d)(1)) (L-7.3.4.1)
------
       .....  .....   Surface finish (Sec. 53.51(
                      d)(2)) (L-7.3.7)
------------------------------------------------------------------------

             Appendix A to Subpart E of Part 53--References

    (1) Quality systems--Model for quality assurance in design, 
development, production, installation and servicing, ISO 9001. July 
1994. Available from American Society for Quality Control, 611 East 
Wisconsin Avenue, Milwaukee, WI 53202.
    (2) American National Standard--Specifications and Guidelines for 
Quality Systems for Environmental Data Collection and Environmental 
Technology Programs. ANSI/ASQC E4-1994. January 1995. Available from 
American Society for Quality Control, 611 East Wisconsin Avenue, 
Milwaukee, WI 53202.
    (3) Copies of section 2.12 of the Quality Assurance Handbook for Air 
Pollution Measurement Systems, Volume II, Ambient Air Specific Methods, 
EPA/600/R-94/038b, are available from Department E (MD-77B), U.S. EPA, 
Research Triangle Park, NC 27711.
    (4) Military standard specification (mil. spec.) 8625F, Type II, 
Class 1 as listed in Department of Defense Index of Specifications and 
Standards (DODISS), available from DODSSP-Customer Service, 
Standardization Documents Order Desk, 700 Robbins Avenue, Building 4D, 
Philadelphia, PA 1911-5094.
    (5) Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume IV: Meteorological Measurements. Revised March, 1995. 
EPA-600/R-94-038d. Available from U.S. EPA, ORD Publications Office, 
Center for Environmental Research Information (CERI), 26 West Martin 
Luther King Drive, Cincinnati, Ohio 45268-1072 (513-569-7562).
    (6) Military standard specification (mil. spec.) 810-E as listed in 
Department of Defense Index of Specifications and Standards (DODISS), 
available from DODSSP-Customer Service, Standardization Documents Order 
Desk, 700 Robbins Avenue, Building 4D, Philadelphia, PA 1911-5094.

Subpart F_Procedures for Testing Performance Characteristics of Class II 
                 Equivalent Methods for PM2.5

    Source: 62 FR 38814, July 18, 1997, unless otherwise noted.



Sec. 53.60   General provisions.

    (a) This subpart sets forth the specific requirements that a 
PM2.5 sampler associated with a candidate Class II equivalent 
method must meet to be designated as an equivalent method for 
PM2.5. This subpart also sets forth the explicit test 
procedures that must be carried out and the test results, evidence, 
documentation, and other materials that must be provided to EPA to 
demonstrate that a sampler meets all specified requirements for 
designation as an equivalent method.
    (b) A candidate method described in an application for a reference 
or equivalent method application submitted under Sec. 53.4 shall be 
determined by the EPA to be a Class II candidate equivalent method on 
the basis of the definition of a Class II equivalent method given in 
Sec. 53.1.
    (c) Any sampler associated with a Class II candidate equivalent 
method (Class II sampler) must meet all requirements for reference 
method samplers and Class I equivalent method samplers specified in 
subpart E of this part, as appropriate. In addition, a Class II sampler 
must meet the additional requirements as specified in paragraph (d) of 
this section.
    (d) Except as provided in paragraphs (d) (1), (2), and (3) of this 
section, all Class II samplers are subject to the additional tests and 
performance requirements specified in Sec. 53.62 (full wind tunnel 
test), Sec. 53.65 (loading test), and Sec. 53.66 (volatility test). 
Alternative

[[Page 81]]

tests and performance requirements, as described in paragraphs (d)(1), 
(2), and (3) of this section, are optionally available for certain Class 
II samplers which meet the requirements for reference method or Class I 
samplers given in 40 CFR part 50, appendix L, and in subpart E of this 
part, except for specific deviations of the inlet, fractionator, or 
filter.
    (1) Inlet deviation. A sampler which has been determined to be a 
Class II sampler solely because the design or construction of its inlet 
deviates from the design or construction of the inlet specified in 40 
CFR part 50, appendix L, for reference method samplers shall not be 
subject to the requirements of Sec. 53.62 (full wind tunnel test), 
provided that it meets all requirements of Sec. 53.63 (wind tunnel 
inlet aspiration test), Sec. 53.65 (loading test), and Sec. 53.66 
(volatility test).
    (2) Fractionator deviation. A sampler which has been determined to 
be a Class II sampler solely because the design or construction of its 
particle size fractionator deviates from the design or construction of 
the particle size fractionator specified in 40 CFR part 50, appendix L 
for reference method samplers shall not be subject to the requirements 
of Sec. 53.62 (full wind tunnel test), provided that it meets all 
requirements of Sec. 53.64 (static fractionator test), Sec. 53.65 
(loading test), and Sec. 53.66 (volatility test).
    (3) Filter size deviation. A sampler which has been determined to be 
a Class II sampler solely because its effective filtration area deviates 
from that of the reference method filter specified in 40 CFR part 50, 
appendix L, for reference method samplers shall not be subject to the 
requirements of Sec. 53.62 (full wind tunnel test) nor Sec. 53.65 
(loading test), provided it meets all requirements of Sec. 53.66 
(volatility test).
    (e) The test specifications and acceptance criteria for each test 
are summarized in table F-1 of this subpart. The candidate sampler must 
demonstrate performance that meets the acceptance criteria for each 
applicable test to be designated as an equivalent method.
    (f) Overview of various test procedures for Class II samplers--(1) 
Full wind tunnel test. This test procedure is designed to ensure that 
the candidate sampler's effectiveness (aspiration of an ambient aerosol 
and penetration of the sub 2.5-micron fraction to its sample filter) 
will be comparable to that of a reference method sampler. The candidate 
sampler is challenged at wind speeds of 2 and 24 km/hr with monodisperse 
aerosols of the size specified in table F-2 of this subpart. The 
experimental test results are then integrated with three idealized 
ambient distributions (typical, fine, and coarse) to yield the expected 
mass concentration measurement for each. The acceptance criteria are 
based on the results of this numerical analysis and the particle 
diameter for which the sampler effectiveness is 50 percent.
    (2) Wind tunnel inlet aspiration test. The wind tunnel inlet 
aspiration test directly compares the inlet of the candidate sampler to 
the inlet of a reference method sampler with the single-sized, liquid, 
monodisperse challenge aerosol specified in table F-2 of this subpart at 
wind speeds of 2 km/hr and 24 km/hr. The acceptance criteria, presented 
in table F-1 of this subpart, is based on the relative aspiration 
between the candidate inlet and the reference method inlet.
    (3) Static fractionator test. The static fractionator test 
determines the effectiveness of the candidate sampler's 2.5-micron 
fractionator under static conditions for aerosols of the size specified 
in table F-2 of this subpart. The numerical analysis procedures and 
acceptance criteria are identical to those in the full wind tunnel test.
    (4) Loading test. The loading test is conducted to ensure that the 
performance of a candidate sampler is not significantly affected by the 
amount of particulate deposited on its interior surfaces between 
periodic cleanings. The candidate sampler is artificially loaded by 
sampling a test environment containing aerosolized, standard test dust. 
The duration of the loading phase is dependent on both the time between 
cleaning as specified by the candidate method and the aerosol mass 
concentration in the test environment. After loading, the candidate's 
performance must then be evaluated by Sec. 53.62 (full wind tunnel 
evaluation), Sec. 53.64 (wind tunnel inlet aspiration test), or Sec. 
53.64 (static fractionator test). If the

[[Page 82]]

results of the appropriate test meet the criteria presented in table F-1 
of this subpart, then the candidate sampler passes the loading test 
under the condition that it be cleaned at least as often as the cleaning 
frequency proposed by the candidate method and that has been 
demonstrated to be acceptable by this test.
    (5) Volatility test. The volatility test challenges the candidate 
sampler with a polydisperse, semi-volatile liquid aerosol. This aerosol 
is simultaneously sampled by the candidate method sampler and a 
reference method sampler for a specified time period. Clean air is then 
passed through the samplers during a blow-off time period. Residual mass 
is then calculated as the weight of the filter after the blow-off phase 
is subtracted from the initial weight of the filter. Acceptance criteria 
are based on a comparison of the residual mass measured by the candidate 
sampler (corrected for flow rate variations from that of the reference 
method) to the residual mass measured by the reference method sampler 
for several specified clean air sampling time periods.
    (g) Test data. All test data and other documentation obtained from 
or pertinent to these tests shall be identified, dated, signed by the 
analyst performing the test, and submitted to EPA as part of the 
equivalent method application. Schematic drawings of each particle 
delivery system and other information showing complete procedural 
details of the test atmosphere generation, verification, and delivery 
techniques for each test performed shall be submitted to EPA. All 
pertinent calculations shall be clearly presented. In addition, 
manufacturers are required to submit as part of the application, a 
Designation Testing Checklist (Figure F-1 of this subpart) which has 
been completed and signed by an ISO-certified auditor.



Sec. 53.61   Test conditions for PM2.5 reference method 
          equivalency.

    (a) Sampler surface preparation. Internal surfaces of the candidate 
sampler shall be cleaned and dried prior to performing any Class II 
sampler test in this subpart. The internal collection surfaces of the 
sampler shall then be prepared in strict accordance with the operating 
instructions specified in the sampler's operating manual referred to in 
section 7.4.18 of 40 CFR part 50, appendix L.
    (b) Sampler setup. Set up and start up of all test samplers shall be 
in strict accordance with the operating instructions specified in the 
manual referred to in section 7.4.18 of 40 CFR part 50, appendix L, 
unless otherwise specified within this subpart.
    (c) Sampler adjustments. Once the test sampler or samplers have been 
set up and the performance tests started, manual adjustment shall be 
permitted only between test points for all applicable tests. Manual 
adjustments and any periodic maintenance shall be limited to only those 
procedures prescribed in the manual referred to in section 7.4.18 of 40 
CFR part 50, appendix L. The submitted records shall clearly indicate 
when any manual adjustment or periodic maintenance was made and shall 
describe the operations performed.
    (d) Sampler malfunctions. If a test sampler malfunctions during any 
of the applicable tests, that test run shall be repeated. A detailed 
explanation of all malfunctions and the remedial actions taken shall be 
submitted as part of the equivalent method application.
    (e) Particle concentration measurements. All measurements of 
particle concentration must be made such that the relative error in 
measurement is less than 5.0 percent. Relative error is defined as (s x 
100 percent)/(X), where s is the sample standard deviation of the 
particle concentration detector, X is the measured concentration, and 
the units of s and X are identical.
    (f) Operation of test measurement equipment. All test measurement 
equipment shall be set up, calibrated, and maintained by qualified 
personnel according to the manufacturer's instructions. All appropriate 
calibration information and manuals for this equipment shall be kept on 
file.
    (g) Vibrating orifice aerosol generator conventions. This section 
prescribes conventions regarding the use of the vibrating orifice 
aerosol generator (VOAG) for the size-selective performance tests 
outlined in Sec. Sec. 53.62, 53.63, 53.64, and 53.65.

[[Page 83]]

    (1) Particle aerodynamic diameter. The VOAG produces near-
monodisperse droplets through the controlled breakup of a liquid jet. 
When the liquid solution consists of a non-volatile solute dissolved in 
a volatile solvent, the droplets dry to form particles of near-
monodisperse size.
    (i) The physical diameter of a generated spherical particle can be 
calculated from the operating parameters of the VOAG as:
                               Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.094

where:

Dp = particle physical diameter, [mu]m;
Q = liquid volumetric flow rate, [mu]m3/sec;
Cvol = volume concentration (particle volume produced per 
drop volume), dimensionless; and
f = frequency of applied vibrational signal, 1/sec.

    (ii) A given particle's aerodynamic behavior is a function of its 
physical particle size, particle shape, and density. Aerodynamic 
diameter is defined as the diameter of a unit density ([rho]o 
= 1g/cm3) sphere having the same settling velocity as the 
particle under consideration. For converting a spherical particle of 
known density to aerodynamic diameter, the governing relationship is:
                               Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.095

where:

Dae = particle aerodynamic diameter, [mu]m;
[rho]p = particle density, g/cm3;
[rho]o = aerodynamic particle density = 1 g/cm3;
CDp = Cunningham's slip correction factor for physical 
particle diameter, dimensionless; and
CDae = Cunningham's slip correction factor for aerodynamic 
particle diameter, dimensionless.

    (iii) At room temperature and standard pressure, the Cunningham's 
slip correction factor is solely a function of particle diameter:
                               Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.096


or
                               Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.097

    (iv) Since the slip correction factor is itself a function of 
particle diameter, the aerodynamic diameter in equation 2 of paragraph 
(g)(1)(ii) of this section cannot be solved directly but must be 
determined by iteration.
    (2) Solid particle generation. (i) Solid particle tests performed in 
this subpart shall be conducted using particles composed of ammonium 
fluorescein. For use in the VOAG, liquid solutions of known volumetric 
concentration can be prepared by diluting fluorescein powder 
(C20H12O5, FW = 332.31, CAS 2321-07-5) 
with aqueous ammonia. Guidelines for preparation of fluorescein 
solutions of the desired volume concentration (Cvol) are 
presented by Vanderpool and Rubow (1988) (Reference 2 in appendix A of 
this subpart). For purposes of converting particle physical diameter to 
aerodynamic diameter, an ammonium fluorescein density of 1.35 g/
cm3 shall be used.
    (ii) Mass deposits of ammonium fluorescein shall be extracted and 
analyzed using solutions of 0.01 N ammonium hydroxide.
    (3) Liquid particle generation. (i) Tests prescribed in Sec. 53.63 
for inlet aspiration require the use of liquid particle tests composed 
of oleic acid tagged with uranine to enable subsequent fluorometric 
quantitation of collected aerosol mass deposits. Oleic acid 
(C18H34O2, FW = 282.47, CAS 112-80-1) 
has a density of 0.8935 g/cm3. Because the viscosity of oleic 
acid is relatively high, significant errors can occur when dispensing 
oleic acid using volumetric pipettes. For this reason, it is recommended 
that oleic acid solutions be prepared by quantifying dispensed oleic 
acid gravimetrically. The volume of

[[Page 84]]

oleic acid dispensed can then be calculated simply by dividing the 
dispensed mass by the oleic acid density.
    (ii) Oleic acid solutions tagged with uranine shall be prepared as 
follows. A known mass of oleic acid shall first be diluted using 
absolute ethanol. The desired mass of the uranine tag should then be 
diluted in a separate container using absolute ethanol. Uranine 
(C20H10O5Na2, FW = 376.3, 
CAS 518-47-8) is the disodium salt of fluorescein and has a density of 
1.53 g/cm3. In preparing uranine tagged oleic acid particles, 
the uranine content shall not exceed 20 percent on a mass basis. Once 
both oleic acid and uranine solutions are properly prepared, they can 
then be combined and diluted to final volume using absolute ethanol.
    (iii) Calculation of the physical diameter of the particles produced 
by the VOAG requires knowledge of the liquid solution's volume 
concentration (Cvol). Because uranine is essentially 
insoluble in oleic acid, the total particle volume is the sum of the 
oleic acid volume and the uranine volume. The volume concentration of 
the liquid solution shall be calculated as:
                               Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.098

where:

Vu = uranine volume, ml;
Voleic = oleic acid volume, ml;
Vsol = total solution volume, ml;
Mu = uranine mass, g;
[rho]u = uranine density, g/cm3;
Moleic = oleic acid mass, g; and
[rho]oleic = oleic acid density, g/cm3.

    (iv) For purposes of converting the particles' physical diameter to 
aerodynamic diameter, the density of the generated particles shall be 
calculated as:
                               Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.099

    (v) Mass deposits of oleic acid shall be extracted and analyzed 
using solutions of 0.01 N sodium hydroxide.

[62 FR 38814, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 53.62   Test procedure: Full wind tunnel test.

    (a) Overview. The full wind tunnel test evaluates the effectiveness 
of the candidate sampler at 2 km/hr and 24 km/hr for aerosols of the 
size specified in table F-2 of this subpart (under the heading, ``Full 
Wind Tunnel Test''). For each wind speed, a smooth curve is fit to the 
effectiveness data and corrected for the presence of multiplets in the 
wind tunnel calibration aerosol. The cutpoint diameter (Dp50) 
at each wind speed is then determined from the corrected effectiveness 
curves. The two resultant penetration curves are then each numerically 
integrated with three idealized ambient particle size distributions to 
provide six estimates of measured mass concentration. Critical 
parameters for these idealized distributions are presented in table F-3 
of this subpart.
    (b) Technical definitions. Effectiveness is the ratio (expressed as 
a percentage) of the mass concentration of particles of a specific size 
reaching the sampler filter or filters to the mass concentration of 
particles of the same size approaching the sampler.
    (c) Facilities and equipment required--(1) Wind tunnel. The particle 
delivery system shall consist of a blower system and a wind tunnel 
having a test section of sufficiently large cross-sectional area such 
that the test sampler, or portion thereof, as installed in the test 
section for testing, blocks no more than 15 percent of the test section 
area. The wind tunnel blower system must be capable of maintaining 
uniform wind speeds at the 2 km/hr and 24 km/hr in the test section.
    (2) Aerosol generation system. A vibrating orifice aerosol generator 
shall be used to produce monodisperse solid particles of ammonium 
fluorescein with equivalent aerodynamic diameters as specified in table 
F-2 of this subpart. The geometric standard deviation for each particle 
size generated shall not exceed 1.1 (for primary particles) and the 
proportion of multiplets

[[Page 85]]

(doublets and triplets) in all test particle atmosphere shall not exceed 
10 percent of the particle population. The aerodynamic particle 
diameter, as established by the operating parameters of the vibrating 
orifice aerosol generator, shall be within the tolerance specified in 
table F-2 of this subpart.
    (3) Particle size verification equipment. The size of the test 
particles shall be verified during this test by use of a suitable 
instrument (e.g., scanning electron microscope, optical particle sizer, 
time-of-flight apparatus). The instrument must be capable of measuring 
solid and liquid test particles with a size resolution of 0.1 [mu]m or 
less. The accuracy of the particle size verification technique shall be 
0.15 [mu]m or better.
    (4) Wind speed measurement. The wind speed in the wind tunnel shall 
be determined during the tests using an appropriate technique capable of 
a precision of 2 percent and an accuracy of 5 percent or better (e.g., 
hot-wire anemometry). For the wind speeds specified in table F-2 of this 
subpart, the wind speed shall be measured at a minimum of 12 test points 
in a cross-sectional area of the test section of the wind tunnel. The 
mean wind speed in the test section must be within 10 percent of the value specified in table F-2 of this 
subpart, and the variation at any test point in the test section may not 
exceed 10 percent of the measured mean.
    (5) Aerosol rake. The cross-sectional uniformity of the particle 
concentration in the sampling zone of the test section shall be 
established during the tests using an array of isokinetic samplers, 
referred to as a rake. Not less than five evenly spaced isokinetic 
samplers shall be used to determine the particle concentration spatial 
uniformity in the sampling zone. The sampling zone shall be a 
rectangular area having a horizontal dimension not less than 1.2 times 
the width of the test sampler at its inlet opening and a vertical 
dimension not less than 25 centimeters.
    (6) Total aerosol isokinetic sampler. After cross-sectional 
uniformity has been confirmed, a single isokinetic sampler may be used 
in place of the array of isokinetic samplers for the determination of 
particle mass concentration used in the calculation of sampling 
effectiveness of the test sampler in paragraph (d)(5) of this section. 
In this case, the array of isokinetic samplers must be used to 
demonstrate particle concentration uniformity prior to the replicate 
measurements of sampling effectiveness.
    (7) Fluorometer. A fluorometer used for quantifying extracted 
aerosol mass deposits shall be set up, maintained, and calibrated 
according to the manufacturer's instructions. A series of calibration 
standards shall be prepared to encompass the minimum and maximum 
concentrations measured during size-selective tests. Prior to each 
calibration and measurement, the fluorometer shall be zeroed using an 
aliquot of the same solvent used for extracting aerosol mass deposits.
    (8) Sampler flow rate measurements. All flow rate measurements used 
to calculate the test atmosphere concentrations and the test results 
must be accurate to within 2 percent, referenced 
to a NIST-traceable primary standard. Any necessary flow rate 
measurement corrections shall be clearly documented. All flow rate 
measurements shall be performed and reported in actual volumetric units.
    (d) Test procedures--(1) Establish and verify wind speed. (i) 
Establish a wind speed specified in table F-2 of this subpart.
    (ii) Measure the wind speed at a minimum of 12 test points in a 
cross-sectional area of the test section of the wind tunnel using a 
device as described in paragraph (c)(4) of this section.
    (iii) Verify that the mean wind speed in the test section of the 
wind tunnel during the tests is within 10 percent of the value specified 
in table F-2 of this subpart. The wind speed measured at any test point 
in the test section shall not differ by more than 10 percent from the 
mean wind speed in the test section.
    (2) Generate aerosol. (i) Generate particles of a size specified in 
table F-2 of this subpart using a vibrating orifice aerosol generator.
    (ii) Check for the presence of satellites and adjust the generator 
as necessary.
    (iii) Calculate the physical particle size using the operating 
parameters of

[[Page 86]]

the vibrating orifice aerosol generator and record.
    (iv) Determine the particle's aerodynamic diameter from the 
calculated physical diameter and the known density of the generated 
particle. The calculated aerodynamic diameter must be within the 
tolerance specified in table F-2 of this subpart.
    (3) Introduce particles into the wind tunnel. Introduce the 
generated particles into the wind tunnel and allow the particle 
concentration to stabilize.
    (4) Verify the quality of the test aerosol. (i) Extract a 
representative sample of the aerosol from the sampling test zone and 
measure the size distribution of the collected particles using an 
appropriate sizing technique. If the measurement technique does not 
provide a direct measure of aerodynamic diameter, the geometric mean 
aerodynamic diameter of the challenge aerosol must be calculated using 
the known density of the particle and the measured mean physical 
diameter. The determined geometric mean aerodynamic diameter of the test 
aerosol must be within 0.15 [mu]m of the aerodynamic diameter calculated 
from the operating parameters of the vibrating orifice aerosol 
generator. The geometric standard deviation of the primary particles 
must not exceed 1.1.
    (ii) Determine the population of multiplets in the collected sample. 
The multiplet population of the particle test atmosphere must not exceed 
10 percent of the total particle population.
    (5) Aerosol uniformity and concentration measurement. (i) Install an 
array of five or more evenly spaced isokinetic samplers in the sampling 
zone (paragraph (c)(5) of this section). Collect particles on 
appropriate filters over a time period such that the relative error of 
the measured particle concentration is less than 5.0 percent.
    (ii) Determine the quantity of material collected with each 
isokinetic sampler in the array using a calibrated fluorometer. 
Calculate and record the mass concentration for each isokinetic sampler 
as:
                               Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.100

where:

i = replicate number;
j = isokinetic sampler number;
Miso = mass of material collected with the isokinetic 
sampler;
Q = isokinetic sampler volumetric flow rate; and
t = sampling time.

    (iii) Calculate and record the mean mass concentration as:
                               Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.101

where:

i = replicate number;
j = isokinetic sampler number; and
n = total number of isokinetic samplers.

    (iv) Precision calculation. (A) Calculate the coefficient of 
variation of the mass concentration measurements as:
                               Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.102

where:

i = replicate number;
j = isokinetic sampler number; and
n = total number of isokinetic samplers.

    (B) If the value of CViso(i) for any replicate exceeds 10 
percent, the particle concentration uniformity is unacceptable and step 
5 must be repeated. If adjustment of the vibrating orifice aerosol 
generator or changes in the particle delivery system are necessary to 
achieve uniformity, steps 1 through 5 must be repeated. When an 
acceptable aerosol spatial uniformity is achieved, remove the array of 
isokinetic samplers from the wind tunnel.
    (6) Alternative measure of wind tunnel total concentration. If a 
single isokinetic sampler is used to determine

[[Page 87]]

the mean aerosol concentration in the wind tunnel, install the sampler 
in the wind tunnel with the sampler nozzle centered in the sampling zone 
(paragraph (c)(6) of this section).
    (i) Collect particles on an appropriate filter over a time period 
such that the relative error of the measured concentration is less than 
5.0 percent.
    (ii) Determine the quantity of material collected with the 
isokinetic sampler using a calibrated fluorometer.
    (iii) Calculate and record the mass concentration as 
Ciso(i) as in paragraph (d)(5)(ii) of this section.
    (iv) Remove the isokinetic sampler from the wind tunnel.
    (7) Measure the aerosol with the candidate sampler. (i) Install the 
test sampler (or portion thereof) in the wind tunnel with the sampler 
inlet opening centered in the sampling zone. To meet the maximum 
blockage limit of paragraph (c)(1) of this section or for convenience, 
part of the test sampler may be positioned external to the wind tunnel 
provided that neither the geometry of the sampler nor the length of any 
connecting tube or pipe is altered. Collect particles for a time period 
such that the relative error of the measured concentration is less than 
5.0 percent.
    (ii) Remove the test sampler from the wind tunnel.
    (iii) Determine the quantity of material collected with the test 
sampler using a calibrated fluorometer. Calculate and record the mass 
concentration for each replicate as:
                               Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.103

where:

i = replicate number;
Mcand = mass of material collected with the candidate 
sampler;
Q = candidate sampler volumetric flow rate; and
t = sampling time.

    (iv)(A) Calculate and record the sampling effectiveness of the 
candidate sampler as:
                               Equation 11
[GRAPHIC] [TIFF OMITTED] TR18JY97.104

where:

i = replicate number.

    (B) If a single isokinetic sampler is used for the determination of 
particle mass concentration, replace Ciso(i) with 
Ciso.
    (8) Replicate measurements and calculation of mean sampling 
effectiveness. (i) Repeat steps in paragraphs (d)(5) through (d)(7) of 
this section, as appropriate, to obtain a minimum of three valid 
replicate measurements of sampling effectiveness.
    (ii) Calculate and record the average sampling effectiveness of the 
test sampler for the particle size as:
                               Equation 12
[GRAPHIC] [TIFF OMITTED] TR18JY97.105

where:

i = replicate number; and
n = number of replicates.

    (iii) Sampling effectiveness precision. (A) Calculate and record the 
coefficient of variation for the replicate sampling effectiveness 
measurements of the test sampler as:
                               Equation 13
[GRAPHIC] [TIFF OMITTED] TR18JY97.106

where:

i = replicate number, and
n = number of replicates.

    (B) If the value of CVE exceeds 10 percent, the test run 
(steps in paragraphs (d)(2) through (d)(8) of this section) must be 
repeated until an acceptable value is obtained.
    (9) Repeat steps in paragraphs (d)(2) through (d)(8) of this section 
until the

[[Page 88]]

sampling effectiveness has been measured for all particle sizes 
specified in table F-2 of this subpart.
    (10) Repeat steps in paragraphs (d)(1) through (d)(9) of this 
section until tests have been successfully conducted for both wind 
speeds of 2 km/hr and 24 km/hr.
    (e) Calculations--(1) Graphical treatment of effectiveness data. For 
each wind speed given in table F-2 of this subpart, plot the particle 
average sampling effectiveness of the candidate sampler as a function of 
aerodynamic particle diameter (Dae) on semi-logarithmic graph 
paper where the aerodynamic particle diameter is the particle size 
established by the parameters of the VOAG in conjunction with the known 
particle density. Construct a best-fit, smooth curve through the data by 
extrapolating the sampling effectiveness curve through 100 percent at an 
aerodynamic particle size of 0.5 [mu]m and 0 percent at an aerodynamic 
particle size of 10 [mu]m. Correction for the presence of multiplets 
shall be performed using the techniques presented by Marple, et al 
(1987). This multiplet-corrected effectiveness curve shall be used for 
all remaining calculations in this paragraph (e).
    (2) Cutpoint determination. For each wind speed determine the 
sampler Dp50 cutpoint defined as the aerodynamic particle 
size corresponding to 50 percent effectiveness from the multiplet 
corrected smooth curve.
    (3) Expected mass concentration calculation. For each wind speed, 
calculate the estimated mass concentration measurement for the test 
sampler under each particle size distribution (Tables F-4, F-5, and F-6 
of this subpart) and compare it to the mass concentration predicted for 
the reference sampler as follows:
    (i) Determine the value of corrected effectiveness using the best-
fit, multiplet-corrected curve at each of the particle sizes specified 
in the first column of table F-4 of this subpart. Record each corrected 
effectiveness value as a decimal between 0 and 1 in column 2 of table F-
4 of this subpart.
    (ii) Calculate the interval estimated mass concentration measurement 
by multiplying the values of corrected effectiveness in column 2 by the 
interval mass concentration values in column 3 and enter the products in 
column 4 of table F-4 of this subpart.
    (iii) Calculate the estimated mass concentration measurement by 
summing the values in column 4 and entering the total as the estimated 
mass concentration measurement for the test sampler at the bottom of 
column 4 of table F-4 of this subpart.
    (iv) Calculate the estimated mass concentration ratio between the 
candidate method and the reference method as:
                               Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.107

where:

Ccand(est) = estimated mass concentration measurement for the 
test sampler, [mu]g/m3; and
Cref(est) = estimated mass concentration measurement for the 
reference sampler, [mu]g/m3 (calculated for the reference 
sampler and specified at the bottom of column 7 of table F-4 of this 
subpart).

    (v) Repeat steps in paragraphs (e) (1) through (e)(3) of this 
section for tables F-5 and F-6 of this subpart.
    (f) Evaluation of test results. The candidate method passes the wind 
tunnel effectiveness test if the Rc value for each wind speed 
meets the specification in table F-1 of this subpart for each of the 
three particle size distributions.



Sec. 53.63   Test procedure: Wind tunnel inlet aspiration test.

    (a) Overview. This test applies to a candidate sampler which differs 
from the reference method sampler only with respect to the design of the 
inlet. The purpose of this test is to ensure that the aspiration of a 
Class II candidate sampler is such that it representatively extracts an 
ambient aerosol at elevated wind speeds. This wind tunnel test uses a 
single-sized, liquid aerosol in conjunction with wind speeds of 2 km/hr 
and 24 km/hr. The test atmosphere concentration is alternately measured 
with the candidate sampler and a reference method device, both of which 
are operated without the

[[Page 89]]

2.5-micron fractionation device installed. The test conditions are 
summarized in table F-2 of this subpart (under the heading of ``wind 
tunnel inlet aspiration test''). The candidate sampler must meet or 
exceed the acceptance criteria given in table F-1 of this subpart.
    (b) Technical definition. Relative aspiration is the ratio 
(expressed as a percentage) of the aerosol mass concentration measured 
by the candidate sampler to that measured by a reference method sampler.
    (c) Facilities and equipment required. The facilities and equipment 
are identical to those required for the full wind tunnel test (Sec. 
53.62(c)).
    (d) Setup. The candidate and reference method samplers shall be 
operated with the PM2.5 fractionation device removed from the 
flow path throughout this entire test procedure. Modifications to 
accommodate this requirement shall be limited to removal of the 
fractionator and insertion of the filter holder directly into the 
downtube of the inlet.
    (e) Test procedure--(1) Establish the wind tunnel test atmosphere. 
Follow the procedures in Sec. 53.62(d)(1) through (d)(4) to establish a 
test atmosphere for one of the two wind speeds specified in table F-2 of 
this subpart.
    (2) Measure the aerosol concentration with the reference sampler. 
(i) Install the reference sampler (or portion thereof) in the wind 
tunnel with the sampler inlet opening centered in the sampling zone. To 
meet the maximum blockage limit of Sec. 53.62(c)(1) or for convenience, 
part of the test sampler may be positioned external to the wind tunnel 
provided that neither the geometry of the sampler nor the length of any 
connecting tube or pipe is altered. Collect particles for a time period 
such that the relative error of the measured concentration is less than 
5.0 percent.
    (ii) Determine the quantity of material collected with the reference 
method sampler using a calibrated fluorometer. Calculate and record the 
mass concentration as:
                               Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.108

where:

i = replicate number;
Mref = mass of material collected with the reference method 
sampler;
Q = reference method sampler volumetric flow rate; and
t = sampling time.

    (iii) Remove the reference method sampler from the tunnel.
    (3) Measure the aerosol concentration with the candidate sampler. 
(i) Install the candidate sampler (or portion thereof) in the wind 
tunnel with the sampler inlet centered in the sampling zone. To meet the 
maximum blockage limit of Sec. 53.62(c)(1) or for convenience, part of 
the test sampler may be positioned external to the wind tunnel provided 
that neither the geometry of the sampler nor the length of any 
connecting tube or pipe is altered. Collect particles for a time period 
such that the relative error of the measured concentration is less than 
5.0 percent.
    (ii) Determine the quantity of material collected with the candidate 
sampler using a calibrated fluorometer. Calculate and record the mass 
concentration as:
                               Equation 16
[GRAPHIC] [TIFF OMITTED] TR18JY97.109

where:

i = replicate number;
Mcand = mass of material collected with the candidate 
sampler;
Q = candidate sampler volumetric flow rate; and
t = sampling time.

    (iii) Remove the candidate sampler from the wind tunnel.
    (4) Repeat steps in paragraphs (d) (2) and (d)(3) of this section. 
Alternately measure the tunnel concentration with the reference sampler 
and the candidate sampler until four reference sampler and three 
candidate sampler measurements of the wind tunnel concentration are 
obtained.

[[Page 90]]

    (5) Calculations. (i) Calculate and record aspiration ratio for each 
candidate sampler run as:
                               Equation 17
[GRAPHIC] [TIFF OMITTED] TR18JY97.110

where:

i = replicate number.

    (ii) Calculate and record the mean aspiration ratio as:
                               Equation 18
[GRAPHIC] [TIFF OMITTED] TR18JY97.111

where:

i = replicate number; and
n = total number of measurements of aspiration ratio.

    (iii) Precision of the aspiration ratio. (A) Calculate and record 
the precision of the aspiration ratio measurements as the coefficient of 
variation as:
                               Equation 19
[GRAPHIC] [TIFF OMITTED] TR18JY97.112

where:

i = replicate number; and
n = total number of measurements of aspiration ratio.

    (B) If the value of CVA exceeds 10 percent, the entire 
test procedure must be repeated.
    (f) Evaluation of test results. The candidate method passes the 
inlet aspiration test if all values of A meet the acceptance criteria 
specified in table F-1 of this subpart.



Sec. 53.64   Test procedure: Static fractionator test.

    (a) Overview. This test applies only to those candidate methods in 
which the sole deviation from the reference method is in the design of 
the 2.5-micron fractionation device. The purpose of this test is to 
ensure that the fractionation characteristics of the candidate 
fractionator are acceptably similar to that of the reference method 
sampler. It is recognized that various methodologies exist for 
quantifying fractionator effectiveness. The following commonly-employed 
techniques are provided for purposes of guidance. Other methodologies 
for determining sampler effectiveness may be used contingent upon prior 
approval by the Agency.
    (1) Wash-off method. Effectiveness is determined by measuring the 
aerosol mass deposited on the candidate sampler's after filter versus 
the aerosol mass deposited in the fractionator. The material deposited 
in the fractionator is recovered by washing its internal surfaces. For 
these wash-off tests, a fluorometer must be used to quantitate the 
aerosol concentration. Note that if this technique is chosen, the 
candidate must be reloaded with coarse aerosol prior to each test point 
when reevaluating the curve as specified in the loading test.
    (2) Static chamber method. Effectiveness is determined by measuring 
the aerosol mass concentration sampled by the candidate sampler's after 
filter versus that which exists in a static chamber. A calibrated 
fluorometer shall be used to quantify the collected aerosol deposits. 
The aerosol concentration is calculated as the measured aerosol mass 
divided by the sampled air volume.
    (3) Divided flow method. Effectiveness is determined by comparing 
the aerosol concentration upstream of the candidate sampler's 
fractionator versus that concentration which exists downstream of the 
candidate fractionator. These tests may utilize either fluorometry or a 
real-time aerosol measuring device to determine the aerosol 
concentration.
    (b) Technical definition. Effectiveness under static conditions is 
the ratio (expressed as a percentage) of the mass concentration of 
particles of a given size reaching the sampler filter to the mass 
concentration of particles of the same size existing in the test 
atmosphere.

[[Page 91]]

    (c) Facilities and equipment required--(1) Aerosol generation. 
Methods for generating aerosols shall be identical to those prescribed 
in Sec. 53.62(c)(2).
    (2) Particle delivery system. Acceptable apparatus for delivering 
the generated aerosols to the candidate fractionator is dependent on the 
effectiveness measurement methodology and shall be defined as follows:
    (i) Wash-off test apparatus. The aerosol may be delivered to the 
candidate fractionator through direct piping (with or without an in-line 
mixing chamber). Validation particle size and quality shall be conducted 
at a point directly upstream of the fractionator.
    (ii) Static chamber test apparatus. The aerosol shall be introduced 
into a chamber and sufficiently mixed such that the aerosol 
concentration within the chamber is spatially uniform. The chamber must 
be of sufficient size to house at least four total filter samplers in 
addition to the inlet of the candidate method size fractionator. 
Validation of particle size and quality shall be conducted on 
representative aerosol samples extracted from the chamber.
    (iii) Divided flow test apparatus. The apparatus shall allow the 
aerosol concentration to be measured upstream and downstream of the 
fractionator. The aerosol shall be delivered to a manifold with two 
symmetrical branching legs. One of the legs, referred to as the bypass 
leg, shall allow the challenge aerosol to pass unfractionated to the 
detector. The other leg shall accommodate the fractionation device.
    (3) Particle concentration measurement--(i) Fluorometry. Refer to 
Sec. 53.62(c)(7).
    (ii) Number concentration measurement. A number counting particle 
sizer may be used in conjunction with the divided flow test apparatus in 
lieu of fluorometric measurement. This device must have a minimum range 
of 1 to 10 [mu]m, a resolution of 0.1 [mu]m, and an accuracy of 0.15 
[mu]m such that primary particles may be distinguished from multiplets 
for all test aerosols. The measurement of number concentration shall be 
accomplished by integrating the primary particle peak.
    (d) Setup--(1) Remove the inlet and downtube from the candidate 
fractionator. All tests procedures shall be conducted with the inlet and 
downtube removed from the candidate sampler.
    (2) Surface treatment of the fractionator. Rinsing aluminum surfaces 
with alkaline solutions has been found to adversely affect subsequent 
fluorometric quantitation of aerosol mass deposits. If wash-off tests 
are to be used for quantifying aerosol penetration, internal surfaces of 
the fractionator must first be plated with electroless nickel. 
Specifications for this plating are specified in Society of Automotive 
Engineers Aerospace Material Specification (SAE AMS) 2404C, Electroless 
Nickel Plating (Reference 3 in appendix A of subpart F).
    (e) Test procedure: Wash-off method--(1) Clean the candidate 
sampler. Note: The procedures in this step may be omitted if this test 
is being used to evaluate the fractionator after being loaded as 
specified in Sec. 53.65.
    (i) Clean and dry the internal surfaces of the candidate sampler.
    (ii) Prepare the internal fractionator surfaces in strict accordance 
with the operating instructions specified in the sampler's operating 
manual referred to in section 7.4.18 of 40 CFR part 50, appendix L.
    (2) Generate aerosol. Follow the procedures for aerosol generation 
prescribed in Sec. 53.62(d)(2).
    (3) Verify the quality of the test aerosol. Follow the procedures 
for verification of test aerosol size and quality prescribed in Sec. 
53.62(d)(4).
    (4) Determine effectiveness for the particle size being produced. 
(i) Collect particles downstream of the fractionator on an appropriate 
filter over a time period such that the relative error of the 
fluorometric measurement is less than 5.0 percent.
    (ii) Determine the quantity of material collected on the after 
filter of the candidate method using a calibrated fluorometer. Calculate 
and record the aerosol mass concentration for the sampler filter as:

[[Page 92]]

                               Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.113

where:

i = replicate number;
Mcand = mass of material collected with the candidate 
sampler;
Q = candidate sampler volumetric flowrate; and
t = sampling time.

    (iii) Wash all interior surfaces upstream of the filter and 
determine the quantity of material collected using a calibrated 
fluorometer. Calculate and record the fluorometric mass concentration of 
the sampler wash as:
                               Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.114

where:

i = replicate number;
Mwash = mass of material washed from the interior surfaces of 
the fractionator;
Q = candidate sampler volumetric flowrate; and
t = sampling time.

    (iv) Calculate and record the sampling effectiveness of the test 
sampler for this particle size as:
                               Equation 22
[GRAPHIC] [TIFF OMITTED] TR18JY97.115

where:

i = replicate number.

    (v) Repeat steps in paragraphs (e)(4) of this section, as 
appropriate, to obtain a minimum of three replicate measurements of 
sampling effectiveness. Note: The procedures for loading the candidate 
in Sec. 53.65 must be repeated between repetitions if this test is 
being used to evaluate the fractionator after being loaded as specified 
in Sec. 53.65.
    (vi) Calculate and record the average sampling effectiveness of the 
test sampler as:
                               Equation 23
[GRAPHIC] [TIFF OMITTED] TR18JY97.116

where:

i = replicate number; and
n = number of replicates.

    (vii)(A) Calculate and record the coefficient of variation for the 
replicate sampling effectiveness measurements of the test sampler as:
                               Equation 24
[GRAPHIC] [TIFF OMITTED] TR18JY97.117

where:

i = replicate number; and
n = total number of measurements.

    (B) If the value of CVE exceeds 10 percent, then steps in 
paragraphs (e) (2) through (e)(4) of this section must be repeated.
    (5) Repeat steps in paragraphs (e) (1) through (e)(4) of this 
section for each particle size specified in table F-2 of this subpart.
    (f) Test procedure: Static chamber method--(1) Generate aerosol. 
Follow the procedures for aerosol generation prescribed in Sec. 
53.62(d)(2).
    (2) Verify the quality of the test aerosol. Follow the procedures 
for verification of test aerosol size and quality prescribed in Sec. 
53.62(d)(4).
    (3) Introduce particles into chamber. Introduce the particles into 
the static chamber and allow the particle concentration to stabilize.
    (4) Install and operate the candidate sampler's fractionator and its 
after-filter and at least four total filters. (i) Install the 
fractionator and an array of four or more equally spaced total filter 
samplers such that the total filters surround and are in the same plane 
as the inlet of the fractionator.
    (ii) Simultaneously collect particles onto appropriate filters with 
the total filter samplers and the fractionator for a time period such 
that the relative

[[Page 93]]

error of the measured concentration is less than 5.0 percent.
    (5) Calculate the aerosol spatial uniformity in the chamber. (i) 
Determine the quantity of material collected with each total filter 
sampler in the array using a calibrated fluorometer. Calculate and 
record the mass concentration for each total filter sampler as:
                               Equation 25
[GRAPHIC] [TIFF OMITTED] TR18JY97.118

where:

i = replicate number;
j = total filter sampler number;
Mtotal = mass of material collected with the total filter 
sampler;
Q = total filter sampler volumetric flowrate; and
t = sample time.

    (ii) Calculate and record the mean mass concentration as:
                               Equation 26
[GRAPHIC] [TIFF OMITTED] TR18JY97.119

where:

n = total number of samplers;
i = replicate number; and
j = filter sampler number.

    (iii) (A) Calculate and record the coefficient of variation of the 
total mass concentration as:

                               Equation 27
[GRAPHIC] [TIFF OMITTED] TR18JY97.120

where:

i = replicate number;
j = total filter sampler number; and
n = number of total filter samplers.

    (B) If the value of CVtotal exceeds 10 percent, then the 
particle concentration uniformity is unacceptable, alterations to the 
static chamber test apparatus must be made, and steps in paragraphs 
(f)(1) through (f)(5) of this section must be repeated.
    (6) Determine the effectiveness of the candidate sampler. (i) 
Determine the quantity of material collected on the candidate sampler's 
after filter using a calibrated fluorometer. Calculate and record the 
mass concentration for the candidate sampler as:
                               Equation 28
[GRAPHIC] [TIFF OMITTED] TR18JY97.121

where:

i = replicate number;
Mcand = mass of material collected with the candidate 
sampler;
Q = candidate sampler volumetric flowrate; and
t = sample time.

    (ii) Calculate and record the sampling effectiveness of the 
candidate sampler as:
                               Equation 29
[GRAPHIC] [TIFF OMITTED] TR18JY97.122

where:

i = replicate number.

    (iii) Repeat step in paragraph (f)(4) through (f)(6) of this 
section, as appropriate, to obtain a minimum of three replicate 
measurements of sampling effectiveness.

[[Page 94]]

    (iv) Calculate and record the average sampling effectiveness of the 
test sampler as:
                               Equation 30
[GRAPHIC] [TIFF OMITTED] TR18JY97.123

where:

i= replicate number.

    (v)(A) Calculate and record the coefficient of variation for the 
replicate sampling effectiveness measurements of the test sampler as:
                               Equation 31
[GRAPHIC] [TIFF OMITTED] TR18JY97.124

where:

i = replicate number; and
n = number of measurements of effectiveness.

    (B) If the value of CVE exceeds 10 percent, then the test 
run (steps in paragraphs (f)(2) through (f)(6) of this section) is 
unacceptable and must be repeated.
    (7) Repeat steps in paragraphs (f)(1) through (f)(6) of this section 
for each particle size specified in table F-2 of this subpart.
    (g) Test procedure: Divided flow method--(1) Generate calibration 
aerosol. Follow the procedures for aerosol generation prescribed in 
Sec. 53.62(d)(2).
    (2) Verify the quality of the calibration aerosol. Follow the 
procedures for verification of calibration aerosol size and quality 
prescribed in Sec. 53.62(d)(4).
    (3) Introduce aerosol. Introduce the calibration aerosol into the 
static chamber and allow the particle concentration to stabilize.
    (4) Validate that transport is equal for the divided flow option. 
(i) With fluorometry as a detector:
    (A) Install a total filter on each leg of the divided flow 
apparatus.
    (B) Collect particles simultaneously through both legs at 16.7 L/min 
onto an appropriate filter for a time period such that the relative 
error of the measured concentration is less than 5.0 percent.
    (C) Determine the quantity of material collected on each filter 
using a calibrated fluorometer. Calculate and record the mass 
concentration measured in each leg as:
                               Equation 32
[GRAPHIC] [TIFF OMITTED] TR18JY97.125

where:

i = replicate number,
M = mass of material collected with the total filter; and
Q = candidate sampler volumetric flowrate.

    (D) Repeat steps in paragraphs (g)(4)(i)(A) through (g)(4)(i)(C) of 
this section until a minimum of three replicate measurements are 
performed.
    (ii) With an aerosol number counting device as a detector:
    (A) Remove all flow obstructions from the flow paths of the two 
legs.
    (B) Quantify the aerosol concentration of the primary particles in 
each leg of the apparatus.
    (C) Repeat steps in paragraphs (g)(4)(ii)(A) through (g)(4)(ii)(B) 
of this section until a minimum of three replicate measurements are 
performed.
    (iii) (A) Calculate the mean concentration and coefficient of 
variation as:
                               Equation 33
[GRAPHIC] [TIFF OMITTED] TR18JY97.126

                               Equation 34
[GRAPHIC] [TIFF OMITTED] TR18JY97.127

where:

i = replicate number; and
n = number of replicates.

    (B) If the measured mean concentrations through the two legs do not 
agree

[[Page 95]]

within 5 percent, then adjustments may be made in the setup, and this 
step must be repeated.
    (5) Determine effectiveness. Determine the sampling effectiveness of 
the test sampler with the inlet removed by one of the following 
procedures:
    (i) With fluorometry as a detector:
    (A) Prepare the divided flow apparatus for particle collection. 
Install a total filter into the bypass leg of the divided flow 
apparatus. Install the particle size fractionator with a total filter 
placed immediately downstream of it into the other leg.
    (B) Collect particles simultaneously through both legs at 16.7 L/min 
onto appropriate filters for a time period such that the relative error 
of the measured concentration is less than 5.0 percent.
    (C) Determine the quantity of material collected on each filter 
using a calibrated fluorometer. Calculate and record the mass 
concentration measured by the total filter and that measured after 
penetrating through the candidate fractionator as follows:
                               Equation 35
[GRAPHIC] [TIFF OMITTED] TR18JY97.128

                               Equation 36
[GRAPHIC] [TIFF OMITTED] TR18JY97.129

where:

i = replicate number.

    (ii) With a number counting device as a detector:
    (A) Install the particle size fractionator into one of the legs of 
the divided flow apparatus.
    (B) Quantify and record the aerosol number concentration of the 
primary particles passing through the fractionator as 
Ccand(i).
    (C) Divert the flow from the leg containing the candidate 
fractionator to the bypass leg. Allow sufficient time for the aerosol 
concentration to stabilize.
    (D) Quantify and record the aerosol number concentration of the 
primary particles passing through the bypass leg as 
Ctotal(i).
    (iii) Calculate and record sampling effectiveness of the candidate 
sampler as:
                               Equation 37
[GRAPHIC] [TIFF OMITTED] TR18JY97.130

where:

i = replicate number.

    (6) Repeat step in paragraph (g)(5) of this section, as appropriate, 
to obtain a minimum of three replicate measurements of sampling 
effectiveness.
    (7) Calculate the mean and coefficient of variation for replicate 
measurements of effectiveness. (i) Calculate and record the mean 
sampling effectiveness of the candidate sampler as:
                               Equation 38
[GRAPHIC] [TIFF OMITTED] TR18JY97.131

where:

i = replicate number.

    (ii)(A) Calculate and record the coefficient of variation for the 
replicate sampling effectiveness measurements of the candidate sampler 
as:
                               Equation 39
[GRAPHIC] [TIFF OMITTED] TR18JY97.132

where:

i = replicate number; and
n = number of replicates.

    (B) If the coefficient of variation is not less than 10 percent, 
then the test run must be repeated (steps in paragraphs (g)(1) through 
(g)(7) of this section).
    (8) Repeat steps in paragraphs (g)(1) through (g)(7) of this section 
for each particle size specified in table F-2 of this subpart.

[[Page 96]]

    (h) Calculations--(1) Treatment of multiplets. For all measurements 
made by fluorometric analysis, data shall be corrected for the presence 
of multiplets as described in Sec. 53.62(f)(1). Data collected using a 
real-time device (as described in paragraph (c)(3)(ii)) of this section 
will not require multiplet correction.
    (2) Cutpoint determination. For each wind speed determine the 
sampler Dp50 cutpoint defined as the aerodynamic particle 
size corresponding to 50 percent effectiveness from the multiplet 
corrected smooth curve.
    (3) Graphical analysis and numerical integration with ambient 
distributions. Follow the steps outlined in Sec. 53.62 (e)(3) through 
(e)(4) to calculate the estimated concentration measurement ratio 
between the candidate sampler and a reference method sampler.
    (i) Test evaluation. The candidate method passes the static 
fractionator test if the values of Rc and Dp50 for each 
distribution meets the specifications in table F-1 of this subpart.

[62 FR 38814, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 53.65   Test procedure: Loading test.

    (a) Overview. (1) The loading tests are designed to quantify any 
appreciable changes in a candidate method sampler's performance as a 
function of coarse aerosol collection. The candidate sampler is exposed 
to a mass of coarse aerosol equivalent to sampling a mass concentration 
of 150 [mu]g/m3 over the time period that the manufacturer 
has specified between periodic cleaning. After loading, the candidate 
sampler is then evaluated by performing the test in Sec. 53.62 (full 
wind tunnel test), Sec. 53.63 (wind tunnel inlet aspiration test), or 
Sec. 53.64 (static fractionator test). If the acceptance criteria are 
met for this evaluation test, then the candidate sampler is approved for 
multi-day sampling with the periodic maintenance schedule as specified 
by the candidate method. For example, if the candidate sampler passes 
the reevaluation tests following loading with an aerosol mass equivalent 
to sampling a 150 [mu]g/m3 aerosol continuously for 7 days, 
then the sampler is approved for 7 day field operation before cleaning 
is required.
    (2) [Reserved]
    (b) Technical definition. Effectiveness after loading is the ratio 
(expressed as a percentage) of the mass concentration of particles of a 
given size reaching the sampler filter to the mass concentration of 
particles of the same size approaching the sampler.
    (c) Facilities and equipment required--(1) Particle delivery system. 
The particle delivery system shall consist of a static chamber or a low 
velocity wind tunnel having a sufficiently large cross-sectional area 
such that the test sampler, or portion thereof, may be installed in the 
test section. At a minimum, the system must have a sufficiently large 
cross section to house the candidate sampler inlet as well as a 
collocated isokinetic nozzle for measuring total aerosol concentration. 
The mean velocity in the test section of the static chamber or wind 
tunnel shall not exceed 2 km/hr.
    (2) Aerosol generation equipment. For purposes of these tests, the 
test aerosol shall be produced from commercially available, bulk Arizona 
road dust. To provide direct interlaboratory comparability of sampler 
loading characteristics, the bulk dust is specified as 0-10 [mu]m ATD 
available from Powder Technology Incorporated (Burnsville, MN). A 
fluidized bed aerosol generator, Wright dust feeder, or sonic nozzle 
shall be used to efficiently deagglomerate the bulk test dust and 
transform it into an aerosol cloud. Other dust generators may be used 
contingent upon prior approval by the Agency.
    (3) Isokinetic sampler. Mean aerosol concentration within the static 
chamber or wind tunnel shall be established using a single isokinetic 
sampler containing a preweighed high-efficiency total filter.
    (4) Analytic balance. An analytical balance shall be used to 
determine the weight of the total filter in the isokinetic sampler. The 
precision and accuracy of this device shall be such that the relative 
measurement error is less than 5.0 percent for the difference between 
the initial and final weight of the total filter. The identical analytic 
balance shall be used to perform both initial and final weighing of the 
total filter.

[[Page 97]]

    (d) Test procedure. (1) Calculate and record the target time 
weighted concentration of Arizona road dust which is equivalent to 
exposing the sampler to an environment of 150 [mu]g/m3 over 
the time between cleaning specified by the candidate sampler's 
operations manual as:
                               Equation 40
[GRAPHIC] [TIFF OMITTED] TR18JY97.133

where:

t = the number of hours specified by the candidate method prior to 
periodic cleaning.

    (2) Clean the candidate sampler. (i) Clean and dry the internal 
surfaces of the candidate sampler.
    (ii) Prepare the internal surfaces in strict accordance with the 
operating manual referred to in section 7.4.18 of 40 CFR part 50, 
appendix L.
    (3) Determine the preweight of the filter that shall be used in the 
isokinetic sampler. Record this value as InitWt.
    (4) Install the candidate sampler's inlet and the isokinetic sampler 
within the test chamber or wind tunnel.
    (5) Generate a dust cloud. (i) Generate a dust cloud composed of 
Arizona test dust.
    (ii) Introduce the dust cloud into the chamber.
    (iii) Allow sufficient time for the particle concentration to become 
steady within the chamber.
    (6) Sample aerosol with a total filter and the candidate sampler. 
(i) Sample the aerosol for a time sufficient to produce an equivalent 
TWC equal to that of the target TWC 15 percent.
    (ii) Record the sampling time as t.
    (7) Determine the time weighted concentration. (i) Determine the 
postweight of the isokinetic sampler's total filter.
    (ii) Record this value as FinalWt.
    (iii) Calculate and record the TWC as:
                               Equation 41
[GRAPHIC] [TIFF OMITTED] TR18JY97.134

where:

Q = the flow rate of the candidate method.

    (iv) If the value of TWC deviates from the target TWC 15 percent, then the loaded mass is unacceptable and the 
entire test procedure must be repeated.
    (8) Determine the candidate sampler's effectiveness after loading. 
The candidate sampler's effectiveness as a function of particle 
aerodynamic diameter must then be evaluated by performing the test in 
Sec. 53.62 (full wind tunnel test). A sampler which fits the category 
of inlet deviation in Sec. 53.60(e)(1) may opt to perform the test in 
Sec. 53.63 (inlet aspiration test) in lieu of the full wind tunnel 
test. A sampler which fits the category of fractionator deviation in 
Sec. 53.60(e)(2) may opt to perform the test in Sec. 53.64 (static 
fractionator test) in lieu of the full wind tunnel test.
    (e) Test results. If the candidate sampler meets the acceptance 
criteria for the evaluation test performed in paragraph (d)(8) of this 
section, then the candidate sampler passes this test with the 
stipulation that the sampling train be cleaned as directed by and as 
frequently as that specified by the candidate sampler's operations 
manual.



Sec. 53.66   Test procedure: Volatility test.

    (a) Overview. This test is designed to ensure that the candidate 
method's losses due to volatility when sampling semi-volatile ambient 
aerosol will be comparable to that of a federal reference method 
sampler. This is accomplished by challenging the candidate sampler with 
a polydisperse, semi-volatile liquid aerosol in three distinct phases. 
During phase A of this test, the aerosol is elevated to a steady-state, 
test-specified mass concentration and the sample filters are conditioned 
and preweighed. In phase B, the challenge aerosol is simultaneously 
sampled by the candidate method sampler and a reference method sampler 
onto the preweighed filters for a specified time period. In phase C (the 
blow-off phase), aerosol and aerosol-vapor free air is sampled by the 
samplers for an additional time period to partially volatilize the 
aerosol on the filters. The candidate sampler passes the volatility test 
if the acceptance criteria presented in table F-1 of this subpart are 
met or exceeded.

[[Page 98]]

    (b) Technical definitions. (1) Residual mass (RM) is defined as the 
weight of the filter after the blow-off phase subtracted from the 
initial weight of the filter.
    (2) Corrected residual mass (CRM) is defined as the residual mass of 
the filter from the candidate sampler multiplied by the ratio of the 
reference method flow rate to the candidate method flow rate.
    (c) Facilities and equipment required--(1) Environmental chamber. 
Because the nature of a volatile aerosol is greatly dependent upon 
environmental conditions, all phases of this test shall be conducted at 
a temperature of 22.0 0.5 [deg]C and a relative 
humidity of 40 3 percent. For this reason, it is 
strongly advised that all weighing and experimental apparatus be housed 
in an environmental chamber capable of this level of control.
    (2) Aerosol generator. The aerosol generator shall be a pressure 
nebulizer operated at 20 to 30 psig (140 to 207 kPa) to produce a 
polydisperse, semi-voltile aerosol with a mass median diameter larger 
than 1 [mu]m and smaller than 2.5 [mu]m. The nebulized liquid shall be 
A.C.S. reagent grade glycerol (C3H8O, FW = 92.09, 
CAS 56-81-5) of 99.5 percent minimum purity. For the purpose of this 
test the accepted mass median diameter is predicated on the stable 
aerosol inside the internal chamber and not on the aerosol emerging from 
the nebulizer nozzle. Aerosol monitoring and its stability are described 
in (c)(3) and (c)(4) of this section.
    (3) Aerosol monitoring equipment. The evaporation and condensation 
dynamics of a volatile aerosol is greatly dependent upon the vapor 
pressure of the volatile component in the carrier gas. The size of an 
aerosol becomes fixed only when an equilibrium is established between 
the aerosol and the surrounding vapor; therefore, aerosol size 
measurement shall be used as a surrogate measure of this equilibrium. A 
suitable instrument with a range of 0.3 to 10 [mu]m, an accuracy of 0.5 
[mu]m, and a resolution of 0.2 [mu]m (e.g., an optical particle sizer, 
or a time-of-flight instrument) shall be used for this purpose. The 
parameter monitored for stability shall be the mass median instrument 
measured diameter (i.e. optical diameter if an optical particle counter 
is used). A stable aerosol shall be defined as an aerosol with a mass 
median diameter that has changed less than 0.25 [mu]m over a 4 hour time 
period.
    (4) Internal chamber. The time required to achieve a stable aerosol 
depends upon the time during which the aerosol is resident with the 
surrounding air. This is a function of the internal volume of the 
aerosol transport system and may be facilitated by recirculating the 
challenge aerosol. A chamber with a volume of 0.5 m3 and a 
recirculating loop (airflow of approximately 500 cfm) is recommended for 
this purpose. In addition, a baffle is recommended to dissipate the jet 
of air that the recirculating loop can create. Furthermore, a HEPA 
filtered hole in the wall of the chamber is suggested to allow makeup 
air to enter the chamber or excess air to exit the chamber to maintain a 
system flow balance. The concentration inside the chamber shall be 
maintained at 1 mg/m3 20 percent to 
obtain consistent and significant filter loading.
    (5) Aerosol sampling manifold. A manifold shall be used to extract 
the aerosol from the area in which it is equilibrated and transport it 
to the candidate method sampler, the reference method sampler, and the 
aerosol monitor. The losses in each leg of the manifold shall be 
equivalent such that the three devices will be exposed to an identical 
aerosol.
    (6) Chamber air temperature recorders. Minimum range 15-25 [deg]C, 
certified accuracy to within 0.2 [deg]C, resolution of 0.1 [deg]C. 
Measurement shall be made at the intake to the sampling manifold and 
adjacent to the weighing location.
    (7) Chamber air relative humidity recorders. Minimum range 30 - 50 
percent, certified accuracy to within 1 percent, resolution of 0.5 
percent. Measurement shall be made at the intake to the sampling 
manifold and adjacent to the weighing location.
    (8) Clean air generation system. A source of aerosol and aerosol-
vapor free air is required for phase C of this test. This clean air 
shall be produced by filtering air through an absolute (HEPA) filter.

[[Page 99]]

    (9) Balance. Minimum range 0 - 200 mg, certified accuracy to within 
10 [mu]g, resolution of 1 [mu]g.
    (d) Additional filter handling conditions. (1) Filter handling. 
Careful handling of the filter during sampling, conditioning, and 
weighing is necessary to avoid errors due to damaged filters or loss of 
collected particles from the filters. All filters must be weighed 
immediately after phase A dynamic conditioning and phase C.
    (2) Dynamic conditioning of filters. Total dynamic conditioning is 
required prior to the initial weight determined in phase A. Dynamic 
conditioning refers to pulling clean air from the clean air generation 
system through the filters. Total dynamic conditioning can be 
established by sequential filter weighing every 30 minutes following 
repetitive dynamic conditioning. The filters are considered sufficiently 
conditioned if the sequential weights are repeatable to 3 [mu]g.
    (3) Static charge. The following procedure is suggested for 
minimizing charge effects. Place six or more Polonium static control 
devices (PSCD) inside the microbalance weighing chamber, (MWC). Two of 
them must be placed horizontally on the floor of the MWC and the 
remainder placed vertically on the back wall of the MWC. Taping two 
PSCD's together or using double-sided tape will help to keep them from 
falling. Place the filter that is to be weighed on the horizontal PSCDs 
facing aerosol coated surface up. Close the MWC and wait 1 minute. Open 
the MWC and place the filter on the balance dish. Wait 1 minute. If the 
charges have been neutralized the weight will stabilize within 30-60 
seconds. Repeat the procedure of neutralizing charges and weighing as 
prescribed above several times (typically 2-4 times) until consecutive 
weights will differ by no more than 3 micrograms. Record the last 
measured weight and use this value for all subsequent calculations.
    (e) Test procedure--(1) Phase A - Preliminary steps. (i) Generate a 
polydisperse glycerol test aerosol.
    (ii) Introduce the aerosol into the transport system.
    (iii) Monitor the aerosol size and concentration until stability and 
level have been achieved.
    (iv) Condition the candidate method sampler and reference method 
sampler filters until total dynamic conditioning is achieved as 
specified in paragraph (d)(2) of this section.
    (v) Record the dynamically conditioned weight as InitWtc 
and InitWtr where c is the candidate method sampler and r is 
the reference method sampler.
    (2) Phase B - Aerosol loading. (i) Install the dynamically 
conditioned filters into the appropriate samplers.
    (ii) Attach the samplers to the manifold.
    (iii) Operate the candidate and the reference samplers such that 
they simultaneously sample the test aerosol for 30 minutes.
    (3) Phase C - Blow-off. (i) Alter the intake of the samplers to 
sample air from the clean air generation system.
    (ii) Sample clean air for one of the required blow-off time 
durations (1, 2, 3, and 4 hours).
    (iii) Remove the filters from the samplers.
    (iv) Weigh the filters immediately and record this weight, 
FinalWtc and FinalWtr, where c is the candidate 
method sampler and r is the reference method sampler.
    (v) Calculate the residual mass for the reference method sampler:
                              Equation 41a
[GRAPHIC] [TIFF OMITTED] TR18JY97.135

where:

i = repetition number; and
j = blow-off time period.

    (vi) Calculate the corrected residual mass for the candidate method 
sampler as:
                              Equation 41b
[GRAPHIC] [TIFF OMITTED] TR18JY97.136

where:

i = repetition number;
j = blow-off time period;

[[Page 100]]

Qc = candidate method sampler flow rate, and
Qr = reference method sampler flow rate.

    (4) Repeat steps in paragraph (e)(1) through (e)(3) of this section 
until three repetitions have been completed for each of the required 
blow-off time durations (1, 2, 3, and 4 hours).
    (f) Calculations and analysis. (1) Perform a linear regression with 
the candidate method CRM as the dependent variable and the reference 
method RM as the independent variable.
    (2) Determine the following regression parameters: slope, intercept, 
and correlation coefficient (r).
    (g) Test results. The candidate method passes the volatility test if 
the regression parameters meet the acceptance criteria specified in 
table F-1 of this subpart.

   Table F-1 to Subpart F of Part 53--Performance Specifications for 
              PM2.5 Class II Equivalent Samplers

------------------------------------------------------------------------
                                                          Acceptance
        Performance Test            Specifications         Criteria
------------------------------------------------------------------------
Sec. 53.62 Full Wind Tunnel    Solid VOAG produced  Dp50 = 2.5 [mu]m
 Evaluation.                      aerosol at 2 km/hr   0.2
                                  and 24 km/hr.        [mu]m; Numerical
                                                       Analysis Results:
                                                       95% <=Rc<=105%
Sec. 53.63 Wind Tunnel Inlet   Liquid VOAG          Relative
 Aspiration Test.                 produced aerosol     Aspiration: 95%
                                  at 2 km/hr and 24    <=A<=105%
                                  km/hr.
Sec. 53.64 Static              Evaluation of the    Dp50 = 2.5 [mu]m
 Fractionator Test.               fractionator under   0.2
                                  static conditions.   [mu]m; Numerical
                                                       Analysis Results:
                                                       95% <=Rc<=105%
Sec. 53.65 Loading Test......  Loading of the       Acceptance
                                  clean candidate      criteria as
                                  under laboratory     specified in the
                                  conditions.          post-loading
                                                       evaluation test
                                                       (Sec. 53.62,
                                                       Sec. 53.63, or
                                                       Sec. 53.64)
Sec. 53.66 Volatility Test...  Polydisperse liquid  Regression
                                  aerosol produced     Parameters Slope
                                  by air               = 1 0
                                  A.C.S. reagent       .1, Intercept = 0
                                  grade glycerol,      0.15 r = 0.97
------------------------------------------------------------------------

 Table F-2 to Subpart F of Part 53--Particle Sizes and Wind Speeds for 
  Full Wind Tunnel Test, Wind Tunnel Inlet Aspiration Test, and Static 
                              Chamber Test

----------------------------------------------------------------------------------------------------------------
                                         Full Wind Tunnel Test   Inlet Aspiration Test     Static
 Primary Partical Mean Size a ([mu]m)  ------------------------------------------------ Fractionator  Volatility
                                          2 km/hr    24 km/hr     2 km/hr    24 km/hr       Test         Test
----------------------------------------------------------------------------------------------------------------
1.50.25.........          S           S   ..........  ..........           S    ..........
2.00.25.........          S           S   ..........  ..........           S    ..........
2.20.25.........          S           S   ..........  ..........           S    ..........
2.50.25.........          S           S   ..........  ..........           S    ..........
2.80.25.........          S           S   ..........  ..........           S    ..........
3.00.25.........  ..........  ..........          L           L   ............  ..........
3.50.25.........          S           S   ..........  ..........           S    ..........
4.00.5..........          S           S   ..........  ..........           S    ..........
Polydisperse Glycerol Aerosol.........  ..........  ..........  ..........  ..........  ............          L
----------------------------------------------------------------------------------------------------------------
a Aerodynamic diameter.
S=Solid particles.
L=Liquid particles.

  Table F-3 to Subpart F of Part 53--Critical Parameters of Idealized 
                   Ambient Particle Size Distributions

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                         Fine Particle Mode              Coarse Particle Mode                     FRM
                                                                 ------------------------------------------------------------------             Sampler
                                                                                                                                      PM2.5/    Expected
                     Idealized Distribution                                               Conc.                            Conc.       PM10       Mass
                                                                     MMD     Geo. Std.   ([mu]g/      MMD     Geo. Std.   ([mu]g/     Ratio      Conc.
                                                                   ([mu]m)      Dev.       m3)      ([mu]m)      Dev.       m3)                 ([mu]g/
                                                                                                                                                  m3)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coarse..........................................................       0.50          2       12.0         10          2       88.0       0.27     13.814
``Typical''.....................................................       0.50          2       33.3         10          2       66.7       0.55     34.284
Fine............................................................       0.85          2       85.0         15          2       15.0       0.94     78.539
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 101]]

    Table F-4 to Subpart F of Part 53--Estimated Mass Concentration 
   Measurement of PM2.5 for Idealized Coarse Aerosol Size 
                              Distribution

----------------------------------------------------------------------------------------------------------------
                                   Test Sampler                                    Ideal Sampler
    Particle    ------------------------------------------------------------------------------------------------
  Aerodynamic                                     Estimated Mass                                  Estimated Mass
    Diameter        Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    ([mu]m)          Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
                  Effectiveness     ([mu]g/m3)      ([mu]g/m3)     Effectiveness    ([mu]g/m3)      ([mu]g/m3)
----------------------------------------------------------------------------------------------------------------
      (1)              (2)              (3)             (4)             (5)             (6)             (7)
----------------
<0.500           1.000            6.001           ..............  1.000           6.001           6.001
0.625            ...............  2.129           ..............  0.999           2.129           2.127
0.750            ...............  0.982           ..............  0.998           0.982           0.980
0.875            ...............  0.730           ..............  0.997           0.730           0.728
1.000            ...............  0.551           ..............  0.995           0.551           0.548
1.125            ...............  0.428           ..............  0.991           0.428           0.424
1.250            ...............  0.346           ..............  0.987           0.346           0.342
1.375            ...............  0.294           ..............  0.980           0.294           0.288
1.500            ...............  0.264           ..............  0.969           0.264           0.256
1.675            ...............  0.251           ..............  0.954           0.251           0.239
1.750            ...............  0.250           ..............  0.932           0.250           0.233
1.875            ...............  0.258           ..............  0.899           0.258           0.232
2.000            ...............  0.272           ..............  0.854           0.272           0.232
2.125            ...............  0.292           ..............  0.791           0.292           0.231
2.250            ...............  0.314           ..............  0.707           0.314           0.222
2.375            ...............  0.339           ..............  0.602           0.339           0.204
2.500            ...............  0.366           ..............  0.480           0.366           0.176
2.625            ...............  0.394           ..............  0.351           0.394           0.138
2.750            ...............  0.422           ..............  0.230           0.422           0.097
2.875            ...............  0.449           ..............  0.133           0.449           0.060
3.000            ...............  0.477           ..............  0.067           0.477           0.032
3.125            ...............  0.504           ..............  0.030           0.504           0.015
3.250            ...............  0.530           ..............  0.012           0.530           0.006
3.375            ...............  0.555           ..............  0.004           0.555           0.002
3.500            ...............  0.579           ..............  0.001           0.579           0.001
3.625            ...............  0.602           ..............  0.000000        0.602           0.000000
3.750            ...............  0.624           ..............  0.000000        0.624           0.000000
3.875            ...............  0.644           ..............  0.000000        0.644           0.000000
4.000            ...............  0.663           ..............  0.000000        0.663           0.000000
4.125            ...............  0.681           ..............  0.000000        0.681           0.000000
4.250            ...............  0.697           ..............  0.000000        0.697           0.000000
4.375            ...............  0.712           ..............  0.000000        0.712           0.000000
4.500            ...............  0.726           ..............  0.000000        0.726           0.000000
4.625            ...............  0.738           ..............  0.000000        0.738           0.000000
4.750            ...............  0.750           ..............  0.000000        0.750           0.000000
4.875            ...............  0.760           ..............  0.000000        0.760           0.000000
5.000            ...............  0.769           ..............  0.000000        0.769           0.000000
5.125            ...............  0.777           ..............  0.000000        0.777           0.000000
5.250            ...............  0.783           ..............  0.000000        0.783           0.000000
5.375            ...............  0.789           ..............  0.000000        0.789           0.000000
5.500            ...............  0.794           ..............  0.000000        0.794           0.000000
5.625            ...............  0.798           ..............  0.000000        0.798           0.000000
5.75             ...............  0.801           ..............  0.000000        0.801           0.000000
                 ...............  Csam(exp)=      ..............  ..............  Cideal(exp)=    13.814
----------------------------------------------------------------------------------------------------------------

    Table F-5 to Subpart F of Part 53--Estimated Mass Concentration 
Measurement of PM2.5 for Idealized ``Typical'' Coarse Aerosol 
                            Size Distribution

----------------------------------------------------------------------------------------------------------------
                                   Test Sampler                                    Ideal Sampler
    Particle    ------------------------------------------------------------------------------------------------
  Aerodynamic                                     Estimated Mass                                  Estimated Mass
    Diameter        Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    ([mu]m)          Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
                  Effectiveness     ([mu]g/m3)      ([mu]g/m3)     Effectiveness    ([mu]g/m3)      ([mu]g/m3)
----------------------------------------------------------------------------------------------------------------
      (1)              (2)              (3)             (4)             (5)             (6)             (7)
----------------------------------------------------------------------------------------------------------------
<0.500           1.000            16.651          ..............  1.000           16.651          16.651
0.625            ...............  5.899           ..............  0.999           5.899           5.893
0.750            ...............  2.708           ..............  0.998           2.708           2.703
0.875            ...............  1.996           ..............  0.997           1.996           1.990
1.000            ...............  1.478           ..............  0.995           1.478           1.471
1.125            ...............  1.108           ..............  0.991           1.108           1.098

[[Page 102]]

 
1.250            ...............  0.846           ..............  0.987           0.846           0.835
1.375            ...............  0.661           ..............  0.980           0.661           0.648
1.500            ...............  0.532           ..............  0.969           0.532           0.516
1.675            ...............  0.444           ..............  0.954           0.444           0.424
1.750            ...............  0.384           ..............  0.932           0.384           0.358
1.875            ...............  0.347           ..............  0.899           0.347           0.312
2.000            ...............  0.325           ..............  0.854           0.325           0.277
2.125            ...............  0.314           ..............  0.791           0.314           0.248
2.250            ...............  0.312           ..............  0.707           0.312           0.221
2.375            ...............  0.316           ..............  0.602           0.316           0.190
2.500            ...............  0.325           ..............  0.480           0.325           0.156
2.625            ...............  0.336           ..............  0.351           0.336           0.118
2.750            ...............  0.350           ..............  0.230           0.350           0.081
2.875            ...............  0.366           ..............  0.133           0.366           0.049
3.000            ...............  0.382           ..............  0.067           0.382           0.026
3.125            ...............  0.399           ..............  0.030           0.399           0.012
3.250            ...............  0.416           ..............  0.012           0.416           0.005
3.375            ...............  0.432           ..............  0.004           0.432           0.002
3.500            ...............  0.449           ..............  0.001           0.449           0.000000
3.625            ...............  0.464           ..............  0.000000        0.464           0.000000
3.750            ...............  0.480           ..............  0.000000        0.480           0.000000
3.875            ...............  0.494           ..............  0.000000        0.494           0.000000
4.000            ...............  0.507           ..............  0.000000        0.507           0.000000
4.125            ...............  0.520           ..............  0.000000        0.520           0.000000
4.250            ...............  ..............  ..............  0.000000        0.532           0.000000
4.375            ...............  ..............  ..............  0.000000        0.543           0.000000
4.500            ...............  ..............  ..............  0.000000        0.553           0.000000
4.625            ...............  ..............  ..............  0.000000        0.562           0.000000
4.750            ...............  ..............  ..............  0.000000        0.570           0.000000
4.875            ...............  ..............  ..............  0.000000        0.577           0.000000
5.000            ...............  ..............  ..............  0.000000        0.584           0.000000
5.125            ...............  ..............  ..............  0.000000        0.590           0.000000
5.250            ...............  ..............  ..............  0.000000        0.595           0.000000
5.375            ...............  ..............  ..............  0.000000        0.599           0.000000
5.500            ...............  ..............  ..............  0.000000        0.603           0.000000
5.625            ...............  ..............  ..............  0.000000        0.605           0.000000
5.75             ...............  ..............  ..............  0.000000        0.608           0.000000
                 ...............  Csam(exp)=      ..............  ..............  Cideal(exp)=    34.284
----------------------------------------------------------------------------------------------------------------

    Table F-6 to Subpart F of Part 53--Estimated Mass Concentration 
    Measurement of PM2.5 for Idealized Fine Aerosol Size 
                              Distribution

----------------------------------------------------------------------------------------------------------------
                                   Test Sampler                                    Ideal Sampler
    Particle    ------------------------------------------------------------------------------------------------
  Aerodynamic                                     Estimated Mass                                  Estimated Mass
    Diameter        Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    ([mu]m)          Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
                  Effectiveness     ([mu]g/m3)      ([mu]g/m3)     Effectiveness    ([mu]g/m3)      ([mu]g/m3)
----------------------------------------------------------------------------------------------------------------
      (1)              (2)              (3)             (4)             (5)             (6)             (7)
----------------------------------------------------------------------------------------------------------------
<0.500           1.000            18.868          ..............  1.000           18.868          18.868
0.625            ...............  13.412          ..............  0.999           13.412          13.399
0.750            ...............  8.014           ..............  0.998           8.014           7.998
0.875            ...............  6.984           ..............  0.997           6.984           6.963
1.000            ...............  5.954           ..............  0.995           5.954           5.924
1.125            ...............  5.015           ..............  0.991           5.015           4.970
1.250            ...............  4.197           ..............  0.987           4.197           4.142
1.375            ...............  3.503           ..............  0.980           3.503           3.433
1.500            ...............  2.921           ..............  0.969           2.921           2.830
1.675            ...............  2.438           ..............  0.954           2.438           2.326
1.750            ...............  2.039           ..............  0.932           2.039           1.900
1.875            ...............  1.709           ..............  0.899           1.709           1.536
2.000            ...............  1.437           ..............  0.854           1.437           1.227
2.125            ...............  1.212           ..............  0.791           1.212           0.959
2.250            ...............  1.026           ..............  0.707           1.026           0.725
2.375            ...............  0.873           ..............  0.602           0.873           0.526
2.500            ...............  0.745           ..............  0.480           0.745           0.358

[[Page 103]]

 
2.625            ...............  0.638           ..............  0.351           0.638           0.224
2.750            ...............  0.550           ..............  0.230           0.550           0.127
2.875            ...............  0.476           ..............  0.133           0.476           0.063
3.000            ...............  0.414           ..............  0.067           0.414           0.028
3.125            ...............  0.362           ..............  0.030           0.362           0.011
3.250            ...............  0.319           ..............  0.012           0.319           0.004
3.375            ...............  0.282           ..............  0.004           0.282           0.001
3.500            ...............  0.252           ..............  0.001           0.252           0.000000
3.625            ...............  0.226           ..............  0.000000        0.226           0.000000
3.750            ...............  0.204           ..............  0.000000        0.204           0.000000
3.875            ...............  0.185           ..............  0.000000        0.185           0.000000
4.000            ...............  0.170           ..............  0.000000        0.170           0.000000
4.125            ...............  0.157           ..............  0.000000        0.157           0.000000
4.250            ...............  0.146           ..............  0.000000        0.146           0.000000
4.375            ...............  0.136           ..............  0.000000        0.136           0.000000
4.500            ...............  0.129           ..............  0.000000        0.129           0.000000
4.625            ...............  0.122           ..............  0.000000        0.122           0.000000
4.750            ...............  0.117           ..............  0.000000        0.117           0.000000
4.875            ...............  0.112           ..............  0.000000        0.112           0.000000
5.000            ...............  0.108           ..............  0.000000        0.108           0.000000
5.125            ...............  0.105           ..............  0.000000        0.105           0.000000
5.250            ...............  0.102           ..............  0.000000        0.102           0.000000
5.375            ...............  0.100           ..............  0.000000        0.100           0.000000
5.500            ...............  0.098           ..............  0.000000        0.098           0.000000
5.625            ...............  0.097           ..............  0.000000        0.097           0.000000
5.75             ...............  0.096           ..............  0.000000        0.096           0.000000
                 ...............  Csam(exp)=      ..............  ..............  Cideal(exp)=    78.539
----------------------------------------------------------------------------------------------------------------

    Figure E-1 to Subpart F of Part 53--Designation Testing Checklist

               DESIGNATION TESTING CHECKLIST FOR CLASS II

     -------------------- -------------------- --------------------
     Auditee Auditor signature Date

------------------------------------------------------------------------
   Compliance Status: Y = Yes N = No NA = Not
            applicable/Not available
------------------------------------------------
     Verification          Verified by Direct     Verification Comments
-----------------------  Observation of Process  (Includes documentation
                            or of Documented       of who, what, where,
                         Evidence: Performance,  when, why) (Doc. , Rev. ,
   Y       N      NA     Spec. Corresponding to         Rev. Date)
                        Sections of 40 CFR Part
                          53, Subparts E and F
------------------------------------------------------------------------
        ......  ......  Subpart E: Performance   .......................
                         Specification Tests
-------
        ......  ......   Evaluation completed    .......................
                         according to Subpart E
                         Sec. 53.50 to Sec.
                         53.56
-------
        ......  ......  Subpart E: Class I       .......................
                         Sequential Tests
-------
        ......  ......  Class II samplers that   .......................
                         are also Class I
                         (sequentialized) have
                         passed the tests in
                         Sec. 53.57
-------
        ......  ......  Subpart F: Performance   .......................
                         Spec/Test
-------
        ......  ......  Evaluation of Physical
                         Characteristics of
                         Clean Sampler - One of
                         these tests must be
                         performed:
                        Sec. 53.62 - Full
                         Wind Tunnel
                        Sec. 53.63 - Inlet
                         Aspiration
                        Sec. 53.64 - Static
                         Fractionator
-------

[[Page 104]]

 
        ......  ......  Evaluation of Physical
                         Characteristics of
                         Loaded Sampler
                        Sec. 53.65 Loading
                         Test
                        One of the following
                         tests must be
                         performed for
                         evaluation after
                         loading: Sec. 53.62,
                         Sec. 53.63, Sec.
                         53.64
-------
 
        ......  ......   Evaluation of the       .......................
                         Volatile
                         Characteristics of the
                         Class II Sampler Sec.
                          53.66
------------------------------------------------------------------------

             Appendix A to Subpart F of Part 53--References

    (1) Marple, V.A., K.L. Rubow, W. Turner, and J.D. Spangler, Low Flow 
Rate Sharp Cut Impactors for Indoor Air Sampling: Design and 
Calibration., JAPCA, 37: 1303-1307 (1987).
    (2) Vanderpool, R.W. and K.L. Rubow, Generation of Large, Solid 
Calibration Aerosols, J. of Aer. Sci. and Tech., 9:65-69 (1988).
    (3) Society of Automotive Engineers Aerospace Material Specification 
(SAE AMS) 2404C, Electroless Nickel Planting, SAE, 400 Commonwealth 
Drive, Warrendale PA-15096, Revised 7-1-84, pp. 1-6.



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




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

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

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



Sec. 54.1  Purpose.

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



Sec. 54.2  Service of notice.

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

[[Page 105]]

be sent by certified mail to the registered agent, if any, of such 
corporation in the State in which such violation is alleged to have 
occurred.
    (d) Notice served in accordance with the provisions of this part 
shall be deemed given on the postmark date, if served by mail, or on the 
date of receipt, if personally served.



Sec. 54.3  Contents of notice.

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



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




Sec.
55.1 Statutory authority and scope.
55.2 Definitions.
55.3 Applicability.
55.4 Requirements to submit a notice of intent.
55.5 Corresponding onshore area designation.
55.6 Permit requirements.
55.7 Exemptions.
55.8 Monitoring, reporting, inspections, and compliance.
55.9 Enforcement.
55.10 Fees.
55.11 Delegation.
55.12 Consistency updates.
55.13 Federal requirements that apply to OCS sources.
55.14 Requirements that apply to OCS sources located within 25 miles of 
          States' seaward boundaries, by State.
55.15 Specific designation of corresponding onshore areas.

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

    Authority: Section 328 of the Clean Air Act (42 U.S.C. 7401, et 
seq.) as amended by Public Law 101-549.

    Source: 57 FR 40806, Sept. 4, 1992, unless otherwise noted.



Sec. 55.1  Statutory authority and scope.

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



Sec. 55.2  Definitions.

    Administrator means the Administrator of the U.S. Environmental 
Protection Agency.
    Corresponding Onshore Area (COA) means, with respect to any existing 
or proposed OCS source located within 25 miles of a State's seaward 
boundary, the onshore area that is geographically closest to the source 
or another onshore area that the Administrator designates as the COA, 
pursuant to Sec. 55.5 of this part.
    Delegated agency means any agency that has been delegated authority 
to implement and enforce requirements of

[[Page 106]]

this part by the Administrator, pursuant to Sec. 55.11 of this part. It 
can refer to a State agency, a local agency, or an Indian tribe, 
depending on the delegation status of the program.
    Existing source or existing OCS source shall have the meaning given 
in the applicable requirements incorporated into Sec. Sec. 55.13 and 
55.14 of this part, except that for two years following the date of 
promulgation of this part the definition given in Sec. 55.3 of this 
part shall apply for the purpose of determining the required date of 
compliance with this part.
    Exploratory source or exploratory OCS source means any OCS source 
that is a temporary operation conducted for the sole purpose of 
gathering information. This includes an operation conducted during the 
exploratory phase to determine the characteristics of the reservoir and 
formation and may involve the extraction of oil and gas.
    Modification shall have the meaning given in the applicable 
requirements incorporated into Sec. Sec. 55.13 and 55.14 of this part, 
except that for two years following the date of promulgation of this 
part the definition given in section 111(a) of the Act shall apply for 
the purpose of determining the required date of compliance with this 
part, as set forth in Sec. 55.3 of this part.
    Nearest Onshore Area (NOA) means, with respect to any existing or 
proposed OCS source, the onshore area that is geographically closest to 
that source.
    New source or new OCS source shall have the meaning given in the 
applicable requirements of Sec. Sec. 55.13 and 55.14 of this part, 
except that for two years following the date of promulgation of this 
part, the definition given in Sec. 55.3 of this part shall apply for 
the purpose of determining the required date of compliance with this 
part.
    OCS source means any equipment, activity, or facility which:
    (1) Emits or has the potential to emit any air pollutant;
    (2) Is regulated or authorized under the Outer Continental Shelf 
Lands Act (``OCSLA'') (43 U.S.C. Sec. 1331 et seq.); and
    (3) Is located on the OCS or in or on waters above the OCS.
    This definition shall include vessels only when they are:
    (1) Permanently or temporarily attached to the seabed and erected 
thereon and used for the purpose of exploring, developing or producing 
resources therefrom, within the meaning of section 4(a)(1) of OCSLA (43 
U.S.C. Sec. 1331 et seq.); or
    (2) Physically attached to an OCS facility, in which case only the 
stationary sources aspects of the vessels will be regulated.
    Onshore area means a coastal area designated as an attainment, 
nonattainment, or unclassifiable area by EPA in accordance with section 
107 of the Act. If the boundaries of an area designated pursuant to 
section 107 of the Act do not coincide with the boundaries of a single 
onshore air pollution control agency, then onshore area shall mean a 
coastal area defined by the jurisdictional boundaries of an air 
pollution control agency.
    Outer continental shelf shall have the meaning provided by section 2 
of the OCSLA (43 U.S.C. Sec. 1331 et seq.).
    Potential emissions means the maximum emissions of a pollutant from 
an OCS source operating at its design capacity. Any physical or 
operational limitation on the capacity of a source to emit a pollutant, 
including air pollution control equipment and restrictions on hours of 
operation or on the type or amount of material combusted, stored, or 
processed, shall be treated as a limit on the design capacity of the 
source if the limitation is federally enforceable. Pursuant to section 
328 of the Act, emissions from vessels servicing or associated with an 
OCS source shall be considered direct emissions from such a source while 
at the source, and while enroute to or from the source when within 25 
miles of the source, and shall be included in the ``potential to emit'' 
for an OCS source. This definition does not alter or affect the use of 
this term for any other purposes under Sec. Sec. 55.13 or 55.14 of this 
part, except that vessel emissions must be included in the ``potential 
to emit'' as used in Sec. Sec. 55.13 and 55.14 of this part.
    Residual emissions means the difference in emissions from an OCS 
source if it applies the control requirements(s) imposed pursuant to 
Sec. 55.13 or Sec. 55,14 of this part and emissions from that source 
if it applies a substitute

[[Page 107]]

control requirement pursuant to an exemption granted under Sec. 55.7 of 
this part.
    State means the State air pollution control agency that would be the 
permitting authority, a local air pollution permitting agency, or 
certain Indian tribes which can be the permitting authority for areas 
within their jurisdiction. State may also be used in the geographic 
sense to refer to a State, the NOA, or the COA.

[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46408, Sept. 2, 1997]



Sec. 55.3  Applicability.

    (a) This part applies to all OCS sources except those located in the 
Gulf of Mexico west of 87.5 degrees longitude.
    (b) OCS sources located within 25 miles of States' seaward 
boundaries shall be subject to all the requirements of this part, which 
include, but are not limited to, the Federal requirements as set forth 
in Sec. 55.13 of this part and the Federal, State, and local 
requirements of the COA (designated pursuant to Sec. 55.5 of this 
part), as set forth in Sec. 55.14 of this part.
    (c) The OCS sources located beyond 25 miles of States' seaward 
boundaries shall be subject to all the requirements of this part, except 
the requirements of Sec. Sec. 55.4, 55.5, 55.12 and 55.14 of this part.
    (d) New OCS sources shall comply with the requirements of this part 
by September 4, 1992 where a ``new OCS source'' means an OCS source that 
is a new source within the meaning of section 111(a) of the Act.
    (e) Existing sources shall comply with the requirements of this part 
by September 4, 1994, where an ``existing OCS source'' means any source 
that is not a new source within the meaning of section 111(a) of the 
Act.

[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46408, Sept. 2, 1997]



Sec. 55.4  Requirements to submit a notice of intent.

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

[[Page 108]]

contents of the required permit application or applicable requirements 
given in this part.



Sec. 55.5  Corresponding onshore area designation.

    (a) Proposed exploratory sources. The NOA shall be the COA for 
exploratory sources located within 25 miles of States' seaward 
boundaries. Paragraphs (b), (c), and (f) of this section are not 
applicable to these sources.
    (b) Requests for designation. (1) The chief executive officer of the 
air pollution control agency of an area that believes it has more 
stringent air pollution control requirements than the NOA for a proposed 
OCS source, may submit a request to be designated as the COA to the 
Administrator and at the same time shall send copies of the request to 
the chief executive officer of the NOA and to the proposed source. The 
request must be received by the Administrator within 60 days of the 
receipt of the NOI. If no requests are received by the Administrator 
within 60 days of the receipt of the NOI, the NOA will become the 
designated COA without further action.
    (2) No later than 90 days after the receipt of the NOI, a 
demonstration must be received by the Administrator showing that:
    (i) The area has more stringent requirements with respect to the 
control and abatement of air pollution than the NOA;
    (ii) The emissions from the source are or would be transported to 
the requesting area; and
    (iii) The transported emissions would affect the requesting area's 
efforts to attain or maintain a Federal or State ambient air quality 
standard or to comply with the requirements of part C of title I of the 
Act, taking into account the effect of air pollution control 
requirements that would be imposed if the NOA were designated as the 
COA.
    (c) Determination by the Administrator. (1) If no demonstrations are 
received by the Administrator within 90 days of the receipt of the NOI, 
the NOA will become the designated COA without further action.
    (2) If one or more demonstrations are received, the Administrator 
will issue a preliminary designation of the COA within 150 days of the 
receipt of the NOI, which shall be followed by a 30 day public comment 
period, in accordance with paragraph (f) of this section.
    (3) The Administrator will designate the COA for a specific source 
within 240 days of the receipt of the NOI.
    (4) When the Administrator designates a more stringent area as the 
COA with respect to a specific OCS source, the delegated agency in the 
COA will exercise all delegated authority. If there is no delegated 
agency in the COA, then EPA will issue the permit and implement and 
enforce the requirements of this part. The Administrator may retain 
authority for implementing and enforcing the requirements of this part 
if the NOA and the COA are in different States.
    (5) The Administrator shall designate the COA for each source only 
once in the source's lifetime.
    (d) Offset requirements. Offsets shall be obtained based on the 
applicable requirements of the COA, as set forth in Sec. Sec. 55.13 and 
55.14 of this part.
    (e) Authority to designate the COA. The authority to designate the 
COA for any OCS source shall not be delegated to a State or local 
agency, but shall be retained by the Administrator.
    (f) Administrative procedures and public participation. The 
Administrator will use the following public notice and comment 
procedures for processing a request for COA designation under this 
section:
    (1) Within 150 days from receipt of an NOI, if one or more 
demonstrations are received, the Administrator shall make a preliminary 
determination of the COA and shall:
    (i) Make available, in at least one location in the NOA and in the 
area requesting COA designation, a copy of all materials submitted by 
the requester, a copy of the Administrator's preliminary determination, 
and a copy or summary of other materials, if any, considered by the 
Administrator in making the preliminary determination; and
    (ii) Notify the public, by prominent advertisement in a newspaper of 
general circulation in the NOA and the area requesting COA designation, 
of a 30-day opportunity for written public comment on the available 
information

[[Page 109]]

and the Administrator's preliminary COA designation.
    (2) A copy of the notice required pursuant to paragraph (f)(1)(ii) 
of this section shall be sent to the requester, the affected source, 
each person from whom a written request of such notice has been 
received, and the following officials and agencies having jurisdiction 
over the COA and NOA: State and local air pollution control agencies, 
the chief executive of the city and county, the Federal Land Manager of 
potentially affected Class I areas, and any Indian governing body whose 
lands may be affected by emissions from the OCS source.
    (3) Public comments received in writing within 30 days after the 
date the public notice is made available will be considered by the 
Administrator in making the final decision on the request. All comments 
will be made available for public inspection.
    (4) The Administrator will make a final COA designation within 60 
days after the close of the public comment period. The Administrator 
will notify, in writing, the requester and each person who has requested 
notice of the final action and will set forth the reasons for the 
determination. Such notification will be made available for public 
inspection.

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



Sec. 55.6  Permit requirements.

    (a) General provisions--(1) Permit applications. (i) The owner or 
operator of an OCS source shall submit to the Administrator or delegated 
agency all information necessary to perform any analysis or make any 
determination required under this section.
    (ii) Any application submitted pursuant to this part by an OCS 
source shall include a description of all the requirements of this part 
and a description of how the source will comply with the applicable 
requirements. For identification purposes only, the application shall 
include a description of those requirements that have been proposed by 
EPA for incorporation into this part and that the applicant believes, 
after diligent research and inquiry, apply to the source.
    (2) Exemptions. (i) When an applicant submits any approval to 
construct or permit to operate application to the Administrator or 
delegated agency it shall include a request for exemption from 
compliance with any pollution control technology requirement that the 
applicant believes is technically infeasible or will cause an 
unreasonable threat to health and safety. The Administrator or delegated 
agency shall act on the request for exemption in accordance with the 
procedures established in Sec. 55.7 of this part.
    (ii) A final permit shall not be issued under this part until a 
final determination is made on any exemption request, including those 
appealed to the Administrator in accordance with Sec. 55.7 of this 
part.
    (3) Administrative procedures and public participation. The 
Administrator will follow the applicable procedures of 40 CFR part 124 
in processing applications under this part. Until 40 CFR part 124 has 
been modified to specifically reference permits issued under this part, 
the Administrator will follow the procedures in part 124 used to issue 
Prevention of Significant Deterioration (``PSD'') permits.
    (4) Source obligation. (i) Any owner or operator who constructs or 
operates an OCS source not in accordance with the application submitted 
pursuant to this part 55, or with any approval to construct or permit to 
operate, or any owner or operator of a source subject to the 
requirements of this part who commences construction after the effective 
date of this part without applying for and receiving approval under this 
part, shall be in violation of this part.
    (ii) Any owner or operator of a new OCS source who commenced 
construction prior to the promulgation date of this rule shall comply 
with the requirements of paragraph (e) of this section.
    (iii) Receipt of an approval to construct or a permit to operate 
from the Administrator or delegated agency shall not relieve any owner 
or operator of the responsibility to comply fully with the applicable 
provisions of any other requirements under Federal law.
    (iv) The owner or operator of an OCS source to whom the approval to 
construct or permit to operate is issued

[[Page 110]]

under this part shall notify all other owners and operators, 
contractors, and the subsequent owners and operators associated with 
emissions from the source, of the conditions of the permit issued under 
this part.
    (5) Delegation of authority. If the Administrator delegates any of 
the authority to implement and enforce the requirements of this section, 
the following provisions shall apply:
    (i) The applicant shall send a copy of any permit application 
required by this section to the Administrator through the EPA Regional 
Office at the same time as the application is submitted to the delegated 
agency.
    (ii) The delegated agency shall send a copy of any public comment 
notice required under this section or Sec. Sec. 55.13 or 55.14 to the 
Administrator through the EPA Regional Office.
    (iii) The delegated agency shall send a copy of any preliminary 
determination and final permit action required under this section or 
Sec. Sec. 55.13 or 55.14 to the Administrator through the EPA Regional 
Office at the time of the determination and shall make available to the 
Administrator any materials used in making the determination.
    (b) Preconstruction requirements for OCS sources located within 25 
miles of States' seaward boundaries. (1) No OCS source to which the 
requirements of Sec. Sec. 55.13 or 55.14 of this part apply shall begin 
actual construction after the effective date of this part without a 
permit that requires the OCS source to meet those requirements.
    (2) Any permit application required under this part shall not be 
submitted until the Administrator has determined whether a consistency 
update is necessary, pursuant to Sec. 55.12 of this part, and, if the 
Administrator finds an update to be necessary, has published a proposed 
consistency update.
    (3) The applicant may be required to obtain more than one 
preconstruction permit, if necessitated by partial delegation of this 
part or by the requirements of this section and Sec. Sec. 55.13 and 
55.14 of this part.
    (4) An approval to construct shall become invalid if construction is 
not commenced within 18 months after receipt of such approval, if 
construction is discontinued for a period of 18 months or more, or if 
construction is not completed within a reasonable time. The 18-month 
period may be extended upon a showing satisfactory to the Administrator 
or the delegated agency that an extension is justified. Sources 
obtaining extensions are subject to all new or interim requirements and 
a reassessment of the applicable control technology when the extension 
is granted. This requirement shall not supersede a more stringent 
requirement under Sec. Sec. 55.13 or 55.14 of this part.
    (5) Any preconstruction permit issued to a new OCS source or 
modification shall remain in effect until it expires under paragraph 
(b)(4) of this section or is rescinded under the applicable requirements 
incorporated in Sec. Sec. 55.13 and 55.14 of this part.
    (6) Whenever any proposed OCS source or modification to an existing 
OCS source is subject to action by a Federal agency that might 
necessitate preparation of an environmental impact statement pursuant to 
the National Environmental Policy Act (42 U.S.C. 4321), review by the 
Administrator conducted pursuant to this section shall be coordinated 
with the environmental reviews under that Act to the extent feasible and 
reasonable.
    (7) The Administrator or delegated agency and the applicant shall 
provide written notice of any permit application from a source, the 
emissions from which may affect a Class I area, to the Federal Land 
Manager charged with direct responsibility for management of any lands 
within the Class I area. Such notification shall include a copy of all 
information contained in the permit application and shall be given 
within 30 days of receipt of the application and at least 60 days prior 
to any public hearing on the preconstruction permit.
    (8) Modification of existing sources. The preconstruction 
requirements above shall not apply to a particular modification, as 
defined in Sec. 55.13 or Sec. 55.14 of this part, of an existing OCS 
source if:
    (i) The modification is necessary to comply with this part, and no 
other physical change or change in the method of operation is made in 
conjunction with the modification;
    (ii) The modification is made within 24 months of promulgation of 
this part; and

[[Page 111]]

    (iii) The modification does not result in an increase, in excess of 
any de minimus levels contained in the applicable requirements of 
Sec. Sec. 55.13 and 55.14, of potential emissions or actual hourly 
emissions of a pollutant regulated under the Act.
    (9) Compliance plans. Sources intending to perform modifications 
that meet all of the criteria of paragraph (b)(8) of this section shall 
submit a compliance plan to the Administrator or delegated agency prior 
to performing the modification. The compliance shall describe the 
schedule and method the source will use to comply with the applicable 
OCS requirements within 24 months of the promulgation date of this part 
and shall include a request for any exemptions from compliance with a 
pollution control technology requirement that the applicant believes is 
technically infeasible or will cause an unreasonable threat to health 
and safety. The Administrator or delegated agency shall act on the 
request for exemption in accordance with the procedures established in 
Sec. 55.7 of this part.
    (i) The Administrator or delegated agency shall review the 
compliance plan and provide written comments to the source within 45 
days of receipt of such plan. The source shall provide a written 
response to such comments as required by the reviewing agency.
    (ii) Receipt and review of a compliance plan by the Administrator or 
delegated agency shall not relieve any owner or operator of an existing 
OCS source of the responsibility to comply fully with the applicable 
requirements of Sec. Sec. 55.13 and 55.14 of this part within 24 months 
of promulgation of this part.
    (c) Operating permit requirements for sources located within 25 
miles of States' seaward boundaries. (1) All applicable operating permit 
requirements listed in this section and incorporated into Sec. Sec. 
55.13 and 55.14 of this part shall apply to OCS sources.
    (2) The Administrator or delegated agency shall not issue a permit 
to operate to any existing OCS source that has not demonstrated 
compliance with all the applicable requirements of this part.
    (3) If the COA does not have an operating permits program approved 
pursuant to 40 CFR part 70 or if EPA has determined that the COA is not 
adequately implementing an approved program, the applicable requirements 
of 40 CFR part 71, the Federal operating permits program, shall apply to 
the OCS sources. The applicable requirements of 40 CFR part 71 will be 
implemented and enforced by the Administrator. The Administrator may 
delegate the authority to implement and enforce all or part of a Federal 
operating permits program to a State pursuant to Sec. 55.11 of this 
part.
    (d) Permit requirements for sources located beyond 25 miles of 
States' seaward boundaries. (1) OCS sources located beyond 25 miles of 
States' seaward boundaries shall be subject to the permitting 
requirements set forth in this section and Sec. 55.13 of this part.
    (2) The Administrator or delegated agency shall not issue a permit-
to-operate to any existing OCS source that has not demonstrated 
compliance with all the applicable requirements of this part.
    (e) Permit requirements for new sources that commenced construction 
prior to September 4, 1992--(1) Applicability. Sec. 55.6(e) applies to 
a new OCS source, as defined by section 328 of the Act, that commenced 
construction before September 4, 1992.
    (2) A source subject to Sec. 55.6(e) shall comply with the 
following requirements:
    (i) By October 5, 1992, the owner or operator of the source shall 
submit a transitional permit application (``TPA'') to the Administrator 
or the delegated agency. The TPA shall include the following:
    (A) The information specified in Sec. Sec. 55.4(b)(1) through Sec. 
55.4(b)(9) of this part;
    (B) A list of all requirements applicable to the source under this 
part;
    (C) A request for exemption from compliance with any control 
technology requirement that the applicant believes is technically 
infeasible or will cause an unreasonable threat to health and safety;
    (D) An air quality screening analysis demonstrating whether the 
source has or is expected in the future to cause or contribute to a 
violation of any applicable State or Federal ambient air

[[Page 112]]

quality standard or exceed any applicable increment. If no air quality 
analysis is required by the applicable requirements of Sec. Sec. 55.13 
and 55.14, this requirement does not apply;
    (E) Documentation that source emissions are currently being offset, 
or will be offset if the source has not commenced operation, at the 
ratio required under this part, and documentation that those offsets 
meet or will meet the requirements of this part; and
    (F) A description of how the source is complying with the applicable 
requirements of Sec. Sec. 55.13 and 55.14 of this part, including 
emission levels and corresponding control measures, including Best 
Available Control Technology (``BACT'') or Lowest Achievable Emission 
Rates (``LAER''), but excluding the requirements to have valid permits.
    (ii) The source shall expeditiously complete its permit application 
in compliance with the schedule determined by the Administrator or 
delegated agency.
    (iii) The source shall comply with all applicable requirements of 
this part except for the requirements of paragraph (a)(4)(i) of this 
section. The source shall comply with the control technology 
requirements (such as BACT or LAER) set forth in the TPA that would be 
applicable if the source had a valid permit.
    (iv) Any owner or operator subject to this subsection who continues 
to construct or operate an OCS source thirty days from promulgation of 
this part without submitting a TPA, or continues to construct or operate 
an OCS source not in accordance with the TPA submitted pursuant to 
paragraph (e) of this section, or constructs or operates an OCS source 
not in accordance with the schedule determined by the permitting 
authority, shall be in violation of this part.
    (3) Upon the submittal of a permit application deemed to be complete 
by the permitting authority, the owner or operator of the source shall 
be subject to the permitting requirements of Sec. Sec. 55.13 and 55.14 
of this part that apply subsequent to the submission of a complete 
permit application. When a source receives the permit or permits 
required under this part, its TPA shall expire.
    (4) Until the date that a source subject to this subsection receives 
the permit or permits required under this part, that source shall cease 
operation if, based on projected or actual emissions, the permitting 
authority determines that the source is currently or may in the future 
cause or contribute to a violation of a State or Federal ambient air 
quality standard or exceed any applicable increment.

[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996; 62 
FR 46409, Sept. 2, 1997]



Sec. 55.7  Exemptions.

    (a) Authority and criteria. The Administrator or the delegated 
agency may exempt a source from a control technology requirement of this 
part if the Administrator or the delegated agency finds that compliance 
with the control technology requirement is technically infeasible or 
will cause an unreasonable threat to health and safety.
    (b) Request for an exemption--(1) Permit application required. An 
applicant shall submit a request for an exemption from a control 
technology requirement at the same time as the applicant submits a 
preconstruction or operating permit application to the Administrator or 
delegated agency.
    (2) No permit application required. If no permit or permit 
modification is required, a request for an exemption must be received by 
the Administrator or delegated agency within 60 days from the date the 
control technology requirement is promulgated by EPA.
    (3) Compliance plan. An existing source that submits a compliance 
plan in accordance with Sec. 55.6(b) of this part shall submit all 
requests for exemptions at the same time as the compliance plan. For the 
purpose of applying Sec. 55.7 of this part, a request submitted with a 
compliance plan shall be treated in the same manner as a request that 
does not require a permit application.
    (4) Content of request. (i) The request shall include information 
that demonstrates that compliance with a control technology requirement 
of this part would be technically infeasible or would cause an 
unreasonable threat to health and safety.
    (ii) The request shall include a proposed substitute requirement(s) 
as

[[Page 113]]

close in stringency to the original requirement as possible.
    (iii) The request shall include an estimate of emission reductions 
that would be achieved by compliance with the original requirement, an 
estimate of emission reductions that would be achieved by compliance 
with the proposed substitute requirement(s) and an estimate of residual 
emissions.
    (iv) The request shall identify emission reductions of a sufficient 
quantity to offset the estimated residual emissions. Sources located 
beyond 25 miles from States' seaward boundaries shall consult with the 
Administrator to identify suitable emission reductions.
    (c) Consultation requirement. If the authority to grant or deny 
exemptions has been delegated, the delegated agency shall consult with 
the Minerals Management Service of the U.S. Department of Interior and 
the U.S. Coast Guard to determine whether the exemption will be granted 
or denied.
    (1) The delegated agency shall transmit to the Administrator 
(through the Regional Office), the Minerals Management Service, and the 
U.S. Coast Guard, a copy of the permit application, or the request if no 
permit is required, within 5 days of its receipt.
    (2) Consensus. If the delegated agency, the Minerals Management 
Service, and the U.S. Coast Guard reach a consensus decision on the 
request within 90 days from the date the delegated agency received the 
request, the delegated agency may issue a preliminary determination in 
accordance with the applicable requirements of paragraph (f) of this 
section.
    (3) No consensus. If the delegated agency, the Minerals Management 
Service, and the U.S. Coast Guard do not reach a consensus decision 
within 90 days from the date the delegated agency received the request, 
the request shall automatically be referred to the Administrator who 
will process the referral in accordance with paragraph (f)(3) of this 
section. The delegated agency shall transmit to the Administrator, 
within 91 days of its receipt, the request and all materials submitted 
with the request, such as the permit application or the compliance plan, 
and any other information considered or developed during the 
consultation process.
    (4) If a request is referred to the Administrator and the delegated 
agency issues a preliminary determination on a permit application before 
the Administrator issues a final decision on the exemption, the 
delegated agency shall include a notice of the opportunity to comment on 
the Administrator's preliminary determination in accordance with the 
procedures of paragraph (f)(4) of this section.
    (5) The Administrator's final decision on a request that has been 
referred pursuant to paragraph (c) of this section shall be incorporated 
into the final permit issued by the delegated agency. If no permit is 
required, the Administrator's final decision on the request shall be 
implemented and enforced by the delegated agency.
    (d) Preliminary determination. The Administrator or delegated agency 
shall issue a preliminary determination in accordance with paragraph (f) 
of this section. A preliminary determination shall propose to grant or 
deny the request for exemption. A preliminary determination to grant the 
request shall include proposed substitute control requirements and 
offsets necessary to comply with the requirements of paragraph (e) of 
this section.
    (e) Grant of exemption. (1) The source shall comply with a 
substitute requirement(s), equal to or as close in stringency to the 
original requirement as possible, as determined by the Administrator or 
delegated agency.
    (2) An OCS source located within 25 miles of States' seaward 
boundaries shall offset residual emissions resulting from the grant of 
an exemption request in accordance with the requirements of the Act and 
the regulations thereunder. The source shall obtain offsets in 
accordance with the applicable requirements as follows:
    (i) If offsets are required in the COA, a new source shall offset 
residual emissions in the same manner as all other new source emissions 
in accordance with the requirements of Sec. 55.5(d) of this part.
    (ii) If offsets are not required in the COA, a new source shall 
comply with an offset ratio of 1:1.

[[Page 114]]

    (iii) An existing OCS source shall comply with an offset at a ratio 
of 1:1.
    (3) An OCS source located beyond 25 miles from States' seaward 
boundaries shall obtain emission reductions at a ratio determined by the 
Administrator to be adequate to protect State and Federal ambient air 
quality standards and to comply with part C of title I of the Act.
    (f) Administrative procedures and public participation--(1) Request 
submitted with a permit application. If a request is submitted with a 
permit application, the request shall be considered part of the permit 
application and shall be processed accordingly for the purpose of 
administrative procedures and public notice and comment requirements. 
The Administrator shall comply with the requirements of 40 CFR part 124 
and the requirements set forth at Sec. 55.6 of this part. If the 
Administrator has delegated authority to a State, the delegated agency 
shall use its own procedures as deemed adequate by the Administrator in 
accordance with Sec. 55.11 of this part. These procedures must provide 
for public notice and comment on the preliminary determination.
    (2) Request submitted without a permit or with a compliance plan. If 
a permit is not required, the Administrator or the delegated agency 
shall issue a preliminary determination within 90 days from the date the 
request was received, and shall use the procedures set forth at 
paragraph (f)(4) of this section for processing a request.
    (3) Referral. If a request is referred to the Administrator pursuant 
to paragraph (c) of this section, the Administrator shall make a 
preliminary determination no later than 30 days after receipt of the 
request and any accompanying materials transmitted by the delegated 
agency. The Administrator shall use the procedures set forth at 
paragraph (f)(4) of this section for processing a request.
    (4) The Administrator or the delegated agency shall comply with the 
following requirements for processing requests submitted without a 
permit, with a compliance plan, and requests referred to the 
Administrator:
    (i) Issue a preliminary determination to grant or deny the request. 
A preliminary determination by the Administrator to deny a request shall 
be considered a final decision and will be accompanied by the reasons 
for the decision. As such, it is not subject to any further public 
notice, comment, or hearings. Written notice of the denial shall be 
given to the requester.
    (ii) Make available, in at least one location in the COA and NOA, a 
copy of all materials submitted by the requester, a copy of the 
preliminary determination, and a copy or summary of other materials, if 
any, considered in making the preliminary determination.
    (iii) Notify the public, by prominent advertisement in a newspaper 
of general circulation in the COA and NOA, of a 30-day opportunity for 
written public comment on the information submitted by the owner or 
operator and on the preliminary determination.
    (iv) Send a copy of the notice required pursuant to paragraph 
(f)(4)(iii) of this section to the requester, the affected source, each 
person from whom a written request of such notice has been received, and 
the following officials and agencies having jurisdiction over the COA 
and NOA: State and local air pollution control agencies, the chief 
executive of the city and county, the Federal Land Manager of 
potentially affected Class I areas, and any Indian governing body whose 
lands may be affected by emissions from the OCS source.
    (v) Consider written public comments received within 30 days after 
the date the public notice is made available when making the final 
decision on the request. All comments will be made available for public 
inspection. At the time that any final decision is issued, the 
Administrator or delegated agency will issue a response to comments.
    (vi) Make a final decision on the request within 30 days after the 
close of the public comment period. The Administrator or the delegated 
agency will notify, in writing, the applicant and each person who has 
submitted written comments, or from whom a written request of such 
notice has been received, of the final decision and will set forth the 
reasons. Such notification will be made available for public inspection.

[[Page 115]]

    (5) Within 30 days after the final decision has been made on a 
request, the requester, or any person who filed comments on the 
preliminary determination, may petition the Administrator to review any 
aspect of the decision. Any person who failed to file comments on the 
preliminary decision may petition for administrative review only on the 
changes from the preliminary to the final determination.



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

    (a) The Administrator may require monitoring or reporting and may 
authorize inspections pursuant to section 114 of the Act and the 
regulations thereunder. Sources shall also be subject to the 
requirements set forth in Sec. Sec. 55.13 and 55.14 of this part.
    (b) All monitoring, reporting, inspection and compliance 
requirements authorized under the Act shall apply.
    (c) An existing OCS source that is not required to obtain a permit 
to operate within 24 months of the date of promulgation of this part 
shall submit a compliance report to the Administrator or delegated 
agency within 25 months of promulgation of this part. The compliance 
report shall specify all the applicable OCS requirements of this part 
and a description of how the source has complied with these 
requirements.
    (d) The Administrator or the delegated agency shall consult with the 
Minerals Management Service and the U.S. Coast Guard prior to 
inspections. This shall in no way interfere with the ability of EPA or 
the delegated agency to conduct unannounced inspections.

(Approved by the Office of Management and Budget under control number 
2060-0249)

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



Sec. 55.9  Enforcement.

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



Sec. 55.10  Fees.

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

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



Sec. 55.11  Delegation.

    (a) The Governor or the Governor's designee of any State adjacent to 
an OCS source subject to the requirements of this part may submit a 
request, purusant to section 328(a)(3) of the Act, to the Administrator 
for the authority to implement and enforce the requirements of this OCS 
program: Within 25

[[Page 116]]

miles of the State's seaward boundary; and/or Beyond 25 miles of the 
State's seaward boundary. Authority to implement and enforce Sec. Sec. 
55.5, 55.11, and 55.12 of this part will not be delegated.
    (b) The Administrator will delegate implementation and enforcement 
authority to a State if the State has an adjacent OCS source and the 
Administrator determines that the State's regulations are adequate, 
including a demonstration by the State that the State has:
    (1) Adopted the appropriate portions of this part into State law;
    (2) Adequate authority under State law to implement and enforce the 
requirements of this part. A letter from the State Attorney General 
shall be required stating that the requesting agency has such authority;
    (3) Adequate resources to implement and enforce the requirements of 
this part; and
    (4) Adequate administrative procedures to implement and enforce the 
requirements of this part, including public notice and comment 
procedures.
    (c) The Administrator will notify in writing the Governor or the 
Governor's designee of the Administrator's final action on a request for 
delegation within 6 months of the receipt of the request.
    (d) If the Administrator finds that the State regulations are 
adequate, the Administrator will authorize the State to implement and 
enforce the OCS requirements under State law. If the Administrator finds 
that only part of the State regulations are adequate, he will authorize 
the State to implement and enforce only that portion of this part.
    (e) Upon delegation, a State may use any authority it possesses 
under State law to enforce any permit condition or any other requirement 
of this part for which the agency has delegated authority under this 
part. A State may use anyauthority it possesses under State law to 
require monitoring and reporting and to conduct inspections.
    (f) Nothing in this part shall prohibit the Administrator from 
enforcing any requirement of this part.
    (g) The Administrator will withdraw a delegation of any authority to 
implement and enforce any or all of this part if the Administrator 
determines that: (1) The requirements of this part are not being 
adequately implemented or enforced by the delegated agency, or (2) The 
delegated agency no longer has adequate regulations as required by Sec. 
55.11(b) of this part.
    (h) Sharing of information. Any information obtained or used in the 
administration of a delegated program shall be made available to EPA 
upon request without restriction. If the information has been submitted 
to the delegated agency under a claim of confidentiality, the delegated 
agency must notify the source of this obligation and submit that claim 
to EPA. Any information obtained from a delegated agency accompanied by 
a claim of confidentiality will be treated in accordance with the 
requirements of 40 CFR part 2.
    (i) Grant of exemptions. A decision by a delegated agency to grant 
or deny an exemption request may be appealed to the Administrator in 
accordance with Sec. 55.7 of this part.
    (j) Delegated authority. The delegated agency in the COA for sources 
located within 25 miles of the State's seaward boundary or the delegated 
agency in the NOA for sources located beyond 25 miles of the State's 
seaward boundary will exercise all delegated authority. If there is no 
delegated agency in the COA for sources located within 25 miles of the 
State's seaward boundary, or in the NOA for sources located beyond 25 
miles of the State's seaward boundary, the EPA will issue the permit and 
implement and enforce the requirements of this part. For sources located 
within 25 miles of the State's seaward boundary, the Administrator may 
retain the authority for implementing and enforcing the requirements of 
this part if the NOA and COA are in different States.

[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46409, Sept. 2, 1997]



Sec. 55.12  Consistency updates.

    (a) The Administrator will update this part as necessary to maintain 
consistency with the regulations of onshore areas in order to attain and 
maintain Federal and State ambient standards and comply with part C of 
title I of the Act.
    (b) Where an OCS activity is occurring within 25 miles of a State 
seaward

[[Page 117]]

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



Sec. 55.13  Federal requirements that apply to OCS sources.

    (a) The requirements of this section shall apply to OCS sources as 
set forth below. In the event that a requirement of this section 
conflicts with an applicable requirement of Sec. 55.14 of this part and 
a source cannot comply with the requirements of both sections, the more 
stringent requirement shall apply.
    (b) In applying the requirements incorporated into this section:
    (1) New Source means new OCS source; and
    (2) Existing Source means existing OCS source; and
    (3) Modification means a modification to an OCS source.
    (4) For requirements adopted prior to promulgation of this part, 
language in such requirements limiting the applicability of the 
requirements to onshore sources or to sources within State boundaries 
shall not apply.
    (c) 40 CFR part 60 (NSPS) shall apply to OCS sources in the same 
manner as in the COA, except that any source determined to be an 
existing source pursuant to Sec. 55.3(e) of this part shall not be 
considered a ``new source'' for the purpose of NSPS adopted before 
December 5, 1991.
    (d) 40 CFR 52.21 (PSD) shall apply to OCS sources:

[[Page 118]]

    (1) Located within 25 miles of a State's seaward boundary if the 
requirements of 40 CFR 52.21 are in effect in the COA;
    (2) Located beyond 25 miles of States' seaward boundaries.
    (e) 40 CFR part 61, together with any other provisions promulgated 
pursuant to section 112 of the Act, shall apply if rationally related to 
the attainment and maintenance of Federal or State ambient air quality 
standards or the requirements of part C of title I of the Act.
    (f) 40 CFR part 71 shall apply to OCS sources:
    (1) Located within 25 miles of States' seaward boundaries if the 
requirements of 40 CFR part 71 are in effect in the COA.
    (2) Located beyond 25 miles of States' seaward boundaries.
    (3) When an operating permits program approved pursuant to 40 CFR 
part 70 is in effect in the COA and a Federal operating permit is issued 
to satisfy an EPA objection pursuant to 40 CFR 71.4(e).
    (g) The provisions of 40 CFR 52.10, 40 CFR 52.24, and 40 CFR part 51 
and accompanying appendix S shall apply to OCS sources located within 25 
miles of States' seaward boundaries, if these requirements are in effect 
in the COA.
    (h) If the Administrator determines that additional requirements are 
necessary to protect Federal and State ambient air quality standards or 
to comply with part C of title I, such requirements will be incorporated 
in this part.

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



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

    (a) The requirements of this section shall apply to OCS sources as 
set forth below. In the event that a requirement of this section 
conflicts with an applicable requirement of Sec. 55.13 of this part and 
a source cannot comply with the requirements of both sections, the more 
stringent requirement shall apply.
    (b) In applying the requirements incorporated into this section:
    (1) New Source means new OCS source; and
    (2) Existing Source means existing OCS source; and
    (3) Modification means a modification to an existing OCS source.
    (4) For requirements adopted prior to promulgation of this part, 
language in such requirements limiting the applicability of the 
requirements to onshore sources or to sources within State boundaries 
shall not apply.
    (c) During periods of EPA implementation and enforcement of this 
section, the following shall apply:
    (1) Any reference to a State or local air pollution control agency 
or air pollution control officer shall mean EPA or the Administrator, 
respectively.
    (2) Any submittal to State or local air pollution control agency 
shall instead be submitted to the Administrator through the EPA Regional 
Office.
    (3) Nothing in this section shall alter or limit EPA's authority to 
administer or enforce the requirements of this part under Federal law.
    (4) EPA shall not be bound by any State or local administrative or 
procedural requirements including, but not limited to, requirements 
pertaining to hearing boards, permit issuance, public notice procedures, 
and public hearings. EPA will follow the applicable procedures set forth 
elsewhere in this part, in 40 CFR part 124, and in Federal rules 
promulgated pursuant to title V of the Act (as such rules apply in the 
COA), when administering this section.
    (5) Only those requirements of 40 CFR part 52 that are rationally 
related to the attainment and maintenance of Federal or State ambient 
air quality standards or part C of title I shall apply to OCS sources.
    (d) Implementation Plan Requirements.
    (1) [Reserved]
    (2) Alaska.
    (i) 40 CFR part 52, subpart C.
    (ii) [Reserved]
    (3) California.
    (i) 40 CFR part 52, subpart F.
    (ii) [Reserved]
    (4)-(5) [Reserved]
    (6) Florida.
    (i) 40 CFR part 52, subpart K.
    (ii) [Reserved]
    (7)-(16) [Reserved]

[[Page 119]]

    (17) North Carolina.
    (i) 40 CFR part 52, subpart II.
    (ii) [Reserved]
    (18)-(23) [Reserved]
    (e) State and local requirements. State and local requirements 
promulgated by EPA as applicable to OCS sources located within 25 miles 
of States' seaward boundaries have been compiled into separate documents 
organized by State and local areas of jurisdiction. These documents, set 
forth below, are incorporated by reference. This incorporation by 
reference was approved by the Director of the Federal Register Office in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. Copies of rules pertaining to 
particular States or local areas may be inspected or obtained from the 
EPA Air Docket (A-91-76), U.S. EPA, room M-1500, 401 M St., SW., 
Washington, DC 20460 or the appropriate EPA regional offices: U.S. EPA, 
Region 4 (Florida and North Carolina), 345 Courtland Street, NE., 
Atlanta, GA 30365; U.S. EPA, Region 9 (California), 75 Hawthorne Street, 
San Francisco, CA 94105; and U.S. EPA, Region 10 (Alaska), 1200 Sixth 
Avenue, Seattle, WA 98101. For an informational listing of the State and 
local requirements incorporated into this part, which are applicable to 
sources of air pollution located on the OCS, see appendix A to this 
part.
    (1) [Reserved]
    (2) Alaska.
    (i) State requirements.
    (A) State of Alaska Requirements Applicable to OCS Sources, July 2, 
2000.
    (B) [Reserved]
    (ii) Local requirements.
    (A) South Central Alaska Clean Air Authority Requirements Applicable 
to OCS Sources, August 21, 1992.
    (B) [Reserved]
    (3) California.
    (i) State requirements.
    (A) State of California Requirements Applicable to OCS Sources.
    (ii) Local requirements.
    (A)-(D) [Reserved]
    (E) San Luis Obispo County Air Pollution Control District 
Requirements Applicable to OCS Sources, February 2000.
    (F) Santa Barbara County Air Pollution Control District Requirements 
Applicable to OCS Sources, February 2000.
    (G) South Coast Air Quality Management District Requirements 
Applicable to OCS Sources (Part I , II and Part III), February 2000.
    (H) Ventura County Air Pollution Control District Requirements 
Applicable to OCS Sources, February 2000.
    (4) and (5) [Reserved]
    (6) Florida.
    (i) State requirements.
    (A) State of Florida Requirements Applicable to OCS Sources, January 
11, 1995.
    (B) [Reserved]
    (ii) Local requirements.
    (A) [Reserved]
    (7)-(16) [Reserved]
    (17) North Carolina.
    (i) State requirements.
    (A) State of North Carolina Air Pollution Control Requirements 
Applicable to OCS Sources, August 21, 1992.
    (B) [Reserved]
    (ii) Local requirements.
    (A) [Reserved]
    (18)-(23) [Reserved]

[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993; 
58 FR 59173, Nov. 8, 1993; 59 FR 17270, Apr. 12, 1994; 59 FR 50846, Oct. 
6, 1994; 60 FR 47293, Sept. 12, 1995; 60 FR 55327, Oct. 31, 1995; 61 FR 
28758, June 6, 1996; 62 FR 41871, Aug. 4, 1997; 65 FR 15869, Mar. 24, 
2000; 66 FR 12984, Mar. 1, 2001; 67 FR 14648, Mar. 27, 2002; 69 FR 
18803, Apr. 9, 2004]



Sec. 55.15  Specific designation of corres pond ing onshore areas.

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

[[Page 120]]

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

[58 FR 14159, Mar. 16, 1993]

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

    This appendix lists the titles of the State and local requirements 
that are contained within the documents incorporated by reference into 
40 CFR part 55.

                                 Alaska

    (a) State requirements.
    (1) The following State of Alaska requirements are applicable to OCS 
Sources, July 2, 2000. Alaska Administrative Code--Department of 
Environmental Conservation. The following sections of Title 18, Chapter 
50:

                Article 1. Ambient Air Quality Management

18 AAC 50.005. Purpose and Applicability of Chapter. (effective 1/18/
          1997)
18 AAC 50.010. Ambient Air Quality Standards. (effective 6/21/1998)
18 AAC 50.015. Air Quality Designations, Classifications, And Control 
          Regions. (effective 1/18/1997)
    Table 1. Air Quality Classifications
18 AAC 50.020. Baseline Dates, Maximum Allowable Increases, And Maximum 
          Allowable Ambient Concentrations. (effective 6/21/1998)
    Table 2. Baseline Dates
    Table 3. Maximum Allowable Increases
18 AAC 50.025. Visibility and Other Special Protection Areas. (effective 
          1/18/1997)
    (a) [untitled]
18 AAC 50.030. State Air Quality Control Plan. (effective 9/04/1998)
18 AAC 50.035. Documents, Procedures, and Methods Adopted by Reference. 
          (effective 7/02/2000)
18 AAC 50.045. Prohibitions. (effective 1/18/1997)
18 AAC 50.050. Incinerator Emission Standards. (effective 1/18/1997)
    Table 4. Particulate Matter Standards for Incinerators
18 AAC 50.055. Industrial Processes and Fuel-burning Equipment. 
          (effective 11/04/1999)
18 AAC 50.065. Open Burning. (effective 1/18/1997)
    (a) General Requirements.
    (b) Black Smoke Prohibited.
    (c) Toxic and Acid Gases and Particulate Matter Prohibited.
    (d) Adverse Effects Prohibited.
    (e) Air Quality Advisory.
    (i) Firefighter Training: Fuel Burning.
    (j) Public Notice.
    (k) Complaints.
18 AAC 50.070. Marine Vessel Visible Emission Standards. (effective 6/
          21/1998)
18 AAC 50.080. Ice Fog Standards. (effective 1/18/1997)
18 AAC 50.100. Nonroad engines. (effective 1/18/1997)
18 AAC 50.110. Air Pollution Prohibited. (effective 5/26/1972)

                    Article 2. Program Administration

18 AAC 50.201. Ambient Air Quality Investigation. (effective 1/18/1997)
18 AAC 50.205. Certification. (effective 1/18/1997)
18 AAC 50.210. Potential to Emit. (effective 1/18/1997)
18 AAC 50.215. Ambient Air Quality Analysis Methods. (effective 6/21/
          1998)
18 AAC 50.220. Enforceable Test Methods. (effective 1/18/1997)
18 AAC 50.225. Owner-requested Limits. (effective 6/21/1998)
18 AAC 50.230. Preapproved Limits. (effective 6/21/1998)
18 AAC 50.235. Unavoidable Emergencies and Malfunctions. (effective 6/
          14/1998)
18 AAC 50.240. Excess Emissions. (effective 1/18/1997)

              Article 3. Permit Procedures and Requirements

18 AAC 50.300. Construction Permits: Classifications. (effective 6/21/
          1998)
    (a) [untitled]
    (b) Ambient Air Quality Facilities.
    (c) Prevention of Significant Deterioration Major Facilities.
    (d) Nonattainment Major Facilities.
    (e) Major Facility Near a Nonattainment Area.
    (f) Hazardous Air Contaminant Major Facilities.
    (h) Modifications. (paragraphs 1 through 10)
18 AAC 50.305. Construction Permit Provisions Requested by the Owner or 
          Operator. (effective 1/18/97)
18 AAC 50.310. Construction Permits: Application. (effective 1/18/1997)
    (a) Application Required.
    (b) Operating Permit Coordination.
    (c) General Information.
    (d) Prevention of Significant Deterioration Information. Table 6. 
Significant Concentrations
    (e) Excluded Ambient Air Monitoring.
    (f) Nonattainment Information.
    (g) Demonstration Required Near A Nonattainment Area.
    (h) Hazardous Air Contaminant Information.
    (j) Nonattainment Air Contaminant Reductions.
    (k) Revising Permit Terms.
    (l) Requested Limits.
    (m) Stack Injection.

[[Page 121]]

    (n) Ambient Air Quality Information.
18 AAC 50.320. Construction Permits: Content and Duration. (effective 1/
          18/1997)
18 AAC 50.325. Operating Permits: Classifications. (effective 6/21/1998)
18 AAC 50.330. Operating Permits: Exemptions. (effective 1/18/1997)
18 AAC 50.335. Operating Permits: Application. (effective 6/21/1998)
    (a) Application Required.
    (b) Identification.
    (c) General Emission Information.
    (d) Fees.
    (e) Regulated Source Information.
    (f) Facility-wide Information: Ambient Air Quality.
    (g) Facility-wide Information: Owner Requested Limits.
    (h) Facility-wide Information: Emissions Trading.
    (i) Compliance Information.
    (j) Proposed Terms and Conditions.
    (k) Compliance Certifications.
    (l) Permit Shield.
    (m) Supporting Documentation.
    (n) Additional Information.
    (o) Certification of Accuracy and Completeness.
    (p) Renewals.
    (q) Insignificant Sources.
    (r) Insignificant Sources: Emission Rate Basis.
    (s) Insignificant Sources: Category Basis.
    (t) Insignificance Sources: Size or Production Rate Basis.
    (u) Insignificant Sources: Case-by-Case Basis.
    (v) Administratively Insignificant Sources.
18 AAC 50.340. Operating Permits: Review and Issuance. (effective 1/18/
          1997)
    (a) Review of Completeness.
    (b) Evaluation of Complete Applications.
    (c) Expiration of Application Shield.
18 AAC 50.341. Operating Permits: Reopenings. (paragraphs a, b, c, f, 
          and g)(effective 6/14/1998)
18 AAC 50.345. Operating Permits: Standard Conditions. (effective 6/21/
          1998)
18 AAC 50.350. Operating Permits: Content. (effective 6/21/1998)
    (a) Purpose of Section
    (b) Standard Requirements.
    (c) Fee Information.
    (d) Source-Specific Permit Requirements.
    (e) Facility-Wide Permit Requirements.
    (f) Other Requirements.
    (g) Monitoring Requirements.
    (h) Records.
    (i) Reporting Requirements.
    (j) Compliance Certification.
    (k) Compliance Plan and Schedule.
    (l) Permit Shield.
    (m) Insignificant Sources.
18 AAC 50.355. Changes to a Permitted Facility. (effective 1/18/1997)
18 AAC 50.360. Facility Changes that Violate a Permit Condition. 
          (effective 1/18/1997)
18 AAC 50.365. Facility Changes that do not Violate a Permit Condition. 
          (effective 6/14/1998)
18 AAC 50.370. Administrative Revisions. (effective 6/14/1998)
18 AAC 50.375. Minor and Significant Permit Revisions. (effective 6/21/
          1998)
18 AAC 50.380. General Operating Permits. (effective 6/14/1998)
18 AAC 50.385. Permit-by-rule for Certain Small Storage Tanks. 
          (effective 6/21/1998)

                          Article 5. User Fees

18 AAC 50.400. Permit Administration Fees. (effective 6/21/1998)
18 AAC 50.410. Emission Fees. (effective 1/18/1997)
18 AAC 50.420. Billing Procedures. (effective 1/18/1997)

                      Article 9. General Provisions

18 AAC 50.910. Establishing Level of Actual Emissions. (effective 1/18/
          1997)
18 AAC 50.990. Definitions. (effective 1/01/2000)

                               California

    (a) State requirements.
    (1) The following requirements are contained in State of California 
Requirements Applicable to OCS Sources, February 2000.

Barclays California Code of Regulations

    The following sections of Title 17 Subchapter 6:
17 Sec. 92000 Definitions (Adopted 5/31/91)
17 Sec. 92100 Scope and Policy (Adopted 5/31/91)
17 Sec. 92200 Visible Emission Standards (Adopted 5/31/91)
17 Sec. 92210 Nuisance Prohibition (Adopted 5/31/91)
17 Sec. 92220 Compliance with Performance Standards (Adopted 5/31/91)
17 Sec. 92400 Visible Evaluation Techniques (Adopted 5/31/91)
17 Sec. 92500 General Provisions (Adopted 5/31/91)
17 Sec. 92510 Pavement Marking (Adopted 5/31/91)
17 Sec. 92520 Stucco and Concrete (Adopted 5/31/91)
17 Sec. 92530 Certified Abrasive (Adopted 5/31/91)
17 Sec. 92540 Stucco and Concrete (Adopted 5/31/91)

Health and Safety Code

    The following section of Division 26, Part 4, Chapter 4, Article 1: 
Health and Safety Code Sec. 42301.13 of seq. Stationary sources: 
demolition or removal (chaptered 7/25/96)

    (b) Local requirements.
    (1)-(4) [Reserved]
    (5) The following requirements are contained in San Luis Obispo 
County Air Pollution Control District Requirements Applicable to OCS 
Sources, February 2000:

[[Page 122]]

Rule 103 Conflicts Between District, State and Federal Rules (Adopted 8/
6/76)
Rule 105 Definitions (Adopted 1/24/96)
Rule 106 Standard Conditions (Adopted 8/6/76)
Rule 108 Severability (Adopted 11/13/84)
Rule 113 Continuous Emissions Monitoring, except F. (Adopted 7/5/77)
Rule 201 Equipment not Requiring a Permit, except A.1.b. (Revised 4/26/
95)
Rule 202 Permits, except A.4. and A.8. (Adopted 11/5/91)
Rule 203 Applications, except B. (Adopted 11/5/91)
Rule 204 Requirements, except B.3. and C. (Adopted 8/10/93)
Rule 209 Provision for Sampling and Testing Facilities (Adopted 11/5/91)
Rule 210 Periodic Inspection, Testing and Renewal of Permits to Operate 
(Adopted 11/5/91)
Rule 213 Calculations, except E.4. and F. (Adopted 8/10/93)
Rule 302 Schedule of Fees (Adopted 6/18/97)
Rule 305 Fees for Major Non-Vehicular Sources (Adopted 9/15/92)
Rule 401 Visible Emissions (Adopted 8/6/76)
Rule 403 Particulate Matter Emissions (Adopted 8/6/76)
Rule 404 Sulfur Compounds Emission Standards, Limitations and 
Prohibitions (Revised 12/6/76)
Rule 405 Nitrogen Oxides Emission Standards, Limitations and 
Prohibitions (Adopted 11/16/93)
Rule 406 Carbon Monoxide Emission Standards, Limitations and 
Prohibitions (Adopted 11/14/84)
Rule 407 Organic Material Emission Standards, Limitations and 
Prohibitions (Adopted 5/22/96)
Rule 411 Surface Coating of Metal Parts and Products (Adopted 1/28/98)
Rule 416 Degreasing Operations (Adopted 6/18/79)
Rule 417 Control of Fugitive Emissions of Volatile Organic Compounds 
(Adopted 2/9/93)
Rule 419 Petroleum Pits, Ponds, Sumps, Well Cellars, and Wastewater 
Separators (Revised 7/12/94)
Rule 422 Refinery Process Turnarounds (Adopted 6/18/79)
Rule 425 Storage of Volatile Organic Compounds (Adopted 7/12/94)
Rule 427 Marine Tanker Loading (Adopted 4/26/95)
Rule 429 Oxides of Nitrogen and Carbon Monoxide Emissions from Electric 
Power Generation Boilers (Revised 11/12/97)
Rule 430 Control of Oxides of Nitrogen from Industrial, Institutional, 
Commercial Boilers, Steam Generators, and Process Heaters (Adopted 7/26/
95)
Rule 431 Stationary Internal Combustion Engines (Adopted 11/13/96)
Rule 501 General Burning Provisions (Adopted 1/10/89)
Rule 503 Incinerator Burning, except B.1.a. (Adopted 2/7/89)
Rule 601 New Source Performance Standards (Adopted 5/28/97)

    (6) The following requirements are containing in Santa Barbara 
County Air Pollution Control District Requirements Applicable to OCS 
Sources, February 2000:
Rule 102 Definitions (Adopted 5/20/99)
Rule 103 Severability (Adopted 10/23/78)
Rule 106 Notice to Comply for Minor Violations (Adopted 7/15/99)
Rule 201 Permits Required (Adopted 4/17/97)
Rule 202 Exemptions to Rule 201 (Adopted 4/17/97)
Rule 203 Transfer (Adopted 4/17/97)
Rule 204 Applications (Adopted 4/17/97)
Rule 205 Standards for Granting Applications (Adopted 4/17/97)
Rule 206 Conditional Approval of Authority to Construct or Permit to 
Operate (Adopted 10/15/91)
Rule 207 Denial of Application (Adopted 10/23/78)
Rule 210 Fees (Adopted 4/17/97)
Rule 212 Emission Statements (Adopted 10/20/92)
Rule 301 Circumvention (Adopted 10/23/78)
Rule 302 Visible Emissions (Adopted 10/23/78)
Rule 304 Particulate Matter-Northern Zone (Adopted 10/23/78)
Rule 305 Particulate Matter Concentration-Southern Zone (Adopted 10/23/
78)
Rule 306 Dust and Fumes-Northern Zone (Adopted 10/23/78)
Rule 307 Particulate Matter Emission Weight Rate-Southern Zone (Adopted 
10/23/78)
Rule 308 Incinerator Burning (Adopted 10/23/78)
Rule 309 Specific Contaminants (Adopted 10/23/78)
Rule 310 Odorous Organic Sulfides (Adopted 10/23/78)
Rule 311 Sulfur Content of Fuels (Adopted 10/23/78)
Rule 312 Open Fires (Adopted 10/2/90)
Rule 316 Storage and Transfer of Gasoline (Adopted 4/17/97)
Rule 317 Organic Solvents (Adopted 10/23/78)
Rule 318 Vacuum Producing Devices or Systems-Southern Zone (Adopted 10/
23/78)
Rule 321 Solvent Cleaning Operations (Adopted 9/18/97)
Rule 322 Metal Surface Coating Thinner and Reducer (Adopted 10/23/78)
Rule 323 Architectural Coatings (Adopted 7/18/96)
Rule 324 Disposal and Evaporation of Solvents (Adopted 10/23/78)
Rule 325 Crude Oil Production and Separation (Adopted 1/25/94)
Rule 326 Storage of Reactive Organic Liquid Compounds (Adopted 12/14/93)

[[Page 123]]

Rule 327 Organic Liquid Cargo Tank Vessel Loading (Adopted 12/16/85)
Rule 328 Continuous Emission Monitoring (Adopted 10/23/78)
Rule 330 Surface Coating of Miscellaneous Metal Parts and Products 
(Adopted 4/21/95)
Rule 331 Fugitive Emissions Inspection and Maintenance (Adopted 12/10/
91)
Rule 332 Petroleum Refinery Vacuum Producing Systems, Wastewater 
Separators and Process Turnarounds (Adopted 6/11/79)
Rule 333 Control of Emissions from Reciprocating Internal Combustion 
Engines (Adopted 4/17/97)
Rule 342 Control of Oxides of Nitrogen (NOX) from Boilers, 
Steam Generators and Process Heaters) (Adopted 4/17/97)
Rule 343 Petroleum Storage Tank Degassing (Adopted 12/14/93)
Rule 344 Petroleum Sumps, Pits, and Well Cellars (Adopted 11/10/94)
Rule 352 Natural Gas-Fired Fan-Type Central Furnaces and Residential 
Water Heaters (Adopted 9/16/99)
Rule 353 Adhesives and Sealants (Adopted 8/19/99)
Rule 359 Flares and Thermal Oxidizers (6/28/94)
Rule 370 Potential to Emit--Limitations for Part 70 Sources (Adopted 6/
15/95)
Rule 505 Breakdown Conditions Sections A., B.1,. and D. only (Adopted 
10/23/78)
Rule 603 Emergency Episode Plans (Adopted 6/15/81)
Rule 702 General Conformity (Adopted 10/20/94)
Rule 801 New Source Review (Adopted 4/17/97)
Rule 802 Nonattainment Review (Adopted 4/17/97)
Rule 803 Prevention of Significant Deterioration (Adopted 4/17/97)
Rule 804 Emission Offsets (Adopted 4/17/97)
Rule 805 Air Quality Impact Analysis and Modeling (Adopted 4/17/97)
Rule 808 New Source Review for Major Sources of Hazardous Air Pollutants 
(Adopted 5/20/99)
Rule 1301 Part 70 Operating Permits--General Information (Adopted 4/17/
97)
Rule 1302 Part 70 Operating Permits--Permit Application (Adopted 11/09/
93)
Rule 1303 Part 70 Operating Permits--Permits (Adopted 11/09/93)
Rule 1304 Part 70 Operating Permits--Issuance, Renewal, Modification and 
Reopening (Adopted 11/09/93)
Rule 1305 Part 70 Operating Permits--Enforcement (Adopted 11/09/93)

    (7) The following requirements are contained in South Coast Air 
Quality Management District Requirements Applicable to OCS Sources (Part 
I, II and III), February 2000:

Rule 102 Definition of Terms (Adopted 6/13/97)
Rule 103 Definition of Geographical Areas (Adopted 1/9/76)
Rule 104 Reporting of Source Test Data and Analyses (Adopted 1/9/76)
Rule 108 Alternative Emission Control Plans (Adopted 4/6/90)
Rule 109 Recordkeeping for Volatile Organic Compound Emissions (Adopted 
3/6/92)
Rule 118 Emergencies (Adopted 12/7/95)
Rule 201 Permit to Construct (Adopted 1/5/90)
Rule 201.1 Permit Conditions in Federally Issued Permits to Construct 
(Adopted 1/5/90)
Rule 202 Temporary Permit to Operate (Adopted 5/7/76)
Rule 203 Permit to Operate (Adopted 1/5/90)
Rule 204 Permit Conditions (Adopted 3/6/92)
Rule 205 Expiration of Permits to Construct (Adopted 1/5/90)
Rule 206 Posting of Permit to Operate (Adopted 1/5/90)
Rule 207 Altering or Falsifying of Permit (Adopted 1/9/76)
Rule 208 Permit for Open Burning (Adopted 1/5/90)
Rule 209 Transfer and Voiding of Permits (Adopted 1/5/90)
Rule 210 Applications (Adopted 1/5/90)
Rule 212 Standards for Approving Permits (Adopted 12/7/95) except (c)(3) 
and (e)
Rule 214 Denial of Permits (Adopted 1/5/90)
Rule 217 Provisions for Sampling and Testing Facilities (Adopted 1/5/90)
Rule 218 Stack Monitoring (Adopted 8/7/81)
Rule 219 Equipment Not Requiring a Written Permit Pursuant to Regulation 
II (Adopted 12/13/96)
Rule 220 Exemption--Net Increase in Emissions (Adopted 8/7/81)
Rule 221 Plans (Adopted 1/4/85)
Rule 301 Permit Fees (Adopted 5/9/97) except (e)(6) and Table IV
Rule 304 Equipment, Materials, and Ambient Air Analyses (Adopted 5/9/97)
Rule 304.1 Analyses Fees (Adopted 5/9/97)
Rule 305 Fees for Acid Deposition (Adopted 10/4/91)
Rule 306 Plan Fees (Adopted 5/9/97)
Rule 309 Fees for Regulation XVI Plans (Adopted 5/9/97)
Rule 401 Visible Emissions (Adopted 4/7/89)
Rule 403 Fugitive Dust (Adopted 2/14/97)
Rule 404 Particulate Matter--Concentration (Adopted 2/7/86)
Rule 405 Solid Particulate Matter--Weight (Adopted 2/7/86)
Rule 407 Liquid and Gaseous Air Contaminants (Adopted 4/2/82)
Rule 408 Circumvention (Adopted 5/7/76)
Rule 409 Combustion Contaminants (Adopted 8/7/81)
Rule 429 Start-Up and Shutdown Provisions for Oxides of Nitrogen 
(Adopted 12/21/90)
Rule 430 Breakdown Provisions, (a) and (e) only (Adopted 7/12/96)
Rule 431.1 Sulfur Content of Gaseous Fuels (Adopted 11/17/95)

[[Page 124]]

Rule 431.2 Sulfur Content of Liquid Fuels (Adopted 5/4/90)
Rule 431.3 Sulfur Content of Fossil Fuels (Adopted 5/7/76)
Rule 441 Research Operations (Adopted 5/7/76)
Rule 442 Usage of Solvents (Adopted 3/5/82)
Rule 444 Open Fires (Adopted 10/2/87)
Rule 463 Organic Liquid Storage (Adopted 3/11/94)
Rule 465 Vacuum Producing Devices or Systems (Adopted 11/1/91)
Rule 468 Sulfur Recovery Units (Adopted 10/8/76)
Rule 473 Disposal of Solid and Liquid Wastes (Adopted 5/7/76)
Rule 474 Fuel Burning Equipment-Oxides of Nitrogen (Adopted 12/4/81)
Rule 475 Electric Power Generating Equipment (Adopted 8/7/78)
Rule 476 Steam Generating Equipment (Adopted 10/8/76)
Rule 480 Natural Gas Fired Control Devices (Adopted 10/7/77); Addendum 
to Regulation IV (Effective 1977)
Rule 518 Variance Procedures for Title V Facilities (Adopted 8/11/95)
Rule 518.1 Permit Appeal Procedures for Title V Facilities (Adopted 8/
11/95)
Rule 518.2 Federal Alternative Operating Conditions (Adopted 1/12/96)
Rule 701 Air Pollution Emergency Contingency Actions (Adopted 6/13/97)
Rule 702 Definitions (Adopted 7/11/80)
Rule 704 Episode Declaration (Adopted 7/9/82)
Rule 707 Radio--Communication System (Adopted 7/11/80)
Rule 708 Plans (Adopted 7/9/82)
Rule 708.1 Stationary Sources Required to File Plans (Adopted 4/4/80)
Rule 708.2 Content of Stationary Source Curtailment Plans (Adopted 4/4/
80)
Rule 708.4 Procedural Requirements for Plans (Adopted 7/11/80)
Rule 709 First Stage Episode Actions (Adopted 7/11/80)
Rule 710 Second Stage Episode Actions (Adopted 7/11/80)
Rule 711 Third Stage Episode Actions (Adopted 7/11/80)
Rule 712 Sulfate Episode Actions (Adopted 7/11/80)
Rule 715 Burning of Fossil Fuel on Episode Days (Adopted 8/24/77)
Regulation IX--New Source Performance Standards (Adopted 1/9/98)
Rule 1106 Marine Coatings Operations (Adopted 1/13/95)
Rule 1107 Coating of Metal Parts and Products (Adopted 3/8/96)
Rule 1109 Emissions of Oxides of Nitrogen for Boilers and Process 
Heaters in Petroleum Refineries (Adopted 8/5/88)
Rule 1110 Emissions from Stationary Internal Combustion Engines 
(Demonstration) (Adopted 11/14/97)
Rule 1110.1 Emissions from Stationary Internal Combustion Engines 
(Adopted 10/4/85)
Rule 1110.2 Emissions from Gaseous- and Liquid-Fueled Internal 
Combustion Engines (Adopted 11/14/97)
Rule 1113 Architectural Coatings (Adopted 11/8/96)
Rule 1116.1 Lightering Vessel Operations-Sulfur Content of Bunker Fuel 
(Adopted 10/20/78)
Rule 1121 Control of Nitrogen Oxides from Residential-Type Natural Gas-
Fired Water Heaters (Adopted 3/10/95)
Rule 1122 Solvent Degreasers (Adopted 7/11/97)
Rule 1123 Refinery Process Turnarounds (Adopted 12/7/90)
Rule 1129 Aerosol Coatings (rescinded 3/8/96)
Rule 1134 Emissions of Oxides of Nitrogen from Stationary Gas Turbines 
(Adopted 8/8/97)
Rule 1136 Wood Products Coatings (Adopted 6/14/96)
Rule 1140 Abrasive Blasting (Adopted 8/2/85)
Rule 1142 Marine Tank Vessel Operations (Adopted 7/19/91)
Rule 1146 Emissions of Oxides of Nitrogen from Industrial, 
Institutional, and Commercial Boilers, Steam Generators, and Process 
Heaters (Adopted 5/13/94)
Rule 1146.1 Emission of Oxides of Nitrogen from Small Industrial, 
Institutional, and Commercial Boilers, Steam Generators, and Process 
Heaters (Adopted 5/13/94)
Rule 1146.2 Emissions of Oxides of Nitrogen from Large Water Heaters and 
Small Boilers (Adopted 1/9/98)
Rule 1148 Thermally Enhanced Oil Recovery Wells (Adopted 11/5/82)
Rule 1149 Storage Tank Degassing (Adopted 7/14/95)
Rule 1168 Adhesive Applications (Adopted 2/13/98)
Rule 1171 Solvent Cleaning Operations (Adopted 9/13/96)
Rule 1173 Fugitive Emissions of Volatile Organic Compounds (Adopted 5/
13/94)
Rule 1176 VOC Emissions from Wastewater Systems (Adopted 9/13/96)
Rule 1301 General (Adopted 12/7/95)
Rule 1302 Definitions (Adopted 12/7/95)
Rule 1303 Requirements (Adopted 5/10/96)
Rule 1304 Exemptions (Adopted 6/14/96)
Rule 1306 Emission Calculations (Adopted 6/14/96)
Rule 1313 Permits to Operate (Adopted 12/7/95)
Rule 1403 Asbestos Emissions from Demolition/Renovation Activities 
(Adopted 4/8/94)
Rule 1605 Credits for the Voluntary Repair of On-Road Vehicles 
Identified Through Remote Sensing Devices (Adopted 10/11/96)
Rule 1610 Old-Vehicle Scrapping (Adopted 5/9/97)
Rule 1612 Credits for Clean On-Road Vehicles (Adopted 9/8/95)

[[Page 125]]

Rule 1620 Credits for Clean Off-Road Mobile Equipment (Adopted 9/8/95)
Rule 1701 General (Adopted 1/6/89)
Rule 1702 Definitions (Adopted 1/6/89)
Rule 1703 PSD Analysis (Adopted 10/7/88)
Rule 1704 Exemptions (Adopted 1/6/89)
Rule 1706 Emission Calculations (Adopted 1/6/89)
Rule 1713 Source Obligation (Adopted 10/7/88)
Regulation XVII Appendix (effective 1977)
Rule 1901 General Conformity (Adopted 9/9/94)
Rule 2000 General (Adopted 4/11/97)
Rule 2001 Applicability (Adopted 2/14/97)
Rule 2002 Allocations for Oxides of Nitrogen (NOX) and Oxides 
of Sulfur (Sox) Emissions (Adopted 2/14/97)
Rule 2004 Requirements (Adopted 7/12/96) except (l)
Rule 2005 New Source Review for RECLAIM (Adopted 2/14/97) except (i)
Rule 2006 Permits (Adopted 12/7/95)
Rule 2007 Trading Requirements (Adopted 12/7/95)
Rule 2008 Mobile Source Credits (Adopted 10/15/93)
Rule 2010 Administrative Remedies and Sanctions (Adopted 10/15/93)
Rule 2011 Requirements for Monitoring, Reporting, and Recordkeeping for 
Oxides of Sulfur (SOX) Emissions (Adopted 4/11/97)
Appendix A Volume IV--(Protocol for oxides of sulfur) (Adopted 3/10/95)
Rule 2012 Requirements for Monitoring, Reporting, and Recordkeeping for 
Oxides of Nitrogen (NOX) Emissions (Adopted 4/11/97)
Appendix A Volume V--(Protocol for oxides of nitrogen) (Adopted 3/10/95)
Rule 2015 Backstop Provisions (Adopted 2/14/97) except (B)(1)(G) and 
(b)(3)(B)
Rule 2100 Registration of Portable Equipment (Adopted 7/11/97)
XXX Title V Permits
Rule 3000 General (Adopted 11/14/97)
Rule 3001 Applicability (Adopted 11/14/97)
Rule 3002 Requirements (Adopted 11/14/97)
Rule 3003 Applications (Adopted 11/14/97)
Rule 3004 Permit Types and Content (Adopted 11/14/97)
Rule 3005 Permit Revisions (Adopted 11/14/97)
Rule 3006 Public Participation (Adopted 11/14/97)
Rule 3007 Effect of Permit (Adopted 10/8/93)
XXXI Acid Rain Permit Program (Adopted 2/10/95)

    (8) The following requirements are contained in Ventura County Air 
Pollution Control District Requirements Applicable to OCS Sources, 
February 2000:

Rule 2 Definitions (Adopted 11/10/98)
Rule 5 Effective Date (Adopted 5/23/72)
Rule 6 Severability (Adopted 11/21/78)
Rule 7 Zone Boundaries (Adopted 6/14/77)
Rule 10 Permits Required (Adopted 6/13/95)
Rule 11 Definition for Regulation II (Adopted 6/13/95)
Rule 12 Application for Permits (Adopted 6/13/95)
Rule 13 Action on Applications for an Authority to Construct (Adopted 6/
13/95)
Rule 14 Action on Applications for a Permit to Operate (Adopted 6/13/95)
Rule 15.1 Sampling and Testing Facilities (Adopted 10/12/93)
Rule 16 BACT Certification (Adopted 6/13/95)
Rule 19 Posting of Permits (Adopted 5/23/72)
Rule 20 Transfer of Permit (Adopted 5/23/72)
Rule 23 Exemptions from Permits (Adopted 7/9/96)
Rule 24 Source Recordkeeping, Reporting, and Emission Statements 
(Adopted 9/15/92)
Rule 26 New Source Review (Adopted 10/22/91)
Rule 26.1 New Source Review--Definitions (Adopted 1/13/98)
Rule 26.2 New Source Review--Requirements (Adopted 1/13/98)
Rule 26.3 New Source Review--Exemptions (Adopted 1/13/98)
Rule 26.6 New Source Review--Calculations (Adopted 1/13/98)
Rule 26.8 New Source Review--Permit To Operate (Adopted 10/22/91)
Rule 26.10 New Source Review--PSD (Adopted 1/13/98)
Rule 28 Revocation of Permits (Adopted 7/18/72)
Rule 29 Conditions on Permits (Adopted 10/22/91)
Rule 30 Permit Renewal (Adopted 5/30/89)
Rule 32 Breakdown Conditions: Emergency Variances, A., B.1., and D. 
only. (Adopted 2/20/79)
Rule 33 Part 70 Permits--General (Adopted 10/12/93)
Rule 33.1 Part 70 Permits--Definitions (Adopted 10/12/93)
Rule 33.2 Part 70 Permits--Application Contents (Adopted 10/12/93)
Rule 33.3 Part 70 Permits--Permit Content (Adopted 10/12/93)
Rule 33.4 Part 70 Permits--Operational Flexibility (Adopted 10/12/93)
Rule 33.5 Part 70 Permits--Time frames for Applications, Review and 
Issuance (Adopted 10/12/93)
Rule 33.6 Part 70 Permits--Permit Term and Permit Reissuance (Adopted 
10/12/93)
Rule 33.7 Part 70 Permits--Notification (Adopted 10/12/93)
Rule 33.8 Part 70 Permits--Reopening of Permits (Adopted 10/12/93)
Rule 33.9 Part 70 Permits--Compliance Provisions (Adopted 10/12/93)
Rule 33.10 Part 70 Permits--General Part 70 Permits (Adopted 10/12/93)
Rule 34 Acid Deposition Control (Adopted 3/14/95)
Rule 35 Elective Emission Limits (Adopted 11/12/96)

[[Page 126]]

Rule 36 New Source Review--Hazardous Air Pollutants (Adopted 10/6/98)
Rule 42 Permit Fees (Adopted 6/22/99)
Rule 44 Exemption Evaluation Fee (Adopted 9/10/96)
Rule 45 Plan Fees (Adopted 6/19/90)
Rule 45.2 Asbestos Removal Fees (Adopted 8/4/92)
Rule 47 Source Test, Emission Monitor, and Call-Back Fees (Adopted 6/22/
99)
Rule 50 Opacity (Adopted 2/20/79)
Rule 52 Particulate Matter-Concentration (Adopted 5/23/72)
Rule 53 Particulate Matter-Process Weight (Adopted 7/18/72)
Rule 54 Sulfur Compounds (Adopted 6/14/94)
Rule 56 Open Fires (Adopted 3/29/94)
Rule 57 Combustion Contaminants--Specific (Adopted 6/14/77)
Rule 60 New Non-Mobile Equipment-Sulfur Dioxide, Nitrogen Oxides, and 
Particulate Matter (Adopted 7/8/72)
Rule 62.7 Asbestos--Demolition and Renovation (Adopted 6/16/92)
Rule 63 Separation and Combination of Emissions (Adopted 11/21/78)
Rule 64 Sulfur Content of Fuels (Adopted 4/13/99)
Rule 67 Vacuum Producing Devices (Adopted 7/5/83)
Rule 68 Carbon Monoxide (Adopted 6/14/77)
Rule 71 Crude Oil and Reactive Organic Compound Liquids (Adopted 12/13/
94)
Rule 71.1 Crude Oil Production and Separation (Adopted 6/16/92)
Rule 71.2 Storage of Reactive Organic Compound Liquids (Adopted 9/26/89)
Rule 71.3 Transfer of Reactive Organic Compound Liquids (Adopted 6/16/
92)
Rule 71.4 Petroleum Sumps, Pits, Ponds, and Well Cellars (Adopted 6/8/
93)
Rule 71.5 Glycol Dehydrators (Adopted 12/13/94)
Rule 72 New Source Performance Standards (NSPS) (Adopted 9/10/96)
Rule 74 Specific Source Standards (Adopted 7/6/76)
Rule 74.1 Abrasive Blasting (Adopted 11/12/91)
Rule 74.2 Architectural Coatings (Adopted 08/11/92)
Rule 74.6 Surface Cleaning and Degreasing (Adopted 11/10/98)
Rule 74.6.1 Cold Cleaning Operations (Adopted 7/9/96)
Rule 74.6.2 Batch Loaded Vapor Degreasing Operations (Adopted 7/9/96)
Rule 74.7 Fugitive Emissions of Reactive Organic Compounds at Petroleum 
Refineries and Chemical Plants (Adopted 10/10/95)
Rule 74.8 Refinery Vacuum Producing Systems, Waste-water Separators and 
Process Turnarounds (Adopted 7/5/83)
Rule 74.9 Stationary Internal Combustion Engines (Adopted 12/21/93)
Rule 74.10 Components at Crude Oil Production Facilities and Natural Gas 
Production and Processing Facilities (Adopted 3/10/98)
Rule 74.11 Natural Gas-Fired Residential Water Heaters-Control of 
NOX (Adopted 4/9/85)
Rule 74.11.1 Large Water Heaters and Small Boilers (Adopted 9/14/99)
Rule 74.12 Surface Coating of Metal Parts and Products (Adopted 9/10/96)
Rule 74.15 Boilers, Steam Generators and Process Heaters (5MM BTUs and 
greater) (Adopted 11/8/94)
Rule 74.15.1 Boilers, Steam Generators and Process Heaters (1-5MM BTUs) 
(Adopted 6/13/95)
Rule 74.16 Oil Field Drilling Operations (Adopted 1/8/91)
Rule 74.20 Adhesives and Sealants (Adopted 1/14/97)
Rule 74.23 Stationary Gas Turbines (Adopted 10/10/95)
Rule 74.24 Marine Coating Operations (Adopted 9/10/96)
Rule 74.24.1 Pleasure Craft Coating and Commercial Boatyard Operations 
(Adopted 11/10/98)
Rule 74.26 Crude Oil Storage Tank Degassing Operations (Adopted 11/8/94)
Rule 74.27 Gasoline and ROC Liquid Storage Tank Degassing Operations 
(Adopted 11/8/94)
Rule 74.28 Asphalt Roofing Operations (Adopted 5/10/94)
Rule 74.30 Wood Products Coatings (Adopted 9/10/96)
Rule 75 Circumvention (Adopted 11/27/78)
Rule 76 Federally Enforceable Limits on Potential to Emit (Adopted 10/
10/95)
Rule 100 Analytical Methods (Adopted 7/18/72)
Rule 101 Sampling and Testing Facilities (Adopted 5/23/72)
Rule 102 Source Tests (Adopted 11/21/78)
Rule 103 Continuous Monitoring Systems (Adopted 2/9/99)
Rule 154 Stage 1 Episode Actions (Adopted 9/17/91)
Rule 155 Stage 2 Episode Actions (Adopted 9/17/91)
Rule 156 Stage 3 Episode Actions (Adopted 9/17/91)
Rule 158 Source Abatement Plans (Adopted 9/17/91)
Rule 159 Traffic Abatement Procedures (Adopted 9/17/91)
Rule 220 General Conformity (Adopted 5/9/95)

                                 Florida

    (1) The following requirements are contained in State of Florida 
Requirements Applicable to OCS Sources, January 11, 1995:
    Florida Administrative Code-Department of Environmental Protection. 
The following sections of Chapter 62:

[[Page 127]]

4.001 Scope of Part I (Adopted 8/31/88)
4.020 Definitions (Adopted 7/11/93)
4.021 Transferability of Definitions (Adopted 8/31/88)
4.030 General Prohibitions (Adopted 8/31/88)
4.040 Exemptions (Adopted 8/31/88)
4.050 Procedure to Obtain Permit; Application, except (4)(b) through 
(4)(l) and 4(r) (Adopted 11/23/94)
4.070 Standards for Issuing or Denying Permits; Issuance; Denial 
(Adopted 3/28/91)
4.080 Modification of Permit Conditions (Adopted 3/19/90)
4.090 Renewals (Adopted 7/11/93)
4.100 Suspension and Revocation (Adopted 8/31/88)
4.110 Financial Responsibility (Adopted 8/31/88)
4.120 Transfer of Permits (Adopted 3/19/90)
4.130 Plant Operation--Problems (Adopted 8/31/88)
4.160 Permit Conditions, except (16) and (17) (Adopted 7/11/93)
4.200 Scope of Part II (Adopted 8/31/88)
4.210 Construction Permits (Adopted 8/31/88)
4.220 Operation Permits for New Sources (Adopted 8/31/88)
4.510 Scope of Part III (Adopted 8/31/88)
4.520 Definitions (Adopted 7/11/90)
4.530 Procedures (Adopted 3/19/90)
4.540 General Conditions for all General Permits (Adopted 8/31/88)
210.100 Purpose and Scope (Adopted 11/23/94)
210.200 Definitions (Adopted 11/23/94)
210.300 Permits Required (Adopted 11/23/94)
210.360 Administrative Permit Corrections (Adopted 11/23/94)
210.370 Reports (Adopted 11/23/94)
210.400 Emission Estimates (Adopted 11/23/94)
210.500 Air Quality Models (Adopted 11/23/94)
210.550 Stack Height Policy (Adopted 11/23/94)
210.600 Enhanced Monitoring (Adopted 11/23/94)
210.650 Circumvention (Adopted 9/25/92)
210.700 Excess Emissions (Adopted 11/23/94)
210.900 Forms (Adopted 11/23/94)
210.980 Severability (Adopted 9/25/92)
212.100 Purpose and Scope (Adopted 2/2/93)
212.200 Definitions (Adopted 2/2/93)
212.300 Sources Not Subject to Prevention of Significant Deterioration 
or Nonattainment Requirements (Adopted 9/25/92)
212.400 Prevention of Significant Deterioration (Adopted 2/2/93)
212.410 Best Available Control Technology (BACT) (Adopted 9/25/92)
212.500 New Source Review for Nonattainment Areas (Adopted 2/2/93)
212.510 Lowest Achievable Emission Rate (LAER) (Adopted 9/25/92)
212.600 Source Specific New Source Review Requirements (Adopted 9/25/92)
212.700 Source Reclassification (Adopted 9/25/92)
256.100 Declaration and Intent (Adopted 11/30/94)
256.200 Definitions (Adopted 11/30/94)
256.300 Prohibitions (Adopted 11/30/94)
256.450 Open Burning Allowed (Adopted 6/27/91)
256.600 Industrial, Commercial, Municipal and Research Open Burning 
(Adopted 8/26/87)
256.700 Open Burning Allowed (Adopted 11/30/94)
272.100 Purpose and Scope (Adopted 11/23/94)
272.200 Definitions (Adopted 11/23/94)
272.300 Ambient Air Quality Standards (Adopted 11/23/94)
272.500 Maximum Allowable Increases (Prevention of Significant 
Deterioration) (Adopted 11/23/94)
272.750 DER Ambient Test Methods (Adopted 9/25/92)
273.200 Definitions (Adopted 9/25/92)
273.300 Air Pollution Episodes (Adopted 9/25/92)
273.400 Air Alert (Adopted 9/25/92)
273.500 Air Warning (Adopted 9/25/92)
273.600 Air Emergency (Adopted 9/25/92)
296.100 Purpose and Scope (Adopted 11/23/94)
296.200 Definitions (Adopted 11/23/94)
296.310 General Particulate Emission Limiting Standards (Adopted 11/23/
94)
296.320 General Pollutant Emission Limiting Standards, except (2) 
(Adopted 2/2/93)
296.330 Best Available Control Technology (BACT) (Adopted 11/23/94)
296.400 Specific Emission Limiting and Performance Standards (Adopted 
11/23/94)
296.500 Reasonably Available Control Technology (RACT)--Volatile Organic 
Compounds (VOC) and Nitrogen Oxides (NOX) Emitting Facilities 
(Adopted 11/23/94)
296.570 Reasonably Available Control Technology (RACT)--Requirements for 
Major VOC- and NOX-Emitting Facilities (Adopted 11/23/94)
296.600 Reasonably Available Control Technology (RACT)--Lead (Adopted 8/
8/94)
296.601 Lead Processing Operations in General (Adopted 8/8/94)
296.700 Reasonably Available Control Technology (RACT)--Particulate 
Matter, except (2)(f) (Adopted 11/23/94)
296.800 Standards of Performance for New Stationary Sources (NSPS) 
(Adopted 11/23/94)
296.810 National Emission Standards for Hazardous Air Pollutants 
(NESHAP)--Part 61 (Adopted 11/23/94)
296.820 National Emission Standards for Hazardous Air Pollutants 
(NESHAP)--Part 63 (Adopted 11/23/94)
297.100 Purpose and Scope (Adopted 11/23/94)
297.200 Definitions (Adopted 11/23/94)
297.310 General Test Requirements (Adopted 11/23/94)
297.330 Applicable Test Procedures (Adopted 11/23/94)
297.340 Frequency of Compliance Tests (Adopted 11/23/94)

[[Page 128]]

297.345 Stack Sampling Facilities Provided by the Owner of an Air 
Pollution Point Source (Adopted 11/23/94)
297.350 Determination of Process Variables (Adopted 11/23/94)
297.400 EPA Methods Adopted by Reference (Adopted 11/23/94)
297.401 EPA Test Procedures (Adopted 11/23/94)
297.411 DER Method 1 (Adopted 11/23/94)
297.412 DER Method 2 (Adopted 12/2/92)
297.413 DER Method 3 (Adopted 12/2/92)
297.414 DER Method 4 (Adopted 12/2/92)
297.415 DER Method 5 (Adopted 11/23/94)
297.416 DER Method 5A (Adopted 12/2/92)
297.417 DER Method 6 (Adopted 11/23/94)
297.418 DER Method 7 (Adopted 12/2/92)
297.419 DER Method 8 (Adopted 12/2/92)
297.420 DER Method 9 (Adopted 11/23/94)
297.421 DER Method 10 (Adopted 12/2/92)
297.422 DER Method 11 (Adopted 12/2/92)
297.423 DER Method 12--Determination of Inorganic Lead Emissions from 
Stationary Sources (Adopted 11/23/94)
297.424 DER Method 13 (Adopted 12/2/92)
297.440 Supplementary Test Procedures (Adopted 11/23/94)
297.450 EPA VOC Capture Efficiency Test Procedures (Adopted 11/23/94)
297.520 EPA Performance Specifications (Adopted 11/23/94)
297.570 Test Report (Adopted 11/23/94)
297.620 Exceptions and Approval of Alternate Procedures and Requirements 
(Adopted 11/23/94)

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

                             North Carolina

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

2D.0101 Definitions (Adopted 12/1/89)
2D.0104 Adoption by Reference Updates (Adopted 10/1/89)
2D.0201 Classification of Air Pollution Sources (Adopted 7/1/84)
2D.0202 Registration of Air Pollution Sources (Adopted 6/1/85)
2D.0303 Emission Reduction Plans (Adopted 7/1/84)
2D.0304 Preplanned Abatement Program (Adopted 7/1/88)
2D.0305 Emission Reduction Plan; Alert Level (Adopted 7/1/84)
2D.0306 Emission Reduction Plan; Warning Level (Adopted 7/1/84)
2D.0307 Emission Reduction Plan; Emergency Level (Adopted 7/1/84)
2D.0401 Purpose (Adopted 10/1/89)
2D.0501 Compliance with Emission Control Standards (Adopted 10/1/89)
2D.0502 Purpose (Adopted 6/1/85)
2D.0503 Particulates from Fuel Burning Indirect Heat Exchanger (Adopted 
6/1/85)
2D.0505 Control of Particulate from Incinerators (Adopted 7/1/87)
2D.0510 Particulates: Sand, Gravel and Crushed Stone Operations (Adopted 
1/1/85)
2D.0511 Particulates, SO2 from Lightweight Aggregate 
Processes (Adopted 10/1/89)
2D.0515 Particulates from Miscellaneous Industrial Processes (Adopted 1/
1/85)
2D.0516 Sulfur Dioxide Emissions Combustion Sources (Adopted 10/1/89)
2D.0518 Miscellaneous Volatile Organic Compound Emissions (Adopted 2/1/
83)
2D.0519 Control of Nitrogen Dioxide Emissions (Adopted 10/1/89)
2D.0520 Control and Prohibition of Open Burning (Adopted 1/1/85)
2D.0521 Control of Visible Emissions (Adopted 8/1/87)
2D.0530 Prevention of Significant Deterioration (Adopted 10/1/89)
2D.0531 Sources in Nonattainment Area (Adopted 12/1/89)
2D.0532 Sources Contributing to an Ambient Violation (Adopted 10/1/89)
2D.0533 Stack Height (Adopted 7/1/87)
2D.0535 Excess Emissions Reporting and Malfunctions, (a) and (f) only. 
(Adopted 5/1/90)
2D.0537 Control of Mercury Emissions (Adopted 6/1/85)
2D.0601 Purpose and Scope (Adopted 7/1/84)
2D.0602 Definitions (Adopted 7/1/84)
2D.0604 Sources Covered by Implementation Plan Requirements (Adopted 7/
1/88)
2D.0606 Other Coal or Residual Oil Burners (Adopted 5/1/85)
2D.0607 Exceptions to Monitoring and Reporting (Adopted 7/1/84)
2D.0901 Definitions (Adopted 12/1/89)
2D.0902 Applicability (Adopted 5/1/90)
2D.0903 Recordkeeping, Reporting, Monitoring (Adopted 12/1/89)
2D.0906 Circumvention (Adopted 1/1/85)
2D.0912 General Provisions on Test Methods and Procedures (Adopted 12/1/
89)
2D.0914 Determination of VOC Emission Control System Efficiency (Adopted 
1/1/85)
2D.0925 Petroleum Liquid Storage (Adopted 12/1/89)
2D.0933 Petroleum Liquid Storage in External Floating Roof Tanks 
(Adopted 12/1/89)
2D.0939 Determination of Volatile Organic Compound Vapor Emissions 
(Adopted 7/1/88)
2D.1101 Purpose (Adopted 5/1/90)
2D.1102 Applicability (Adopted 5/1/90)
2D.1103 Definition (Adopted 5/1/90)
2D.1104 Toxic Air Pollutant Guidelines (Adopted 5/1/90)
2D.1105 Facility Reporting, Recordkeeping (Adopted 5/1/90)
2D.1106 Determination of Ambient Air Concentrations (Adopted 5/1/90)
2D.1107 Multiple Facilities (Adopted 5/1/90)
2D.1108 Multiple Pollutants (Adopted 5/1/90)
2H.0601 Purpose and Scope (Adopted 10/1/89)

[[Page 129]]

2H.0602 Definitions (Adopted 5/1/90)
2H.0603 Applications (Adopted 12/1/89)
2H.0609 Permit Fees (Adopted 8/1/88)
2H.0610 Permit Requirements for Toxic Air Pollutants (Adopted 5/1/90)

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

[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993; 
58 FR 59173, Nov. 8, 1993; 59 FR 17271, Apr. 12, 1994; 59 FR 50846, Oct. 
6, 1994; 60 FR 47293, Sept. 12, 1995; 60 FR 55328, Oct. 31, 1995; 61 FR 
28758, June 6, 1996; 62 FR 41871, Aug.4, 1997; 65 FR 15870, Mar. 24, 
2000; 66 FR 12984, Mar. 1, 2001; 67 FR 14648, Mar. 27, 2002]



PART 56_REGIONAL CONSISTENCY--Table of Contents




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

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

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



Sec. 56.1  Definitions.

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



Sec. 56.2  Scope.

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



Sec. 56.3  Policy.

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



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

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

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

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

[[Page 130]]

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



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

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



Sec. 56.6  Dissemination of policy and guidance.

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



Sec. 56.7  State agency performance audits.

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



PART 57_PRIMARY NONFERROUS SMELTER ORDERS--Table of Contents




                            Subpart A_General

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

[[Page 131]]

              Subpart B_The Application and the NSO Process

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

          Subpart C_Constant Controls and Related Requirements

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

           Subpart D_Supplementary Control System Requirements

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

           Subpart E_Fugitive Emission Evaluation and Control

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

             Subpart F_Research and Development Requirements

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

               Subpart G_Compliance Schedule Requirements

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

 Subpart H_Waiver of Interim Requirement for Use of Continuous Emission 
                          Reduction Technology

57.801 Purpose and scope.
57.802 Request for waiver.
57.803 Issuance of tentative determination; notice.
57.804 Request for hearing; request to participate in hearing.
57.805 Submission of written comments on tentative determination.
57.806 Presiding Officer.
57.807 Hearing.
57.808 Opportunity for cross-examination.
57.809 Ex parte communications.
57.810 Filing of briefs, proposed findings, and proposed 
          recommendations.
57.811 Recommended decision.
57.812 Appeal from or review of recommended decision.
57.813 Final decision.
57.814 Administrative record.
57.815 State notification.
57.816 Effect of negative recommendation.

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

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

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



                            Subpart A_General



Sec. 57.101  Purpose and scope.

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

[[Page 132]]



Sec. 57.102  Eligibility.

    (a) A primary copper, lead, zinc, molybdenum, or other nonferrous 
smelter is eligible for an NSO if it meets the following conditions:
    (1) The smelter was in existence and operating on August 7, 1977;
    (2) The smelter is subject to an approved or promulgated sulfur 
dioxide (SO2) State Implementation Plan (SIP) emission 
limitation which is adequate to ensure that National Ambient Air Quality 
Standards (NAAQS) for SO2 are achieved without the use of any 
unauthorized dispersion techniques; and
    (3) The Administrator determines, based on a showing by the smelter 
owner, that no means of emission limitation applicable to the smelter 
which would enable it to comply with its SIP stack emission limitation 
for SO2 has been adequately demonstrated to be reasonably 
available (taking into account the cost of compliance, nonair quality 
health and environmental impact, and energy considerations) in 
accordance with Sec. 57.201(d)(1).
    (b) For the purposes of these regulations:
    (1) The following means of emission limitation shall be considered 
adequately demonstrated for nonferrous smelters. (Taking into account 
nonair quality health and environmental impact and energy 
considerations, but not the cost of compliance).
    (i) Retrofit control technologies.
    (A) Sulfuric acid plant in conjunction with an adequately 
demonstrated replacement technology or process modification;
    (B) Magnesium oxide (concentration) scrubbing;
    (C) Lime/limestone scrubbing; and
    (D) Ammonia scrubbing.
    (ii) Replacement or process modifications.
    (A) Flash smelting;
    (B) Oxygen enrichment;
    (C) Supplemental sulfur burning in conjunction with acid plant;
    (D) Electric Furnace;
    (E) Noranda process;
    (F) Fluid bed roaster;
    (G) Continuous smelting (Mitsubishi) process; and
    (H) Strong stream/weak stream gas blending.
    (2) Each adequately demonstrated means of emission limitation which 
would enable a smelter to comply with its SIP emission limitation for 
SO2 shall be considered applicable to the smelter unless the 
smelter operator demonstrates that the use of a particular system at 
that smelter is technically unreasonable, for reasons specific to that 
site.
    (3) An applicable means of emission limitation which would enable a 
smelter to comply with its SIP emission limitation for SO2 
shall be considered adequately demonstrated to be reasonably available 
to the smelter (taking into account the cost of compliance) if the 
information submitted under Sec. Sec. 57.107(a) and 57.203(b) (plus any 
necessary supplemental information) shows, according to the criteria, 
procedures, and tests contained in appendix A to this part and in 
accordance with Sec. 57.201(d)(1), that both of the following two tests 
are met.
    (i) The rate of return test. The present value of the smelter's 
future net cash flow (during and after investment in constant control 
technology) is more than book value of the smelter's net investment in 
constant dollars.
    (ii) The profit protection test. The constant control technology 
expenditure reduces the present value of the smelter's forecast pretax 
profits by less than 50%.
    (c) When applying for an NSO, a smelter must establish, for purposes 
of applying the financial eligibility tests, which adequately 
demonstrated constant control technology applicable to that smelter is 
the most economically feasible for use at that smelter.

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



Sec. 57.103  Definitions.

    (a) The Act means the Clean Air Act, as amended.
    (b) Active use refers to an SO2 constant control system 
installed at a smelter before August 7, 1977 and not totally removed 
from regular service by that date.
    (c) Adequate SO2 emission limitation means a SIP emission 
limitation which was approved or promulgated by EPA as adequate to 
attain and maintain the NAAQS in the areas affected by the

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stack emissions without the use of any unauthorized dispersion 
technique.
    (d) Administrative Law Judge means an administrative law judge 
appointed under 5 U.S.C. 3105 (see also 5 CFR part 930, as amended by 37 
FR 16787), and is synonymous with the term ``Hearing Examiner'' as 
formerly used in Title 5 of the U.S. Code.
    (e) The Administrator means the Administrator of the U.S. 
Environmental Protection Agency, or the Administrator's authorized 
representative.
    (f) Ambient air shall have the meaning given by 40 CFR 50.1(e), as 
that definition appears upon promulgation of this subpart, or as 
hereafter amended.
    (g) Ambient air quality refers only to concentrations of sulfur 
dioxide in the ambient air, unless otherwise specified.
    (h) An approved measure refers to one contained in an NSO which is 
in effect.
    (i) Assistant Administrator for Air and Radiation means the 
Assistant Administrator for Air and Radiation of the U.S. Environmental 
Protection Agency.
    (j) Constant controls, control technology, and continuous emission 
reduction technology mean systems which limit the quantity, rate, or 
concentration, excluding the use of dilution, and emissions of air 
pollutants on a continuous basis.
    (k) Effective date of an NSO means the effective date listed in the 
Federal Register publication of EPA's issuance or approval of an NSO.
    (l) EPA and the Agency means the Administrator of the U.S. 
Environmental Protection Agency, or the Administrator's authorized 
representative.
    (m) Fugitive emissions means any air pollutants emitted to the 
atmosphere other than from a stack.
    (n) Issuance of an NSO means the final transmittal of the NSO 
pursuant to Sec. 57.107(a) by an issuing agency (other than EPA) to EPA 
for approval, or the publication of an NSO issued by EPA in the Federal 
Register.
    (o) Issuing agency, unless otherwise specifically indicated, means 
the State or local air pollution control agency to which a smelter's 
owner has applied for an NSO, or which has issued the NSO, or EPA, when 
the NSO application has been made to EPA. Any showings or demonstrations 
required to be made under this part to the issuing agency, when not EPA, 
are subject to independent determinations by EPA.
    (p) Malfunction means any unanticipated and unavoidable failure of 
air pollution control equipment or process equipment or of a process to 
operate in a normal or usual manner. Failures that are caused entirely 
or in part by poor design, poor maintenance, careless operation, or any 
other preventable upset condition or preventable equipment breakdown 
shall not be considered malfunctions. A malfunction exists only for the 
minimum time necessary to implement corrective measures.
    (q) Maximum production capacity means either the maximum 
demonstrated rate at which a smelter has produced its principal metallic 
final product under the process equipment configuration and operating 
procedures prevailing on or before August 7, 1977, or a rate which the 
smelter is able to demonstrate by calculation is attainable with process 
equipment existing on August 7, 1977. The rate may be expressed as a 
concentrate feed rate to the smelter.
    (r) NAAQS and National Ambient Air Quality Standards, unless 
otherwise specified, refer only to the National Primary and Secondary 
Ambient Air Quality Standards for sulfur dioxide.
    (s) Scheduled maintenance means any periodic procedure, necessary to 
maintain the integrity or reliability of emissions control performance, 
which can be anticipated and scheduled in advance. In sulfuric acid 
plants, it includes among other items the screening or replacement of 
catalyst, the re-tubing of heat exchangers, and the routine repair and 
cleaning of gas handling/cleaning equipment.
    (t) Smelter owner and operator means the owner or operator of the 
smelter, without distinction.
    (u) Supplementary control system (SCS) means any technique for 
limiting the concentration of a pollutant in the ambient air by varying 
the emissions of that pollutant according to atmospheric conditions. For 
the purposes of this part, the term supplementary control system does 
not include any dispersion technique based solely on the

[[Page 134]]

use of a stack the height of which exceeds good engineering practice (as 
determined under regulations implementing section 123 of the Act).
    (v) Unauthorized dispersion technique refers to any dispersion 
technique which, under section 123 of the Act and the regulations 
promulgated pursuant to that section, may not be used to reduce the 
degree of emission limitation otherwise required in the applicable SIP.
    (w) Unless otherwise specified in this part, all terms shall have 
the same meaning given them by the Act.

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



Sec. 57.104  Amendment of the NSO.

    An NSO shall be amended whenever necessary for compliance with the 
requirements and purposes of this part.
    (a)(1) Issuance of amendment. A State or local issuing agency may 
issue an amendment of any NSO it has issued. Any amendment issued by a 
State or local issuing agency shall be subject to approval by EPA to the 
same extent as was the original NSO. Any smelter owner may apply to the 
agency which originally issued its NSO for an amendment of the NSO at 
any time. Such an application shall be accompanied by whatever 
documentation is required by that agency (or EPA) to support the 
requested amendment.
    (2)(i) Notwithstanding the requirements of paragraph (a)(1) of this 
section, amendments to SIP compliance schedule interim compliance dates 
in State-issued NSO's need not be submitted for EPA approval if the 
amendment does not delay the interim date by more than three months from 
the date as approved by the Administrator and if the final compliance 
date is unchanged. Delays longer than 3 months shall be handled 
according to the provisions of Sec. 57.104(a)(1).
    (ii) Changes made in accordance with this subparagraph may be 
effective immediately but must be submitted to EPA within seven days. 
EPA will give public notice of receipt of such changes by publication of 
a Notice in the Federal Register.
    (3) In any case in which the issuing agency fails to issue an 
amendment necessary for compliance with the requirements and purposes of 
this part, EPA may, after first giving the issuing Agency notice, issue 
such amendment.
    (b) Revision of SCS Manual. Operation in accordance with the revised 
provisions of an SCS operational manual (see Sec. 57.402(e)) shall not 
be considered a violation of an NSO while the application for approval 
of those revisions as NSO amendments is pending before the issuing 
agency (or EPA) for approval: Provided, that:
    (1) No violations of NAAQS occur in the smelter's Designated 
Liability Area during that time; and
    (2) The smelter operator has not been informed by the issuing agency 
or EPA that its application is not adequately documented, unless such 
deficiency has been remedied promptly.
    (c) Notice and opportunity for hearing. Notice and opportunity for 
public hearing shall be provided before issuance of all major 
amendments.



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

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



Sec. 57.106  Expiration date.

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

[[Page 135]]



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

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



Sec. 57.108  Comparable existing SIP provisions.

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



Sec. 57.109  Maintenance of pay.

    The Administrator will not approve or issue an NSO for any smelter 
unless he has approved or promulgated SIP provisions which are 
applicable to the smelter and which satisfy the requirements of section 
110(a)(6) of the Clean Air Act.



Sec. 57.110  Reimbursement of State or local agency.

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



Sec. 57.111  Severability of provisions.

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



              Subpart B_The Application and the NSO Process



Sec. 57.201  Where to apply.

    Any eligible smelter may apply for an NSO to the appropriate EPA 
Regional Office or to the appropriate State or local air pollution 
control agency.
    (a) When application is made to EPA, all parts of the application 
required to be submitted under this subpart shall be sent directly to 
the Director, Stationary Source Compliance Division (EN-341), U.S. 
Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460, Attention: Confidential Information Unit. In 
addition, the smelter owner shall send a copy of the application, except 
that part required to be submitted under Sec. 57.203(b) (eligibility), 
directly to the appropriate EPA Regional Office.
    (b) When application is made to the appropriate State or local 
agency, the

[[Page 136]]

smelter owner shall submit one complete copy of all parts of the 
application required to be submitted under this subpart to that agency, 
in addition to the application requirements contained in paragraph (a) 
of this section. If the smelter owner is requesting an advance 
eligibility determination pursuant to Sec. 57.203(b), such request must 
be made in writing and shall accompany the copy of the application being 
sent to the Director of the Stationary Source Compliance Division of the 
Environmental Protection Agency.
    (c) If the smelter owner is requesting a waiver of the interim 
constant control requirement of Sec. 57.301, such request must be sent 
directly to the Director, Stationary Source Compliance Division, at the 
time of application, in accordance with Sec. 57.802.
    (d) The NSO Process. (1) A smelter desiring an NSO shall apply for 
an NSO by submitting an application under subpart B including the 
financial information required in appendix A and including the 
information necessary to make the determinations required by this 
subparagraph and Sec. 57.201(d)(2). The issuing agency shall analyze 
the financial information according to the financial eligibility test 
prescribed by subpart A and described in appendix A. The issuing Agency 
shall then determine whether the smelter is able to comply with its SIP 
on or before the date required in the SIP by installing adequately 
demonstrated technology which is reasonably available. See also Sec. 
57.102(a)(3). If the test demonstrates that adequately demonstrated 
technology is not reasonably available to the smelter to allow it to 
comply with the SIP by the required compliance date, the smelter is 
eligible for an NSO.
    (2)(i) If the smelter is determined to be eligible for an NSO under 
paragraph (d)(1) of this section, the issuing Agency shall apply the 
appendix A financial eligibility tests again before issuing an NSO in 
order to determine if the smelter can comply with its SIP requirements 
on or before January 1, 1988 by installing adequately demonstrated 
technology which is reasonably available.
    (ii) If application of the tests shows that the smelter could comply 
by or before January 1, 1988, the issuing agency shall notify the 
smelter of this determination, and shall not issue an NSO to the smelter 
unless the NSO contains a SIP compliance schedule meeting the 
requirements of Sec. 57.705. Such a compliance schedule must provide 
for compliance with the smelter's SO2 SIP as expeditiously as 
practicable and in no case later than January 1, 1988. A smelter must 
submit to the issuing agency information necessary to determine a 
compliance schedule meeting the requirements of Sec. 57.705. This 
information shall be submitted by a smelter within thirty days after the 
smelter is notified by the issuing agency that a SIP compliance schedule 
is required. The Administrator may consider an NSO application to be 
withdrawn for SIP enforcement purposes if a smelter fails to submit such 
information within the time required under this paragraph.
    (iii) If no adequately demonstrated technology is found to be 
reasonably available to enable a smelter to comply by January 1, 1988, 
it would be excused from the compliance schedule requirement in Sec. 
57.201(d)(2)(ii), but it would be subject to reevaluation of its ability 
to comply by that date at any time during the term of the NSO. (See 
Sec. 57.201(d)(3)).
    (3) At any time during the term of an NSO which does not contain a 
SIP compliance schedule, EPA or the issuing agency may reevaluate the 
availability of technology to the smelter. If EPA or the issuing agency 
determines that adequately demonstrated technology is reasonably 
available to permit the smelter to comply with its SIP by or before 
January 1, 1988, the NSO shall be amended within 3 months time after 
such determination. The amendment shall require compliance with all SIP 
requirements by or before January 1, 1988, and shall include a 
compliance schedule meeting the requirements of Sec. 57.705. The 
determination that adequately demonstrated technology is reasonably 
available shall be made by reapplying the same appendix A financial 
eligibility tests required by subpart B, updated by economic data 
reflecting current operating conditions and currently demonstrated 
control technology. Any such determination and amendment

[[Page 137]]

shall be governed by the provisions of this part and section 119 of the 
Clean Air Act.
    (4) Notice and opportunity for public hearing in accordance with 
section 119 of the Clean Air Act must be provided before issuance of any 
NSO.
    (e) A smelter that does not have any constant SO2 
controls or whose existing constant SO2 controls when in full 
operation and optimally maintained are not sufficient to treat all 
strong SO2 streams may apply for a waiver of the requirements 
of subpart C to install interim constant controls by submitting an 
application under subpart H. A waiver may be granted only with respect 
to the requirement to eliminate bypass of constant controls through the 
installation of new constant control equipment, not with respect to the 
requirements for optimum maintenance and operation of existing 
equipment. EPA shall then determine the smelter's ability to afford 
installation of the required additional interim constant SO2 
control equipment at the smelter based on financial eligibility 
information analyzed according to the financial test prescribed in 
appendix A. A waiver of the requirement for additional interim constant 
controls will be granted if EPA determines in accordance with the 
procedures of subpart H that imposition of this requirement would 
necessitate closure of the smelter for at least one year.



Sec. 57.202  How to apply.

    (a) Letter of intent. To initiate an application for an NSO, the 
owner or operator of a smelter shall send a letter of intent to an 
appropriate air pollution control agency. The letter of intent shall 
contain a statement of the owner's intent to apply for an NSO, and an 
agreement to provide any information required under this part. The 
letter of intent shall be signed by a corporate official authorized to 
make such commitments. Upon receipt of any letter of intent by the 
issuing agency, the SIP emission limitation for sulfur dioxide, as to 
that applicant, shall be deemed suspended for 60 days. The 60 day 
suspension may be extended for good cause at the discretion of the 
Administrator.
    (b) Complete application. (1) Within the period referred to in 
paragraph (a) of this section, the smelter owner shall submit its 
completed application pursuant to Sec. 57.201. Receipt of all parts of 
a substantially complete application postmarked within the original or 
extended application period shall be deemed to continue the suspension 
of the SIP emission limitation for SO2 until the issuing 
agency issues or declines to issue an NSO. This suspension shall in all 
cases terminate, however, 90 days after receipt of the substantially 
completed application, unless extended for good cause at the discretion 
of the Administrator. If, in the Administrator's judgment, good faith 
effort has been made to submit a complete application, additional time 
may be granted to allow for correction of minor deficiencies.
    (2) If an issuing agency transmits an NSO to EPA for approval before 
the expiration of the suspension of the Federal SIP emission limitation, 
the suspension shall continue until EPA approves or disapproves the NSO.



Sec. 57.203  Contents of the application.

    (a) Claim of confidentiality. The smelter owner may make a business 
confidentiality claim covering all or part of the information in the NSO 
application in accordance with 40 CFR part 2, subpart B (41 FR 36906 et 
seq., Sept. 1, 1976 as amended by 43 FR 39997 et seq., Sept. 8, 1978). A 
claim is effective only if it is made at the time the material is 
submitted to the issuing agency or EPA. A claim shall be made by 
attaching to the information a notice of confidentiality. Information 
claimed as confidential will be handled by EPA under the provisions of 
40 CFR part 2, subpart B. If no claim accompanies the information, it 
may be made available to the public without further notice.
    (b) Each smelter owner shall make the showing required by Sec. 
57.102(a)(3) by completing and submitting appendix A to this part and 
any necessary supplemental information to the issuing agency as a part 
of its application. Each smelter shall also submit as part of its 
application the information which, in conjunction with the information 
required by appendix A, is necessary for the issuing agency to make

[[Page 138]]

the determination required by Sec. 57.201(d)(2). Any smelter owner or 
State may, at its option, simultaneously submit this material to EPA for 
an advance eligibility determination.
    (c) Current operating information. A complete NSO application shall 
also contain the following information:
    (1) A process flow diagram of the smelter, including current process 
and instrumentation diagrams for all processes or equipment which may 
emit or affect the emission of sulfur dioxide; the characteristics of 
all gas streams emitted from the smelter's process equipment (flow 
rates, temperature, volumes, compositions, and variations over time); 
and a list of all monitoring data and strip charts, including all data, 
charts, logs or sheets kept with respect to the operation of any process 
equipment which may emit or affect the emission of sulfur dioxide;
    (2) The smelter's maximum daily production capacity (as defined in 
Sec. 57.103(r)), the operational rate (in pounds of concentrate charged 
to the smelting furnace per hour) of each major piece of process 
equipment when the smelter is operating at that capacity; and the 
smelter's average and maximum daily production rate for each product, 
co-product, or by-product, by year, for the past four years;
    (3) The optimal conversion efficiency (defined in terms of percent 
of total SO2 removed from the input flow stream) of any acid 
plant or other sulfur dioxide control system under the normal process 
operating conditions (excluding malfunctions) most conducive to optimal 
conversion efficiency;
    (4) The average conversion efficiency of any acid plant or other 
sulfur dioxide control system during normal process operations 
(excluding malfunctions), by month, during the past four years.
    (5) The percent of the time the acid plant or other control system 
was available for service during each month for the past four years, 
excluding downtime for scheduled maintenance, and a full explanation of 
any major or recurring problems with the system during that time;
    (6) The frequency and duration of times during the past four years 
when the SO2 system was unavailable because of scheduled 
maintenance of the system;
    (7) A description of all scheduled, periodic, shutdowns of the 
smelter during the past four years, including their purpose, frequency 
and duration; and the same information with respect to unscheduled 
shutdowns;
    (8) The gas volume, rates, and SO2 concentration which 
the control system was actually designed to accommodate, taking into 
account any modifications made after its installation;
    (9) The average monthly sulfur balance across the process and 
control equipment, including fugitive emissions, for the past 4 years; 
and
    (10) A description of engineering techniques now in use at the 
smelter to prevent the release of fugitive emissions into the atmosphere 
at low elevations.
    (d) The smelter owner's proposals. The smelter owner shall submit as 
part of its application, draft NSO provisions which would implement the 
requirements of subparts C through G of this part. The issuing agency 
may use these proposals as the basis for any NSO that may be granted, or 
may modify these proposals in any way it deems necessary in order to 
comply with the requirements of this part.
    (e) A smelter may submit as part of its application, information 
necessary to determine any SIP compliance schedule which might be 
required under Sec. 57.201(d)(2).
    (f) Additional information. The smelter owner shall designate in its 
application a corporate officer responsible and authorized to supply 
supplemental technical and economic information and explanations as 
required by the issuing agency during the formulation of the NSO. 
Failure to supply such information and explanations shall constitute a 
failure to submit a complete application.
    (g) Request for a waiver of constant controls. Any request for a 
waiver of the requirement interim constant control of all strpmg streams 
of Sec. 57.301 shall be made in accordance with Sec. 57.802. The 
criteria and procedures for granting the waiver are governed by subpart 
H of this part.

[[Page 139]]

    (h) Unless a smelter applies for a waiver in accordance with subpart 
H, a smelter shall submit as part of its application a proposed schedule 
for compliance with the interim constant control requirements of subpart 
C which satisfies the requirements of Sec. 57.702.



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

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



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

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

[[Page 140]]

issuing agency does not make any determination and amendment required by 
this section within the time contemplated by Sec. 57.202(a).



          Subpart C_Constant Controls and Related Requirements



Sec. 57.301  General requirements.

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



Sec. 57.302  Performance level of interim constant controls.

    (a) Maximum feasible efficiency. Each NSO shall require: that the 
smelter operate its interim constant control systems at their maximum 
feasible efficiency, including the making of any improvements necessary 
to correct the effects of any serious deficiencies; that the process and 
control equipment be maintained in the way best designed to ensure such 
operation; and that process operations be scheduled and coordinated to 
facilitate treatment of process gas streams to the maximum possible 
extent. Maximum feasible efficiency shall be expressed in the NSO in the 
form of a limitation on the concentration of SO2 in the tail 
gas of each individual control system in combination with an appropriate 
averaging period, as provided below in paragraphs (b) and (c) of this 
section.
    (b) The limitation level for SO2 concentration in the 
control system tail gas. The level at which the concentration limitation 
is set shall take into account fluctuations in the strength and volume 
of process off-gases to the extent that those fluctuations affect the 
SO2 content of the tail gas and cannot be avoided by improved 
scheduling and coordination of process operations. The limitation shall 
exclude the effect of any increase in emissions caused by process or 
control equipment malfunction. The limitation shall take into account 
unavoidable catalyst deterioration in sulfuric acid plants, but may 
prescribe the frequency of catalyst screening or replacement. The NSO 
shall also prohibit the smelter owner from using dilution air to meet 
the limitation.
    (c) Averaging period. (1) The averaging period shall be derived in 
combination with the concentration limitation and shall take into 
account the same factors described in paragraph (b). The averaging 
period established under this paragraph should generally not exceed the 
following:
    (i) For sulfuric acid plants on copper smelters, 12-hour running 
average;
    (ii) For sulfuric acid plants on lead smelters, 6-hour running 
average;
    (iii) For sulfuric acid plants on zinc smelters, 2-hour running 
average;
    (iv) For dimethylaniline (DMA) scrubbing units on copper smelters, 
2-hour running average.
    (2) A different averaging period may be established if the applicant 
demonstrates that such a period is necessary in order to account for the 
factors described in paragraph (b) of this section: Provided, that the 
period is enforceable and satisfies the criteria of paragraph (a) of 
this section.
    (d) Improved performance. (1) The performance level representing 
maximum feasible efficiency for any existing control system (e.g., a 
sulfuric acid plant or a DMA scrubber) shall require the correction of 
the effects of any serious

[[Page 141]]

deficiencies in the system. For the purpose of this paragraph, at least 
the following problems shall constitute serious deficiencies in acid 
plants:
    (i) Heat exchangers and associated equipment inadequate to sustain 
efficient, autothermal operation at the average gas strengths and 
volumes received by the acid plant during routine process equipment 
operation;
    (ii) Failure to completely fill all available catalyst bed stages 
with sufficient catalyst;
    (iii) Inability of the gas pre-treatment system to prevent unduly 
frequent plugging or fouling (deterioration) of catalyst or other 
components of the acid plant; or
    (iv) Blower capacity inadequate to permit the treatment of the full 
volume of gas which the plant could otherwise accommodate, or in-leakage 
of air into the flues leading to the plant, to the extent that this 
inadequacy results in bypassing of gas around the plant.
    (2) Notwithstanding any contrary provisions of Sec. 57.304(c) 
(malfunction demonstration), no excess emissions (as defined in Sec. 
57.304(a)) shall be considered to have resulted from a malfunction in 
the constant control system if the smelter owner has not upgraded 
serious deficiencies in the constant control system in compliance with 
the requirements of Sec. 57.302(d)(1), unless the smelter owner 
demonstrates under Sec. 57.304(c) that compliance with those 
requirements would not have affected the magnitude of the emission.
    (e) Multiple control devices. (1) At any smelter where off-gas 
streams are treated by various existing control systems (e.g., multiple 
acid plants or a DMA scrubber and an acid plant), the NSO shall require 
the use of those systems in the combination that will result in the 
maximum feasible net SO2 removal.
    (2) To the extent that compliance with this requirement is 
demonstrated by the smelter operator to result in excess emissions 
during unavoidable start up and shut down of the control systems, those 
excess emissions shall not constitute violations of the NSO.



Sec. 57.303  Total plantwide emission limitation.

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



Sec. 57.304  Bypass, excess emissions and malfunctions.

    (a) Definition of excess emissions. For the purposes of this 
subpart, any emissions greater than those permitted by the NSO 
provisions established under Sec. 57.302 (performance level of interim 
constant controls) or Sec. 57.303 (plantwide emission limitation) of 
this subpart shall constitute excess emissions. Emission of any gas 
stream identified under Sec. 57.301 (a), (b), (c), (d) or (e) of this 
subpart that is not treated by a sulfur dioxide constant control system 
shall also constitute an excess emission under this subpart.
    (b) The excess emission report. Each NSO shall require the smelter 
to report all excess emissions to the issuing agency, as provided in 
Sec. 57.305(b). The report shall include the following:
    (1) Identity of the stack or other emission points where the excess 
emissions occurred;
    (2) Magnitude of the excess emissions expressed in the units of each 
applicable emission limitation, as well as the operating data, 
documents, and calculations used in determining the magnitude of the 
excess emissions;

[[Page 142]]

    (3) Time and duration of the excess emissions;
    (4) Identity of the equipment causing the excess emissions;
    (5) Nature and cause of such excess emissions;
    (6) Steps taken to limit the excess emissions, and when those steps 
were commenced;
    (7) If the excess emissions were the result of a malfunction, the 
steps taken to remedy the malfunction and to prevent the recurrence of 
such malfunction; and
    (8) At the smelter owner's election, the demonstration specified in 
paragraph (c) of this section.
    (c) Malfunction demonstration. Except as provided in Sec. 
57.302(e)(2) or in paragraph (d) or (e) of this section, any excess 
emission shall be a violation of the NSO unless the owner demonstrates 
in the excess emissions report required under paragraph (b) of this 
section that the excess emission resulted from a malfunction (or an 
unavoidable start up and shut down resulting from a malfunction) and 
that:
    (1) The air pollution control systems, process equipment, or 
processes were at all times maintained and operated, to the maximum 
extent practicable, in a manner consistent with good practice for 
minimizing emissions;
    (2) Repairs were made as expeditiously as practicable, including the 
use of off-shift labor and overtime;
    (3) The amount and duration of the excess emissions were minimized 
to the maximum extent practicable during periods of such emissions; and
    (4) The excess emissions were not part of a recurring pattern 
indicative of serious deficiencies in, or inadequate operation, design, 
or maintenance of, the process or control equipment.
    (d) Scheduled maintenance exception. Excess emissions occurring 
during scheduled maintenance shall not constitute violations of the NSO 
to the extent that:
    (1) The expected additional annual sulfur dioxide removal by any 
control system (including associated process changes) for which 
construction had not commenced (as defined in 40 CFR 60.2 (g) and (i)) 
as of August 7, 1977 and which the smelter owner agrees to install and 
operate under subpart F, would have offset such excess emissions if the 
system had been in operation throughout the year in which the 
maintenance was performed;
    (2) The system is installed and operated as provided in the NSO 
provisions established under subpart F; and
    (3) The system performs at substantially the expected efficiency and 
reliability subsequent to its initial break-in period.
    (e) An NSO may provide that excess emissions which occur during acid 
plant start-up as the result of the cooling of acid plant catalyst due 
to the unavailability of process gas to an acid plant during a prolonged 
SCS curtailment or scheduled maintenance are not excess emissions. If 
the NSO does so provide, it shall also require the use of techniques or 
practices designed to minimize these excess emissions, such as the 
sealing of the acid plant during prolonged curtailments, the use of 
auxiliary heat or SO2 injected during the curtailment, or the 
preheating of the acid plant before start-up of the process equipment it 
serves.
    (f) Requirements for a smelter with constant controls that applies 
for a waiver.
    (1) If a smelter that has some interim constant controls applies for 
a waiver in accordance with subpart H, the following requirements shall 
apply pending action on the waiver application and following final 
action granting or approving a waiver:
    (i) The NSO shall require the smelter to implement maintenance and 
operation measures designed to reduce to the maximum extent feasible the 
potential for bypass of existing interim constant controls.
    (ii) Upon application for a waiver under subpart H, the smelter 
shall submit to the issuing agency for its approval and to EPA proposed 
maintenance and operation measures for compliance with the requirements 
of paragraph (i).
    (iii) The remainder of this subpart shall apply except that: (A) The 
emission limitations required under this subpart shall be based only on 
existing constant control equipment as upgraded through the improved 
maintenance and operation required by this paragraph, and (B) bypass of 
existing

[[Page 143]]

controls shall not constitute excess emissions, provided the maintenance 
and operation requirements and emission limitations prescribed by the 
NSO are satisfied.
    (2) After any denial of a waiver by the issuing Agency, or any 
disapproval by EPA of a waiver granted by the issuing agency, the NSO 
shall be amended consistent with the requirements of this subpart and 
Sec. 57.702.



Sec. 57.305  Compliance monitoring and reporting.

    (a) Monitoring. (1) Each NSO shall require compliance with the 
control system performance requirements established pursuant to this 
subpart to be determined through the use of continuous monitors for 
measuring SO2 concentration.
    (i) Such monitors must be installed, operated and maintained in 
accordance with the performance specifications and other requirements 
contained in appendix D to 40 CFR part 52 or part 60. The monitors must 
take and record at least one measurement of SO2 concentration 
from the effluent of each control system in each 15-minute period. 
Failure of the monitors to record at least 95% of the 15-minute periods 
in any 30-day period shall constitute a violation of the NSO.
    (ii) The sampling point shall be located at least 8 stack diameters 
(diameter measured at sampling point) downstream and 2 diameters 
upstream from any flow disturbance such as a bend, expansion, 
constriction, or flame, unless another location is approved by the 
Administrator.
    (iii) The sampling point for monitoring emissions shall be in the 
duct at the centroid of the cross section if the cross sectional area is 
less than 4.645m2 (50 ft2) or at a point no closer 
to the wall than 0.914m (3 ft) if the cross sectional area is 
4.645m2 (50 ft2) or more. The monitor sample point 
shall be in an area of small spatial concentration gradient and shall be 
representative of the concentration in the duct.
    (iv) The measurement system(s) installed and used pursuant to this 
paragraph shall be subject to the manufacturer's recommended zero 
adjustment and calibration procedures at least once per 24-hour 
operating period unless the manufacturer specifies or recommends 
calibration at shorter intervals, in which case such specifications or 
recommendations shall be followed. Records of these procedures shall be 
made which clearly show instrument readings before and after zero 
adjustment and calibration.
    (2) Each NSO shall require the monitoring of any ducts or flues used 
to bypass gases, required under this subpart to be treated by constant 
controls, around the smelter's sulfur dioxide constant control system(s) 
for ultimate discharge to the atmosphere. Such monitoring shall be 
adequate to disclose the time of the bypass, its duration, and the 
approximate volume and SO2 concentration of gas bypassed.
    (b) Reporting. (1) Each NSO shall require that the smelter maintain 
a record of all measurements required under paragraph (a) of this 
section. Results shall be summarized monthly and shall be submitted to 
the issuing agency within 15 days after the end of each month. The 
smelter owner shall retain a record of such measurements for one year 
after the NSO period terminates.
    (2) Each NSO shall require that the smelter maintain a record of all 
measurements and calculations required under Sec. 57.303(b). Results 
shall be summarized on a monthly basis and shall be submitted to the 
issuing agency at 6-month intervals. The smelter owner shall retain a 
record of such measurements and calculations for at least one year after 
the NSO terminates.
    (3) The report required under Sec. 57.304(b) shall accompany the 
report required under paragraph (b)(1) of this section.
    (c) Quality assurance and continuous data--(1) Quality assurance. 
Each NSO shall require that the smelter submit a plan for quality 
assurance to the issuing agency for approval and that all monitoring 
performed by continuous monitors shall be verified for quality assurance 
by the smelter. Such plans must follow current EPA guidelines for 
quality assurance, in order to be approvable.
    (2) Continuous data. Manual source testing methods equivalent to 40 
CFR part 60, appendix A shall be used to determine compliance if the 
continuous monitoring system malfunctions.

[[Page 144]]



           Subpart D_Supplementary Control System Requirements



Sec. 57.401  General requirements.

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



Sec. 57.402  Elements of the supplemen tary control system.

    Each supplementary control system shall contain the following 
elements:
    (a) Air quality monitoring network. An approvable SCS shall include 
the use of appropriate ambient air quality monitors to continuously 
measure the concentration of sulfur dioxide in the air in the smelter's 
DLA.
    (1) The monitors shall be located at all points of expected 
SO2 concentrations necessary to anticipate and prevent 
possible violations of NAAQS anywhere in the smelter's DLA. The 
determination of the locations where such concentrations may occur shall 
take into account all recorded or probable meteorological and operating 
conditions (including bypassing of control equipment), as well as the 
presence of other sources of SO2 significantly affecting 
SO2 concentrations in the DLA.
    (2) The number and location of sites shall be based on dispersion 
modeling, measured ambient air quality data, meteorological information, 
and the results of the continuing review required by paragraph (f) of 
this section. The system shall include the use of at least 7 fixed 
monitors unless the issuing agency determines, on the basis of a 
demonstration by the smelter owner, that the use of fewer monitors would 
not limit coverage of points of high SO2 concentration or 
otherwise reduce the capability of the smelter owner to prevent any 
violations of the NAAQS in the smelter's DLA.
    (3) All monitors shall be continuously operated and maintained and 
shall meet the performance specifications contained in 40 CFR part 53. 
The monitors shall be capable of routine real time measurement of 
maximum expected SO2 concentrations for the averaging times 
of SO2 NAAQS.
    (b) Meteorological network. The SCS must have a meteorological 
assessment capability adequate to predict and identify local conditions 
requiring emission curtailment to prevent possible violations of the 
NAAQS. The meteorological assessment capability shall provide all 
forecast and current information necessary for successful use of the SCS 
operational manual required by paragraph (e) of this section.
    (c) Designated liability area. The system shall be required to 
prevent all violations of the NAAQS within the smelter's DLA. The DLA of 
any smelter is the area within which the smelter's emissions may cause 
or significantly contribute to violations of the NAAQS for 
SO2 when the smelter is operating at its maximum production 
capacity under any recorded or probable meterological conditions. The 
boundaries of that area shall be specified in the NSO.
    (1) Unless an acceptable demonstration is made under paragraph 
(c)(2) of this section, the DLA shall be a circle with a center point at 
the smelter's tallest stack and a minimum radius as given in the 
following table:

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

    (2) The NSO may provide for a DLA with different boundaries if the 
smelter owner can demonstrate through the use of appropriate dispersion 
modeling and ambient air quality monitoring data that the smelter's 
controlled emissions could not cause or significantly contribute to a 
violation of the NAAQS beyond the boundaries of such a different area 
under any recorded or probable meteorological conditions.
    (3) A violation of the NAAQS in the DLA of any smelter shall 
constitute a violation of that smelter's NSO, unless the issuing agency 
determines on the basis of a showing by the smelter

[[Page 145]]

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

Such plans may, but need not, include the operation of a joint SCS 
system. Each NSO shall require adherence by the NSO applicant owner to 
the joint plan for emission curtailment and allocation of liability, 
unless the issuing agency determines, pursuant to the provisions of 
paragraph (c)(2) of this section, that the NSO applicant's DLA does not 
overlap with that of any other smelter.
    (2) In the case of any NSO applicant that would have a DLA which 
would overlap with the DLA of any other smelter whose owner has not 
applied for an NSO (and does not have an NSO in effect), the NSO 
applicant's submittal shall contain a written consent, signed by a 
corporate official empowered to do so. The consent shall state that if, 
at any time thereafter, the owner of the other smelter applies for an 
NSO, and the other smelter's DLA would overlap with the NSO applicant's 
DLA, the NSO applicant will negotiate and submit an enforceable joint 
plan for emission curtailment and allocation of liability (as described 
in paragraph (d)(1) of this section). In determining whether it is 
necessary to submit such a consent, each smelter's DLA shall be 
calculated according to the table set forth in paragraph (c)(1) of this 
section. The consent shall state that a joint plan shall be submitted 
within 90 days of the issuing agency's notification to the NSO applicant 
of receipt of the other smelter's letter of intent, unless the issuing 
agency determines that the DLAs do not overlap. Failure of the NSO 
applicant to submit such a plan shall constitute grounds for denial of 
its NSO application or a violation of an effective NSO, as applicable.
    (e) The SCS operational manual. Each NSO shall require the smelter 
to be operated in accordance with the provisions of an SCS operational 
manual approved by the issuing agency. The SCS operational manual shall 
describe the circumstances under which, the extent to which, and the 
procedures through which emissions shall be curtailed to prevent 
violations of the NAAQS in the smelter's DLA. Failure to curtail 
emissions when and as much as indicated by the manual or to follow the 
provisions of the manual implementing the requirements of paragraph 
(e)(3) of this section shall constitute a violation of the NSO.
    (1) The operational manual shall prescribe emission curtailment 
decisions

[[Page 146]]

based on the use of real time information from the air quality 
monitoring network dispersion model estimates of the effect of emissions 
on air quality, and meteorological observations and predictions.
    (2) The operational manual shall also provide for emission 
curtailment to prevent violation of the NAAQS within the smelter's DLA 
which may be caused in part by stack emissions, and to the extent 
practicable fugitive emissions, from any other source (unless that other 
source is a smelter subject to an NSO).
    (3) The SCS operational manual shall include (but not be limited 
to):
    (i) A clear delineation of the authority of the SCS operator to 
require all other smelter personnel to implement the operator's 
curtailment decisions;
    (ii) The maintenance and calibration procedures and schedules for 
all SCS equipment;
    (iii) A description of the procedures to be followed for the regular 
acquisition of all meteorological information necessary to operate the 
system;
    (iv) The ambient concentrations and meteorological conditions that 
will be used as criteria for determining the need for various degrees of 
emission curtailment;
    (v) The meteorological variables as to which judgments may be made 
in applying the criteria stated pursuant to paragraph (e)(3)(iv) of this 
section;
    (vi) The procedures through which and the maximum time period within 
which a curtailment decision will be made and implemented by the SCS 
operator;
    (vii) The method for immediately evaluating the adequacy of a 
particular curtailment decision, including the factors to be considered 
in that evaluation;
    (viii) The procedures through which and the time within which 
additional necessary curtailment will immediately be effected; and
    (ix) The procedures to be followed to protect the NAAQS in the event 
of a mechanical failure in any element of the SCS.
    (f) Continuing review and improvement of the SCS. Each NSO shall 
require the smelter owner to conduct an active program to continuously 
review the design and operation of the SCS to determine what measures 
may be available for improving the performance of the system. Among the 
elements of this program shall be measures to locate and examine 
possible places both inside and outside the DLA where unmonitored NAAQS 
violations may be occurring. Such measures shall include the use of 
modeling as appropriate and mobile ambient air quality monitors, 
following up on information and complaints from members of the public, 
and other appropriate activities. The NSO shall also require the 
submission of a semi-annual report to the issuing agency detailing the 
results of this review and specifying measures implemented to prevent 
the recurrence of any violations of NAAQS.



Sec. 57.403  Written consent.

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

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

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

[[Page 147]]



Sec. 57.404  Measurements, records, and reports.

    (a) Measurements. Each NSO shall require the smelter owner to 
install, operate, and maintain a measurement system(s) for continuously 
monitoring sulfur dioxide emissions and stack gas volumetric flow rates 
in each stack (except a stack used exclusively for bypassing control 
equipment) which could emit 5 percent or more of the smelter's total 
potential (uncontrolled) hourly sulfur dioxide emissions.
    (1) Such monitors shall be installed, operated, and maintained in 
accordance with the performance specifications and other requirements 
contained in appendices D and E to 40 CFR part 52. The monitors must 
take and record at least one measurement of sulfur dioxide concentration 
and stack gas flow rate from the effluent of each affected stack in each 
fifteen-minute period. (The NSO shall require the smelter operator to 
devise and implement any procedures necessary for compliance with these 
performance specifications.)
    (2) The sampling point shall be located at least eight stack 
diameters (diameter measured at sampling point) downstream and two 
diameters upstream from any flow disturbance such as a bend, expansion, 
constriction, or flame, unless another location is approved by the 
Administrator.
    (3) The sampling point for monitoring emissions shall be in the duct 
at the centroid of the cross section if the cross sectional area is less 
than 4.645 m2 (50 ft 2) or at a point no closer to 
the wall than 0.914m (3 ft) if the cross sectional area is 4.645 
m2 (50 ft2) or more. The monitor sample point 
shall be in an area of small spatial concentration gradient and shall 
provide a sample which is representative of the concentration in the 
duct.
    (4) The measurement system(s) installed and used pursuant to this 
paragraph shall be subject to the manufacturer's recommended zero 
adjustment and calibration procedures at least once per 24-hour 
operating period unless the manufacturer specifies or recommends 
calibration at shorter intervals, in which case such specifications or 
recommendations shall be followed. Records of these procedures shall be 
made which clearly show instrument readings before and after zero 
adjustment and calibration.
    (5) The results of such monitoring, calibration, and maintenance 
shall be submitted in the form and with the frequency specified in the 
NSO.
    (b) Records. Each NSO shall require the smelter owner to maintain 
records of the air quality measurements made, meteorological information 
acquired, emission curtailment ordered (including the identity of the 
persons making such decisions), and calibration and maintenance 
performed on SCS monitors during the operation of the SCS. These records 
shall be maintained for the duration of the NSO.
    (c) Reports. Each NSO shall require the smelter owner to:
    (1) Submit a monthly summary indicating all places and times at 
which the NAAQS for SO2 were violated in the smelter's DLA, 
and stating the SO2 concentrations at such times;
    (2) Immediately notify EPA and the State agency any time 
concentrations of SO2 in the ambient air in the smelter's DLA 
reaches 0.3 part per million (800 micrograms/cubic meter), 24-hour 
average, or exceed the warning stage in any more stringent emergency 
plan in the applicable State Implementation Plan; and
    (3) Make such other reports as may be specified in the NSO.



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

    (a) SCS content of the application. The requirements of Sec. 
57.203(d) shall be satisfied with respect to this subpart as follows:
    (1) Each NSO application shall include a complete description of any 
supplementary control system in operation at the smelter at the time of 
application and a copy of any SCS operational manual in use with that 
system.
    (2) Each NSO application shall contain proposed NSO provisions for 
compliance with the requirements of Sec. Sec. 57.401, 57.402 (c), (d), 
and (f), 57.403, 57.404, and 57.405 (b)(2).
    (3) Each NSO application shall include a specific plan for the 
development of a system fulfilling the requirements of Sec. 57.402(a), 
(b), and (e) (covering air quality monitoring network,

[[Page 148]]

meteorological network, and the SCS operational manual).
    (b) SCS content of the order. (1) Each NSO shall include an approved 
version of the plan described in paragraph (a)(3) of this section and 
shall provide increments of progress towards its completion. Each NSO 
shall require, upon completion of the measures specified in the approved 
plan, submission of a report which describes each element of the SCS and 
explains why the elements satisfy the requirements of the plan and 
submission of a copy of the SCS operational manual developed under the 
plan.
    (2) Each NSO shall require the submission of a final report, within 
6 months of the required date for completion of the measures specified 
in the approved plan evaluating the performance and adequacy of the SCS 
developed pursuant to the approved plan. The report shall include:
    (i) A detailed description of how the criteria that form the basis 
for particular curtailment decisions were derived;
    (ii) A complete description of each SCS element listed in Sec. 
57.402 (a) through (d) (covering monitoring, meteorology, and the DLA), 
and an explanation of why the elements fulfill the requirements of those 
sections;
    (iii) A reliability study demonstrating that the SCS will prevent 
violations of the NAAQS in the smelter's DLA at all times. The 
reliability study shall include a comprehensive analysis of the system's 
operation during one or more three-month seasonal periods when 
meteorological conditions creating the most serious risk of NAAQS 
violations are likely to occur. Where it is impossible, because of time 
restraints, to include in such a study and analysis of the three month 
seasonal period with meteorological conditions creating the most serious 
risk of NAAQS violations, the study shall analyze the system's operation 
on the basis of all available information. The NSO shall provide that in 
such case, a supplemental reliability study shall be submitted after the 
end of the worst case three-month period as a part of the next semi-
annual report required under Sec. 57.402(f).
    (iv) A copy of the current SCS operational manual.
    (c) Amendment of the NSO. Each NSO shall be amended, if necessary, 
within 3 months of completion of the measures required under the SCS 
development plan and also, if necessary, within three months of 
submission of the final report or any supplement to the final report 
required under paragraph (b)(2) of this section, to reflect the most 
current approved elements of the SCS and, as appropriate, to fulfill all 
other requirements of this subpart. Each NSO shall also be subsequently 
amended (as provided in Sec. 57.104) whenever necessary as a result of 
the program required by Sec. 57.402(f) or to reflect improved SCS 
operating procedures or other system requirements.



           Subpart E_Fugitive Emission Evaluation and Control



Sec. 57.501  General requirements.

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



Sec. 57.502  Evaluation.

    (a) Evaluation at the time of application. Any smelter owner may 
demonstrate at the time of application for an NSO that the smelter's 
SO2 fugitive emissions will not cause or significant 
contribute to violations of the NAAQS in the smelter's DLA. If such 
demonstration is not made, the smelter owner shall submit the design and 
workplan for a study adequate to assess the sources of significant 
fugitive emissions from the smelter and their effects upon ambient air 
quality.

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    (b) Evaluation during the first 6 months of the NSO. The design and 
workplan of the study shall be approved, if adequate, by the issuing 
agency and included in the NSO. The study shall commence no later than 
the date when the NSO becomes effective and an analysis of its results 
shall be submitted to the issuing agency within 6 months of the 
effective date of the NSO. The study shall include an appropriate period 
during which the ambient air shall be monitored to determine the impact 
of fugitive emissions of sulfur dioxide, arsenic (at copper smelters 
only), lead (at lead and zinc smelters only), and total suspended 
particulates on the ambient air quality in the smelter's DLA.



Sec. 57.503  Control measures.

    The NSO of any smelter subject to the requirements of Sec. 
57.502(b) shall be amended, if necessary, within 6 months of EPA's 
receipt of the analysis specified in Sec. 57.502(b), as provided in 
Sec. 57.704(c) to implement the requirement of Sec. 57.501. Measures 
required to be implemented may include:
    (a) Additional supplementary control. The use of the supplementary 
control system, if the additional use of the system does not interfere 
with the smelter owner's ability to meet the requirements of subpart D; 
and
    (b) Engineering and maintenance techniques. The use of engineering 
and maintenance techniques to detect and prevent leaks and capture and 
vent fugitive emissions through appropriate stacks. These techniques 
include but are not limited to:
    (1) For reactors, installation and proper operation of primary 
hoods;
    (2) For roasters, installation and proper operation of primary hoods 
on all hot calcine transfer points;
    (3) For furnaces, installation and proper operation of primary hoods 
on all active matte tap holes, matte launders, slag skim bays, and 
transfer points;
    (4) For converters, installation and proper operation of primary 
hoods for blowing operations, and where appropriate, secondary hoods for 
charging and pouring operations;
    (5) For sintering machines, installation and proper operation of 
primary hoods on the sinter bed, all hot sinter ignition points, all 
concentrate laydown points, and all hot sinter transfer points;
    (6) For blast furnaces, installation and proper operation of primary 
hoods on all active slag and lead bullion furnace tap holes and transfer 
points;
    (7) For dross reverberatory furnaces, installation and proper 
operation of primary hoods on all active charging and discharging 
points;
    (8) Maintenance of all ducts, flues and stacks in a leak-free 
condition to the maximum extent possible;
    (9) Maintenance of all process equipment under normal operating 
conditions in such a fashion that out-leakage of fugitive gases will be 
prevented to the maximum extent possible;
    (10) Secondary or tertiary hooding on process equipment where 
necessary; and
    (11) Partial or complete building evacuation as appropriate.



Sec. 57.504  Continuing evaluation of fugitive emission control measures.

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



Sec. 57.505  Amendments of the NSO.

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

[[Page 150]]



             Subpart F_Research and Development Requirements



Sec. 57.601  General requirements.

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



Sec. 57.602  Approval of proposal.

    (a) The smelter owner's proposal. The smelter owner's NSO 
application shall include a proposed NSO provision for implementing the 
requirement of Sec. 57.601, a fully documented supporting analysis of 
the proposed program, and an evaluation of the consistency of the 
proposed program with the criteria listed in Sec. 57.603. The 
application shall also specify:
    (1) The design and substantive elements of the research and 
development program, including the expected amount of time required for 
their implementation;
    (2) The annual expected capital, operating, and other costs of each 
element in the program;
    (3) The smelter's current production processes, pollution control 
equipment, and emissions which are likely to be affected by the program;
    (4) Potential or expected benefits of the program;
    (5) The basis upon which the results of the program will be 
evaluated; and
    (6) The names, positions, and qualifications of the individuals 
responsible for conducting and supervising the project.
    (b) EPA approval. (1) If the issuing agency will not be EPA, the 
smelter owner or the issuing agency may also submit to EPA the 
information specified in paragraph (a) of this section at the same time 
the information is submitted to the issuing agency. As soon as possible 
after the receipt of the information described in paragraph (a) of this 
section, EPA shall certify to the issuing agency and to the applicant 
whether or not in the judgment of the Administrator the smelter owner's 
final proposals are approvable. If EPA does not receive an advance copy 
of the proposal, the ultimate approval will occur when the NSO is 
approved rather than in advance of receipt of the NSO.
    (2) A prerequisite for approval of an R&D proposal by EPA and any 
issuing agency is that the planned work must yield the most cost 
effective technology possible.
    (c) Optional preproposal. The smelter owner may, at its option, 
submit to EPA for its approval and comment a preproposal generally 
describing the project the owner intends to propose under paragraph (a) 
of this section. A preproposal may be submitted to EPA any time prior to 
the submission of a proposal under paragraph (a) of this section. As 
soon as possible after the receipt of a preproposal, EPA shall certify 
to the applicant (and to any other issuing agency, as applicable) 
whether or not the project would be approvable. This certification may 
include comments indicating necessary modifications which would make the 
project approvable.



Sec. 57.603  Criteria for approval.

    The approvability of any proposed research and development program 
shall be judged primarily according to the following criteria:
    (a) The likelihood that the project will result in the use of more 
effective means of emission limitation by the smelter within a 
reasonable period of time and that the technology can be implemented at 
the smelter in question, should the smelter be placed on a SIP 
compliance schedule at some future date when adequately demonstrated 
technology is reasonably available;

[[Page 151]]

    (b) Whether the proposed funding and staffing of the project appear 
adequate for its successful completion;
    (c) Whether the proposed level of funding for the project is 
consistent with the research and development expenditure levels for 
pollution control found in other industries;
    (d) The potential that the project may yield industrywide pollution 
control benefits;
    (e) Whether the project may also improve control of other pollutants 
of both occupational and environmental significance;
    (f) The potential effects of the project on energy conservation; and
    (g) Other non-air quality health and environmental considerations.



Sec. 57.604  Evaluation of projects.

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



Sec. 57.605  Consent.

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



Sec. 57.606  Confidentiality.

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



               Subpart G_Compliance Schedule Requirements



Sec. 57.701  General requirements.

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



Sec. 57.702  Compliance with constant control emission limitation.

    (a) This section applies to all smelters which receive an NSO, but 
only to the extent this section is compatible with any SIP compliance 
schedule required by Sec. Sec. 57.201(d)(2) and 57.705.
    (b) Any NSO issued to a smelter not required to immediately comply 
with the requirements of subpart G under Sec. 57.701 shall contain a 
schedule for compliance with those requirements as expeditiously as 
practicable but in no case later than 6 months from the effective date 
of the NSO, except as follows: Where a waiver is requested in accordance 
with subpart H, an NSO may be issued without a schedule for compliance 
with the requirements for which a waiver is being considered consistent 
with subpart H, pending a final

[[Page 152]]

decision on the request under subpart H. If a waiver is requested in 
accordance with subpart H, compliance with the requirements of subpart C 
which were deferred as a result of such request shall be achieved as 
expeditiously as practicable after, but in no case later than 6 months 
from a final decision by the issuing agency to deny a waiver under 
subpart H or disapproval by EPA of a waiver granted by the issuing 
agency. The time limits specified herein may be extended only if a 
smelter operator demonstrates that special circumstances warrant more 
time, in which case the compliance schedule shall require compliance as 
expeditiously as practicable. An NSO which does not contain a schedule 
for compliance with all the requirements of subpart C because a waiver 
has been requested in accordance with subpart H shall be amended in 
accordance with Sec. 57.104 within three months after a final decision 
under subpart H so as to either grant a waiver of any remaining 
requirements of subpart C, or deny such a waiver and place the smelter 
on a compliance schedule for meeting those requirements. If the issuing 
agency grants a waiver and such waiver is disapproved by EPA, the 
issuing agency shall promptly amend the NSO so as to place the smelter 
on a compliance schedule meeting any remaining requirements of subpart 
C.
    (c) Any schedule required under this section shall contain the 
following information and increments of progress to the extent 
applicable:
    (1) Description of the overall design of the SO2 control 
system(s) to be installed;
    (2) Descriptions of specific process hardware to be used in 
achieving compliance with interim SO2 constant controls 
including gas capacity values;
    (3) The date by which contracts will be let or purchase orders 
issued to accomplish any necessary performance improvements;
    (4) The date for initiating on-site construction or installation of 
necessary equipment;
    (5) The date by which on-site construction or installation of 
equipment is to be completed; and
    (6) The date for achievement of final compliance with interim 
emission limitations.



Sec. 57.703  Compliance with the supplementary control system requirements.

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

[[Page 153]]

D specifies are to be satisfied at or after the close of such nine-month 
period, including requirements for submission of studies, reports, and 
records, and the requirements for continued review and evaluation of the 
SCS.



Sec. 57.704  Compliance with fugitive emis sion evaluation and control 
requirements.

    This section applies only to smelters not required to submit SIP 
Compliance Schedules under Sec. 57.705. Each NSO shall require that 
smelters satisfy each of the requirements of subpart E as expeditiously 
as practicable, taking into account the extent to which those 
requirements have already been satisfied, and in any event, within any 
deadlines specified below.
    (a) Plan for fugitive emission control. The NSO shall provide that 
within a reasonable period after the submission of the report on the 
fugitive emission control study required by Sec. 57.502, but within a 
period allowing sufficient time for compliance with the requirement of 
Sec. 57.503 for amendment of the NSO, the smelter owner shall submit to 
the issuing agency for its approval a proposed fugitive emission control 
plan, including increments of progress, for compliance with the 
requirements of Sec. Sec. 57.501 and 57.503.
    (b) SCS Report. If the fugitive emission control plan submitted 
under paragraph (a) of this section proposes to meet the requirements of 
Sec. Sec. 57.501 and 57.503 through the additional use of a 
supplementary control system, the plan shall demonstrate that the use of 
supplementary controls at that smelter to prevent violations of the 
NAAQS resulting from fugitive emissions is practicable, adequate, 
reliable, and enforceable. The plan shall contain increments of progress 
providing for completion of the implementation of each additional 
measure, and for corresponding compliance with the requirements of 
pararaphs (b) and (c) of Sec. 57.404, within four months of approval of 
the plan by the issuing agency. The plan shall also provide that within 
three months after completion of implementation of those additional 
measures, the smelter shall fully comply with the requirements of 
Sec. Sec. 57.401 and 57.501 (including the assumption of liability for 
violations of NAAQS within its designated liability area), and shall 
submit and additional SCS report for the approval of the issuing agency. 
This additional final report shall correspond to that submitted under 
Sec. 57.405(b)(2), except that it need not contain the 3-month study 
described in Sec. 57.405(b)(2)(iii).
    (c) NSO amendment. The amendments of the NSO required under Sec. 
57.503 shall be affected by the issuing agency as follows:
    (1) With respect to the additional use of SCS, upon approval or 
promulgation of the plan submitted under paragraph (a) of this section 
and upon approval or promulgation of the requirements for the system 
described in the additional SCS Report under paragraph (b) of this 
section;
    (2) With respect to the additional use of engineering techniques, 
upon approval or promulgation of the compliance schedule required by 
paragraph (a) of this section.



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

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

[[Page 154]]

    (7) Any other measures necessary to assure compliance with all SIP 
requirements as expeditiously as practicable.
    (b) Operations of SCS. Smelters to which Sec. 57.705 is applicable 
must comply with all elements of Sec. 57.703.



 Subpart H_Waiver of Interim Requirement for Use of Continuous Emission 
                          Reduction Technology



Sec. 57.801  Purpose and scope.

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



Sec. 57.802  Request for waiver.

    (a) General. (1) Each smelter owner requesting a waiver shall 
complete, sign, and submit appendix A (Test for Eligibility for Interim 
Waiver). Copies of appendix A may be obtained from any EPA Regional 
Administrator, or from the Director, Stationary Source Compliance 
Division (EN-341), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460. Claims of confidentiality 
shall be made as provided in Sec. 57.203.
    (2) The smelter owner shall append to the completed and signed 
appendix A full copies of all documents, test results, studies, reports, 
scientific literature and assessments required by appendix A. To the 
extent that the material consists of generally available published 
material, the smelter owner may cite to the material in lieu of 
appending it to appendix A. The smelter owner shall specificially 
designate those portions of any documents relied upon and the facts or 
conclusions in appendix A to which they relate.
    (b) Effect of submitting incomplete application. (1) The 
Administrator, or a person designated by him to review applications for 
waivers, may advise the smelter owner in writing whenever he determines 
that additional information is needed in order to make the waiver 
eligibility determinations required by section 119(d)(2) of the Act. The 
smelter owner shall promptly supply such information. All additional 
information requested under this paragraph and filed in the manner 
required by paragraph (d) shall be deemed part of appendix A.
    (2) Failure to comply with the requirements of paragraphs (a) and 
(b)(1) of this section shall be grounds for denial of the requested 
waiver.
    (c) Time for requesting waivers. Any request for a waiver must be 
submitted to the Administrator by the smelter owner at the time of the 
application for an NSO from the State or the Administrator, as the case 
may be. Where a smelter was issued a second period NSO by a State before 
these regulations went into effect, a request for a waiver shall be made 
and a completed appendix A shall be submitted, within sixty days of the 
effective date of these regulations, unless an extension is granted by 
the Administrator, or his designee, for good cause.
    (d) Submission of request. A copy of appendix A (plus attachments) 
which has been completed for the purpose of requesting a waiver of 
constant control requirements shall be filed with the Administrator, 
addressed as follows: Director, Stationary Source Compliance Division 
(EN-341), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460, Attn: Confidential Information Unit.
    (e) Eligibility. A smelter shall be eligible for consideration under 
this subpart only if it establishes that (1) its existing strong stream 
controls, if any, lack the capacity while in full operation to treat all 
strong stream sulfur dioxide emissions and (2) bypass of strong stream 
controls due to excess strong stream sulfur dioxide emissions cannot be 
avoided with improved operation and maintenance of existing strong 
stream controls and process equipment.
    (f) Criteria for decision. The Administrator shall grant or approve 
a waiver, whichever is appropriate, for any eligible smelter as to which 
he finds, in accordance with the methods and procedures specified in 
appendix A, that:

[[Page 155]]

    (1) The higher of the two net present values of future cash flows 
completed under the two alternative sets of assumptions set forth in the 
instructions to schedule D.6 in appendix A in less than liquidation 
(salvage) value; or
    (2) The smelter's average variable costs at all relevant levels of 
production (after installation of interim constant control equipment) 
would exceed the weighted average price of smelter output for one year 
or more.



Sec. 57.803  Issuance of tentative determination; notice.

    (a) Tentative determination. (1) The EPA staff shall formulate and 
prepare:
    (i) A ``Staff Computational Analysis,'' using the financial 
information submitted by the smelter owner under Sec. 57.802 to 
evaluate the economic circumstances of the smelter for which the waiver 
is sought;
    (ii) A tentative determination as to whether an interim requirement 
for the use of constant controls would be so costly as to necessitate 
permanent or prolonged temporary cessation of operations at the smelter 
for which the waiver is requested. The tentative determination shall 
contain a ``Proposed Report and Findings'' summarizing the conclusions 
reached in the Staff Computational Analysis, discussing the estimated 
cost of interim controls, and assessing the effect upon the smelter of 
requiring those controls. The tentative determination shall also contain 
a proposed recommendation that the waiver be granted or denied, based 
upon the Proposed Report and Findings, and stating any additional 
considerations supporting the proposed recommendation. This tentative 
determination shall be a public document.
    (2) In preparing the Proposed Report and Findings, the EPA staff 
shall attempt to the maximum extent feasible to avoid revealing 
confidential information which, if revealed, might damage the legitimate 
business interests of the applicant. The preceding sentence 
notwithstanding, the tentative determination shall be accompanied by a 
listing of all materials considered by EPA staff in developing the 
tentative determination. Subject to the provisions of Sec. 57.814(a), 
full copies of all such materials shall be included in the 
administrative record under Sec. 57.814, except that, to the extent the 
material consists of published material which is generally available, 
full citations to that material may be given instead.
    (b) Public notice. Public notice of EPA's tentative determination to 
grant or deny an application for a waiver shall be given by:
    (1) Publication at least once in a daily newspaper of general 
circulation in the area in which the smelter is located; and
    (2) Posting in the principal office of the municipality in which the 
smelter is located.
    (c) Individual notice. Individual notice of EPA's tentative 
determination to grant or deny an application for a waiver shall be 
mailed to the smelter owner by certified mail, return receipt requested, 
and to the air pollution control agency for the State in which the 
smelter is located.
    (d) Request for individual notice. EPA shall mail notice of its 
tentative determination to grant or deny an application for waiver to 
any person upon request. Each such request shall be submitted to the 
Administrator in writing, shall state that the request is for individual 
notice of tentative determination to grant or deny any application for a 
waiver under section 119(d) of the Clean Air Act, and shall describe the 
notice or types of notices desired (e.g., all notices, notices for a 
particular Region, notices for a particular State, notice for a 
particular city).
    (e) Form of notice. The notice of tentative determination required 
to be distributed under paragraphs (b), (c), and (d) of this section 
shall include, in addition to any other materials, the following:
    (1) A summary of the information contained in appendix A;
    (2) The tentative determination prepared under paragraph (a) of this 
section: Provided, that except in the case of the smelter owner, a 
summary of the basis for the grant or denial of the waiver may be 
provided in lieu of the formal determinations required by paragraph 
(a)(1) of this section;
    (3) A brief description of the procedures set forth in Sec. 57.804 
for requesting a public hearing on the waiver request,

[[Page 156]]

including a statement that such request must be filed within 30 days of 
the date of the notice;
    (4) A statement that written comments on the tentative determination 
submitted to EPA within 60 days of the date of the notice will be 
considered by EPA in making a final decision on the application; and
    (5) The location of the administrative record and the location at 
which interested persons may obtain further information on the tentative 
determination, including a copy of the index to the record, the 
tentative determination prepared under paragraph (a) of this section, 
and any other nonconfidential record materials.



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

    (a) Request for hearing. Within 30 days of the date of publication 
or receipt of the notice required by Sec. 57.803, any person may 
request the Administrator to hold a hearing on the tentative 
determination by submitting a written request containing the following:
    (1) Identification of the person requesting the hearing and his 
interest in the proceeding;
    (2) A statement of any objections to the tentative determination; 
and
    (3) A statement of the issues which such person proposes to raise 
for consideration at such hearing.
    (b) Grant or denial of hearing; notification. Whenever (1) the 
Administrator has received a written request satisfying the requirements 
of paragraph (a) of this section which presents genuine issues as to the 
effect on the smelter of the requirement for use of constant controls, 
or (2) the Administrator determines in his discretion that a hearing is 
necessary or appropriate the Administrator shall give written notice of 
his determination to each person requesting such hearing and the smelter 
owner, and shall provide public notice of his determination in 
accordance with Sec. 57.803(b). If the Administrator determines that a 
request filed under paragraph (a) of this section does not comply with 
the requirements of paragraph (a) or does not present genuine issues, he 
shall be given written notice of his decision to deny a hearing to the 
person requesting the hearing.
    (c) Form of notice of hearing. Each notice of hearing disseminated 
under paragraph (b) of this section shall contain:
    (1) A statement of the time and place of the hearing;
    (2) A statement identifying the place at which the official record 
on the application for waiver is located, the hours during which it will 
be open for public inspection, and the documents contained in the record 
as of the date of the notice of hearing;
    (3) The due date for filing a written request to participate in the 
hearing under paragraph (d) of this section;
    (4) The due date for making written submissions under 57.805; and
    (5) The name, address, and office telephone number of the hearing 
Clerk for the hearing.
    (d) Request to participate in hearing. Each person desiring to 
participate in any hearing granted under this section, including any 
person requesting such a hearing, shall file a written request to 
participate with the Hearing Clerk by the deadline set forth in the 
notice of hearing. The request shall include:
    (1) A brief statement of the interest of the person in the 
proceeding;
    (2) A brief outline of the points to be addressed;
    (3) An estimate of the time required; and
    (4) If the request is submitted by an organization, a nonbinding 
list of the persons to take part in the presentation. As soon as 
practicable, but in no event later than two weeks before the scheduled 
date of the hearing, the Hearing Clerk shall make available to the 
public and shall mail to each person who asked to participate in the 
hearing a hearing schedule.
    (e) Effect of denial of or absence of request for hearing. If no 
request for a hearing is made under this section, or if all such 
requests are denied under paragraph (b) of this section, the tentative 
determination issued under Sec. 57.803 shall be treated procedurally as 
if it were a recommended decision issued under Sec. 57.811(b)(2), 
except that for purposes of Sec. Sec. 57.812 and 57.813 the term 
``hearing participant'' shall be construed to mean the smelter owner and 
any person who submitted comments under Sec. 57.803(e)(4).

[[Page 157]]



Sec. 57.805  Submission of written comments on tentative determination.

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



Sec. 57.806  Presiding Officer.

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

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



Sec. 57.807  Hearing.

    (a) Composition of hearing panel. The Presiding Officer shall 
preside at the hearing held under this subpart. An EPA panel shall also 
take part in the

[[Page 158]]

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



Sec. 57.808  Opportunity for cross-examination.

    (a) Request for cross-examination. After the close of the panel 
hearing conducted under this part, any participant in that hearing may 
submit a written request for cross-examination. The request shall be 
received by EPA within one week after a full transcript of the hearing 
becomes available and shall specify:
    (1) The disputed issue(s) of material fact as to which cross-
examination is requested. This shall include an explanation of why the 
questions at issue are factual, rather than of an analytical or policy 
nature; the extent to which they are in dispute in the light of the 
record made thus far, and the extent to which and why they can 
reasonably be considered material to the decision on the application for 
a waiver; and
    (2) The person(s) the participant desires to cross-examine, and an 
estimate of the time necessary. This shall include a statement as to why 
the cross-examination requested can be expected to result in full and 
true disclosure resolving the issue of material fact involved.
    (b) Order granting or denying request for cross-examination. As 
expeditiously as practicable after receipt of all requests for cross-
examination under paragraph (a) of this section, the Presiding Officer, 
after consultation with the hearing panel, shall issue an order either 
granting or denying each such request, which shall be disseminated to 
all persons requesting cross-examination and all persons to be cross-
examined. If any request for cross-examination is granted, the order 
shall specify:
    (1) The issues as to which cross-examination is granted;
    (2) The persons to be cross-examined on each issue;
    (3) The persons allowed to conduct cross-examination;
    (4) Time limits for the examination of witnesses; and
    (5) The date, time and place of the supplementary hearing at which 
cross-examination shall take place. In issuing this ruling, the 
Presiding Officer may determine that one or more participants have the 
same or similar interests and that to prevent unduly repetitious cross-
examination, they should be required to choose a single representative 
for purposes of cross-examination. In such a case, the order

[[Page 159]]

shall simply assign time for cross-examination by that single 
representative without identifying the representative further.
    (c) Supplementary hearing. The Presiding Officer and at least one 
member of the original hearing panel shall preside at the supplementary 
hearing. During the course of the hearing, the Presiding Officer shall 
have authority to modify any order issued under paragraph (b) of this 
section. A verbatim transcript shall be made of this hearing.
    (d) Alternatives to cross-examination. (1) No later than the time 
set for requesting cross-examination, a hearing participant may request 
that alternative methods of clarifying the record (such as the submittal 
of additional written information) be used in lieu of or in addition to 
cross-examination. The Presiding Officer shall issue an order granting 
or denying such request at the time he issues (or would have issued) an 
order under paragraph (b) of this section. If the request is granted, 
the order shall specify the alternative provided and any other relevant 
information (e.g., the due date for submitting written information).
    (2) In passing on any request for cross-examination submitted under 
paragraph (a) of this section, the Presiding Officer may, as a 
precondition to ruling on the merits of such request, require that 
alternative means of clarifying the record be used whether or not a 
request to do so has been made under the preceding paragraph. The person 
requesting cross-examination shall have one week to comment on the 
results of utilizing such alternative means, following which the 
Presiding Officer, as soon as practicable, shall issue an order granting 
or denying such person's request for cross-examination.



Sec. 57.809  Ex parte communications.

    (a) General. (1) No interested person outside the Agency or member 
of the Agency trial staff shall make or knowingly cause to be made to 
any member of the decisional body an ex parte communication relevant to 
the merits of the proceedings.
    (2) No member of the decisional body shall make or knowingly cause 
to be made to any interested person outside the Agency or member of the 
Agency trial staff an ex parte communication relevant to the merits of 
the proceedings.
    (b) Effect of receipt of ex parte communication. (1) A member of the 
decisional body who receives or who makes or knowingly causes to be made 
a communication prohibited by this subsection shall place in the record 
all written communications or memoranda stating the substance of all 
oral communications together with all written responses and memoranda 
stating the substance of all responses.
    (2) Upon receipt by any member of the decisionmaking body of an ex 
parte communication knowingly made or knowingly caused to be made by a 
party or representative of a party in violation of this section, the 
person presiding at the stage of the hearing then in progress may, to 
the extent consistent with justice and the policy of the Clean Air Act, 
require the party to show cause why its claim or interest in the 
proceedings should not be dismissed, denied, disregarded, or otherwise 
adversely affected on account of such violation.
    (c) Definitions. For purposes of this section, the following 
definitions shall apply:
    (1) Agency trial staff means those Agency employees, whether 
temporary or permanent, who have been designated by the Agency as 
available to investigate, litigate, and present the evidence arguments 
and position of the Agency in the evidentiary hearing or non-adversary 
panel hearing. Appearance as a witness does not necessarily require a 
person to be designated as a member of the Agency trial staff;
    (2) Decisional body means any Agency employee who is or may be 
reasonably expected to be involved in the decisional process of the 
proceeding including the Administrator, Presiding Officer, the Regional 
Administrator (if he does not designate himself as a member of the 
Agency trial staff), and any of their staff participating in the 
decisional process. In the case of a non-adversary panel hearing, the 
decisional body shall also include the panel members whether or not 
permanently employed by the Agency;

[[Page 160]]

    (3) Ex parte communication means any communication, written or oral, 
relating to the merits of the proceeding between the decisional body and 
an interested person outside the Agency or the Agency trial staff which 
was not originally filed or stated in the administrative record or in 
the hearing. Ex parte communications do not include:
    (i) Communications between Agency employees other than between the 
Agency trial staff and the member of the decisional body;
    (ii) Discussions between the decisional body and either:
    (A) Interested persons outside the Agency, or;
    (B) The Agency trial staff if all parties have received prior 
written notice of such proposed communications and have been given the 
opportunity to be present and participate therein.
    (4) Interested person outside the Agency includes the smelter owner, 
any person who filed written comments in the proceeding, any person who 
requested the hearing, any person who requested to participate or 
intervene in the hearing, any participant or party in the hearing and 
any other interested person not employed by the Agency at the time of 
the communications, and the attorney of record for such persons.

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



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

    Unless otherwise ordered by the Presiding Officer, each hearing 
participant may, within 20 days after reply comments are submitted under 
Sec. 57.805(b), or if a supplementary hearing for the purpose of cross-
examination has been held under Sec. 57.808(c), within 20 days after 
the transcript of such supplemental hearing becomes available or if 
alternative methods of clarifying the record have been used under Sec. 
57.808(d), within 20 days after the alternative methods have been 
employed, file with the Hearing Clerk and serve upon all other hearing 
participants proposed findings and proposed recommendations to replace 
in whole or in part the findings and recommendations contained in the 
tentative determination. Any such person may also file, at the same 
time, a brief in support of his proposals, together with references to 
relevant pages of transcript and to relevant exhibits. Within 10 days 
thereafter each participant may file a reply brief concerning 
alternative proposals. Oral argument may be held at the discretion of 
the Presiding Officer on motion of any hearing participant or sua 
sponte.



Sec. 57.811  Recommended decision.

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



Sec. 57.812  Appeal from or review of recommended decision.

    (a) Exceptions. (1) Within 20 days after service of the recommended 
decision, any hearing participant may take exception to any matter set 
forth in such decision or to any adverse order or ruling of the 
Presiding Officer prior to or during the hearing to which such 
participant objected, and may appeal such exceptions to the 
Administrator by filing them in writing with the Hearing Clerk. Such 
exceptions shall contain alternative findings and recommendations, 
together with references to the relevant pages of the record and 
recommended decision. A copy of each document taking exception to the 
recommended decision shall be served upon every other hearing 
participant. Within the same period of time each party filing exceptions 
shall file with

[[Page 161]]

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



Sec. 57.813  Final decision.

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



Sec. 57.814  Administrative record.

    (a) Establishment of record. (1) Upon receipt of request for a 
waiver, an administrative record for that request shall be established, 
and a Record and Hearing Clerk appointed to supervise the filing of 
documents in the record and to carry out all other duties assigned to 
him under this subpart.
    (2) All material required to be included in the record shall be 
added to the record as soon as feasible after its receipt by EPA. All 
material in the record shall be appropriately indexed. The Hearing Clerk 
shall make appropriate arrangements to allow members of the public to 
copy all nonconfidential record materials during normal EPA business 
hours.
    (3) Confidential record material shall be indexed under paragraph 
(a)(2). Confidential record material shall, however, be physically 
maintained in a separate location from public record material.
    (4) Confidential record material shall consist of the following:
    (i) Any material submitted pursuant to Sec. 57.802 for which a 
proper claim of confidentiality has been made under

[[Page 162]]

section 114(c) of the Act and 40 CFR part 2; and
    (ii) The Staff Computational Anaylsis prepared under Sec. 57.803
    (b) Record for issuing tentative determination. The administrative 
record for issuing the tentative determination required by Sec. 57.803 
shall consist of the material submitted under Sec. 57.802 and any 
additional materials supporting the tentative determination.
    (c) Record for acting on requests for cross-examination. The 
administrative record for acting on requests for cross-examination under 
Sec. 57.808 shall consist of the record for issuing the tentative 
determination, all comments timely submitted under Sec. Sec. 
57.803(e)(4) and 57.805, the transcript of the hearing, and any 
additional material timely submitted under Sec. 57.807(d).
    (d) Record for preparation of recommended decision. The 
administrative record for preparation of the recommended decision 
required by Sec. 57.811 shall consist of the record for acting on 
request for cross-examination, the transcript of any supplementary 
hearing held under Sec. 57.808(c), any materials timely submitted in 
lieu of or in addition to cross-examination under Sec. 57.808(d), and 
all briefs, proposed findings of fact and proposed recommendations 
timely submitted under Sec. 57.810.
    (e) Record for issuance of final decision. (1) Where no hearing has 
been held, the administrative record for issuance of the Administrator's 
final decision shall consist of the record for issuing the tentative 
determination, any comments timely submitted under Sec. 57.803(e)(4), 
any briefs or reply briefs timely submitted under Sec. 57.812 (a) 
through (c), and the transcript of any oral argument granted under Sec. 
57.812(d).
    (2) Where a hearing has been held, the administrative record for 
issuance of the Administrator's final decision shall consist of the 
record of preparation of the recommended decision, any briefs or reply 
briefs submitted under Sec. 57.812 (a) through (c), and the transcript 
of any oral argument granted under Sec. 57.812(d).



Sec. 57.815  State notification.

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



Sec. 57.816  Effect of negative recom mendation.

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

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

                              Instructions

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

                 Detailed Instructions for Each Schedule

A.1 Historical Revenue Data
A.2 Historical Cost Data
A.3 Historical Profit and Loss Summary
A.4 Historical Capital Investment Summary
B.1 Pre-Control Revenue Forecast
B.2 Pre-Control Cost Forecast
B.3 Pre-Control Forecast Profit and Loss Summary
B.4 Constant Controls Revenue Forecast
B.5 Constant Controls Cost Forecast
B.6 Constant Controls Forecast Profit and Loss Summary for the Profit 
          Protection Test
B.7 Profit Protection Test
C.1 Constant Controls Forecast Profit and Loss Summary for the Rate of 
          Return Test
C.2 Constant Controls Sustaining Capital Investment Forecast
C.3 Historical Capital Investment in Constant Dollars
C.4 Rate of Return Test

[[Page 163]]

C.5 Horizon Value of Cash Flows for the Rate of Return Test
D.1 Interim Controls Revenue Forecast
D.2 Interim Controls Cost Forecast
D.3 Interim Controls Forecast Profit and Loss Summary
D.4 Interim Controls Sustaining Capital Investment Forecast
D.5 Cash Proceeds from Liquidation
D.6 Permanent Waiver from Interim Controls Test
D.7 Horizon Value of Cash Flows for the Interim Controls Test

                         1. General Instructions

    1.1 Purpose of the application. This application provides financial 
reporting schedules and the accompanying instructions for EPA's 
determination of eligibility for a nonferrous smelter order (NSO), and 
for a waiver of the interim constant controls requirement of an NSO. 
Although the determination of eligiblity for an NSO is prequisite for 
the determination of a waiver, appendix A, as a matter of convenience to 
applicants, includes both the NSO and waiver tests and reporting 
schedules.
    In order to support an NSO eligibility determination, the applicant 
must submit operating and financial data as specified by the schedules 
included in this application. Specific instructions for completing each 
schedule are provided in subsequent sections of the instructions. In 
general, applicants must provide:
    (a) Annual income statements, balance sheets and supporting data 
covering the five most recent fiscal years for the smelter for which the 
NSO requested.
    (b) Forecasts of operating revenues, operating costs, net income 
from operations and capital investments for the firm's smelter 
operations subject to this application, on the basis of anticipated 
smelter operations without any sulfur dioxide air pollution control 
facilities that have not been installed as of the NSO application date.
    (c) Forecasts of operating revenues, operating costs, net income 
from operations and capital investments for the firm's smelter 
operations subject to this application, on the basis of anticipated 
smelter operations with expected additional sulfur dioxide control 
facilities required to comply with the smelter's SIP emission 
limitation.
    (d) For smelters applying for a waiver of interim constant controls, 
forecasts of operating revenues, operating costs, and capital 
investments for the firm's smelter operations prepared on the basis of 
two alternative assumptions: (1) Installation of additional pollution 
control facilities required to comply with interim constant control 
requirements, no installation of any additional SO2 controls 
that the smelter would otherwise be required to install but for the 
issuance of an NSO, and closure of the smelter after January 1, 1988; 
and (2) installation of additional pollution control facilities required 
to comply with interim constant control requirements, installation of 
any additional SO2 controls required to comply with the 
smelter's SIP emission limitation by January 2, 1988, and continued 
operation of the smelter after January 1, 1988.
    1.2 NSO financial tests. EPA will use separate tests to determine 
eligibility for an NSO and to evaluate applications for a waiver of the 
interim constant control requirement. The two tests for NSO eligibility 
employ a present value approach for determining the reasonable 
availability of constant control technology that will enable an 
applicant to achieve full compliance with its SIP sulfur dioxide 
emission limitation. The tests for the waiver of the interim constant 
control requirements employ variable costing and discounted cash flow 
standards for evaluating an applicant's economic capability to implement 
those requirements.
    1.2.1 NSO Eligibility Tests. Each applicant must establish that the 
system of production and/or constant control technology that will enable 
the smelter to achieve full compliance with its SIP SO2 
emission limitation standard is not reasonably available. An applicant 
will determine financial eligibility for an NSO by passing at least one 
of the following two tests.
    (a) Profit Protection Test. The smelter will experience a reduction 
in pre-tax profits of 50 percent or more after undertaking the required 
installation of constant controls.
    (b) Rate of Return Test. The smelter will earn a rate of return on 
historical net investment, expressed in constant dollars, below the 
industry average cost of capital after undertaking the required 
installation of constant controls.
    1.2.2 Temporary Waiver from Interim Controls. Applicants that do not 
have an existing constant control system or whose constant controls are 
not sufficient when in operation and optimally maintained to treat all 
strong streams in accordance with subpart C, may apply for a waiver of 
the requirements of subpart C with respect to any interim constant 
controls not already installed. Applicants will be eligible for a 
temporary waiver of the requirement for interim constant controls not 
already installed, if they can establish pursuant to the procedures in 
this application that the imposition of such control requirements would 
economically necessitate closure of the smelter facility for a period of 
one year or longer. The economic justification for a non-permanent 
closure under this temporary waiver test is defined as a situation in 
which the smelter's projected operating revenues for one or more years

[[Page 164]]

during which the NSO is in effect are inadequate to cover variable 
operating costs anticipated after installing the required interim 
control technology. Temporary waivers will be granted for only the 
period of time over which applicants can establish an inability by the 
firm to cover its variable operating costs. Interim control waiver 
requests based on the smelter's projected inability to earn adequate 
income after installation of interim pollution control equipment will be 
subject to the permanent waiver test.
    1.2.3 Permanent Waiver from Interim Controls. Applicants that do not 
have an existing constant control system or whose constant controls are 
not sufficient when in operation and optimally maintained to treat all 
strong streams in accordance with subpart C, may apply for a waiver of 
the requirements of subpart C with respect to any interim constant 
controls not already installed. Applicants will be eligible for a 
permanent waiver of the requirement for interim constant controls not 
already installed, if they can establish pursuant to the procedures in 
this application that an imposition of such control requirements would 
necessitate permanent closure of the smelter. Economic justification for 
a permanent closure is defined as a situation in which the present value 
of future cash flows anticipated from the smelter after installing the 
required interim control technology is less than the smelter's current 
salvage value under an orderly plan of liquidation. Future cash flows 
are determined under two alternative assumptions. The higher present 
value of cash flows computed under these assumptions is then compared to 
salvage value.
    1.2.4 EPA Contact for NSO Inquiries. Inquiries concerning this 
portion of the requirements for NSO application should be addressed to 
Laxmi M. Kesari, Environmental Protection Agency, EN 341, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    1.2.5 Certification. The NSO Certification Statement must be signed 
by an authorized officer of the applicant firm.
    1.3 Confidentiality. Applicants may request that information 
contained in this application be treated as confidential. Agency 
regulations concerning claims of confidentiality of business information 
are contained in 40 CFR part 2, subpart B (41 FR 36902 et seq., 
September 1, 1976, as amended by 43 FR 39997 et seq., September 8, 
1978). The regulations provide that a business may, if it desires, 
assert a business confidentiality claim covering part or all of the 
information furnished to EPA. The claim must be made at the same time 
the applicable information is submitted. The manner of asserting such 
claims is specified in 40 CFR 2.203(b). Information covered by such a 
claim will be handled by the Agency in accordance with procedures set 
forth in the subpart B regulations. EPA will not disclose information on 
a business that has made a claim of confidentiality, except to the 
extent of and in accordance with 40 CFR part 2, subpart B. However, if 
no claim of confidentiality is made when information is furnished to 
EPA, the information may be made available to the public without notice 
to the business.

                   2. NSO Financial Reporting Overview

    2.1 Revenue and Cost Assignment. The amounts assigned to operations 
of the smelter subject to this NSO application should include (1) 
revenues and costs directly attributable to the smelter's operating 
activities and (2) indirect operating costs shared with other segments 
of the firm to the extent that a specific causal and beneficial 
relationship can be identified for the allocation of such costs to the 
smelter. Do not allocate revenues and costs associated with central 
administrative activities for which specifc causal and beneficial 
relationships to the activities of the smelter cannot be established. 
Nonallocable items include, but are not restricted to, amounts such as 
dividend and interest income on centrally administered portfolio 
investments, central corporate administrative office expenses and, 
except for schedules supporting the Profit Protection Test, interest on 
long-term debt financing arrangements. Provide a detailed explanation of 
amounts classified as nontraceable on a separate schedule and attach as 
part of Exhibit B.
    2.2 Transfer Prices on Affiliated Part Transactions. Certain 
transactions by the smelter subject to an NSO application may reflect 
sales to or purchases from ``affiliated'' customers or suppliers with 
whom the smelter has a common bond of ownership and/or managerial 
control. In preparing this application, affiliated party transactions 
shall be defined as transactions with any entity that the firm, or its 
owners, controls directly or indirectly either through an ownership of 
10 percent or more of the entity's voting interests or through an 
exercise of managerial responsibility. Applicants must attach as part of 
Exhibit B supporting schedules explaining the pricing policies 
established on affiliated party transactions incorporated in the 
financial reporting schedules.
    Prices on inter-segment material and product transfers within a 
firm, or on external purchases from and sales to other affiliated 
suppliers and customers, may differ from the prices on comparable 
transactions with unaffiliated suppliers and customers. In this event, 
applicants also must present in the Exhibit B supporting schedules and 
incorporate in the NSO financial reporting schedules appropriate 
adjustments for restating affiliated party transactions. Affiliated

[[Page 165]]

party transactions must be restated at either (a) equivalent prices on 
comparable transactions with unaffiliated parties if such price 
quotations can be obtained or (b) prices that provide the selling entity 
with a normal profit margin above its cost of sales if a meaningful 
comparison with unaffiliated transaction prices cannot be established.
    A ``normal'' profit margin is defined as the gross operating profit 
per dollar of operating revenue that will provide an average after-tax 
rate of return on permanent capital (total assets less current 
liabilities). This average rate of return is defined differently for the 
historical and forecast periods. The applicant must use a rate of return 
of 8.0 percent for the historical period. This figure is based on a 
historoical average earned rate of return for the nonferrous metals 
industry.1 EPA may update this figure periodically. The 
updates will be available in the rulemaking docket or from the 
INFORMATION CONTACT noted in the Federal Register. For the forecast 
period, the applicant must use a rate of return equal to the current 
weighted average cost of capital for the nonferrous metals industry, as 
computed in Section 2.6.
---------------------------------------------------------------------------

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

    Forecast smelting charges for integrated smelters can be computed 
from forecast market smelting charges. Integrated copper smelters may 
use as the basis of their forecast revenues the forecast copper smelting 
charges provided by EPA, adjusted as described in Section 2.4.1. An 
applicant may submit other forecasts, providing the forecast methodology 
is in accordance with the guidelines in Section 2.5 and fully documented 
as part of Exhibit B.
    2.3 Forecasting Requirements. NSO applicants must provide the Agency 
with financial forecasts in Schedules B.1 through B.6 and C.1 through 
C.2. Applicants requesting either a temporary or permanent waiver from 
interim constant control requirements also must provide an additional 
set of financial forecasts in Schedules D.1 through D.4.
    2.3.1 Forecast Period. The forecast period must include at least two 
full years following completion and startup of the required pollution 
control system. The forecast period shall be from 1984 through 1990 for 
an NSO application filed in 1984. If an application is filed in a later 
year, the 1984 through 1990 period should be adjusted accordingly. All 
references in this appendix to the period 1984 through 1990 should be 
interpreted accordingly.
    2.3.2 Forecast Adjustment by Control Case. Some line items that have 
the same title in several schedules may contain different information 
because they are based on different assumptions regarding pollution 
controls. Production interruptions or curtailments due to the 
installation of pollution control facilities may require adjustmens to 
certain revenue and cost estimates in the repective control cases. For 
example, production curtailments associated with supplementary control 
systems may be the basis for the pre-control case, yet are eliminated 
when constant controls replace supplementary control systems in the 
constant controls case. The application of pollution control techniques 
that involve process changes in the smelter's operations (e.g., 
conversion to flash smelting) also may require specific forecasts by 
applications of associated impacts on incremental operating revenues and 
costs.
    2.3.3 Nominal Dollar Basis. Applicants must make their financial 
forecasts in terms of nominal dollars. Forecasts of selected parameters 
provided by EPA will furnish quidelines to an applicant in preparing the 
required cost and revenue estimates. In particular, copper smelting 
charges provided in nominal-dollar terms must be used dierctly by the 
applicant as given; i.e., the stipulated charge estimates should not be 
inflated.
    2.3.4 Tolling Service Equivalent Basis. Applicants must express all 
revenue forecasts on a tolling service equivalent basis. Thus, forecast 
revenues are computed as the product of the forecast quantity of 
processed concentrate, the forecast average product grade of the 
concentrate (the percent of metal in the concentrate), and the forecast 
smelting charge. Smelters that are not tolling smelters and that do not 
use the copper smelting charges provided by EPA (as described in Section 
2.4.1) can forecast a smelting charge from forecast product grade of the 
concentrate, percent recovery, and product and concentrate prices. The 
forecast prices and derivation of the smelting charge must be in 
accordance with the guidelines in Section 2.5, and the methodology must 
be fully documented in Exhibit B.
    2.4 EPA Furnished Forecast Data. In making projection for the period 
1984 through 1990, applicants must, except as noted below, use the 
indices provided by EPA. The table below presents yearly values for each 
index (expressed as annual percentage rates of change) to be used by 
smelters applying for an NSO before January 1, 1985. If forecasts are 
needed for 1991 and EPA has not provided new forecasts, applicants 
should use the Data Resources, Inc. forecasts for 1991 (Docket Item No. 
IV-A-6c) and the average of CRU's forecasts for 1989 and 1990 (expressed 
in 1991 dollars).

[[Page 166]]



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

    2.4.1 Copper smelting charge. EPA will supply a forecast of 
reference copper smelting charges. These charges, which are f.o.b. U.S. 
mine, are based on an estimate of export smelting charges and on the 
differential value of copper in the U.S. and the world market. They must 
be used in forecasting unaffiliated party revenues for the period 
following the expiration of existing contracts and in forecasting 
affiliated party revenues for the entire forecast period. The applicant 
may submit its own smelting charge forecast for the post-contract 
period, provided that such forecast is in accordance with the guidelines 
in Section 2.5 and fully documented and substantiated as part of Exhibit 
B.
    The EPA forecast export charge represents the world market copper 
smelting charge with copper valued at the London Metal Exchange (LME) 
copper price. This charge serves as the reference charge for the 
applicant copper smelter in calculating its smelting charges. Applicant 
copper smelters must derive their smelting charges from this world 
market charge as described in paragraph (a) below.
    The applicant may adjust the derived smelter-specific smelting 
charge to account for other factors, provided the adjustments are fully 
documented as part of Exhibit B. An example of such a factor is the unit 
deduction for metallurgical losses in smelting. Adjustment for this 
factor is discussed in paragraph (b) below.
    (a) The derivation of a smelter-specific smelting charge from the 
world market charge is based on assumptions regarding transportation 
costs and the U.S. producer-world copper price differential. The EPA 
forecast export charge is the forecast smelting charge available at a 
Japanese smelter, with copper valued at the London Metal Exchange copper 
price. The charge includes no freight costs, which must be paid by the 
mine. A U.S. smelter determines its smelting charge to a mine by meeting 
the combined world market smelting charge, adjusted to reflect copper 
valued at the U.S. producer price, and the transportation charge from 
the mine to the Japanese smelter. This combined price is the highest 
that a mine is willing to pay for smelting.
    The smelter's net smelting charge is equal to the combined world 
smelting charge, adjusted to the U.S. producer price for copper (i.e., 
the export forecast charge plus the U.S. producer price premium), and 
the transportation cost between the mine and a Far East smelter, minus 
the cost of transporting the concentrate between the mine and the 
applicant smelter.
    The applicant smelter's net smelting charge for concentrate from an 
individual mine is computed by first adding the U.S. producer Price-LME 
world price differential to the EPA-supplied forecast. The cost of 
transporting copper from the U.S. mine to the Far East is then added to 
this figure. The net smelting charge is obtained by subtracting from 
this total the cost of transporting copper from the mine to the 
applicant smelter. In making these calculations, an applicant must 
supply (and fully document in Exhibit B), the freight cost between the 
mine and the Far East and between the mine and the smelter. This freight 
cost must be converted to nominal dollars of the respective forecast 
years by applying the GNP percentage price change forecasts supplied by 
EPA or smelter-provided forecasts of transportation price changes. The 
smelter-provided forecasts of transportation price changes must comply 
with guidelines regarding such forecasts in Section 2.5.
    An applicant must use a 3 cent per pound U.S. producer price premium 
(relative to the LME price) in calculating the smelter's net smelting 
charge. The applicant may substitute its own forecasts of the U.S. 
producer price premium if it can substantiate such forecasts in 
accordance with the guidelines in Section 2.5 regarding applicant-
provided smelting charge forecasts of principal products. All supporting 
documentation for such applicant-supplied forecasts must be supplied in 
Exhibit B. Any updates of the producer price premium will be available 
in the rulemaking docket or from the INFORMATION CONTACT noted in the 
Federal Register.
    The following two representative examples illustrate this 
methodology for making the

[[Page 167]]

transportation and U. S. producer price premium adjustment.
    (1) The applicant smelter, located in Arizona, obtains concentrate 
from an adjacent mine. The freight charge from mine to smelter is zero. 
The mine is willing to pay the applicant smelter an amount no higher 
than the sum of the world market smelting charge (adjusted for the 
copper value differential) and the transportation cost of shipping 
copper from the mine to the Far East. This combined cost is the net 
charge received by the applicant smelter. If the export smelting charge 
is 12 cents per pound and the freight cost between the mine and the Far 
East is 13 cents per pound, the applicant smelter would calculate a net 
smelting charge equal to 28 cents: 12 cents plus 3 cents (for the U.S. 
producer price premium) plus 13 cents (for the freight cost between the 
mine and the Far East).
    (2) The applicant smelter obtains concentrate from a nonadjacent 
mine. The mine will pay a charge no higher than the total market 
smelting charge, valued at the U.S. producer price, and the 
transportation costs between the mine and a Far East smelter. The 
applicant's net smelting charge is equal to this combined cost minus the 
transportation costs for shipping the concentrate between mine and 
applicant smelter.
    Suppose that the mine to Far East freight charge is 13 cents per 
pound and the mine to applicant smelter freight charge is 4 cents per 
pound. If the export smelting charge is 12 cents per pound, the net 
smelting charge is equal to 24 cents per pound: 12 cents plus 3 cents 
(for the U.S. producer price premium) plus 13 cents (for the freight 
cost to the Far East) minus 4 cents (for the freight cost to the 
applicant smelter).
    (b) The EPA forecast charges are based on a one unit deduction for 
metallurgical losses. This means that if a concentrate grades 25 percent 
copper, the mine is only credited with 24 percent for metal return. The 
one unit deduction on 25 percent concentrate is equivalent to a 96 
percent payment for contained copper. Should a smelter recover less than 
96 percent, its revenue would be less than the EPA forecast smelting 
charge. Should a smelter recover more than 96 percent, its revenue would 
be greater than the EPA forecast smelting charge.
    2.4.2 Indices (Annual Percentage Changes). These indices, which are 
expressed as annual percentage rate changes in price (wages, energy 
prices, and GNP price deflator) must be used only for estimating the 
rate of price increases for the forecast period following the expiration 
of the applicant's current contracts. The applicant may use alternative 
forecasts of annual percentage changes for the forecast period following 
the expiration of current contracts, if justification is provided. Any 
such alternative forecasts must be prepared by a widely-recognized 
forecasting authority with expertise comparable to that of the 
forecaster relied upon by EPA. In addition, the documentation of these 
forecasts must be comparable to that provided by EPA's forecaster.
    The wage indices are to be applied to wage paid to manufacturing 
labor. The energy price indices are to be applied to prices of the 
respective energy products. The GNP price deflators are to be applied to 
prices for non-metal, non-labor, and non-energy inputs.
    2.5 Applicant Generated Forecasts. Within the specified limitations, 
applicants may submit a method of forecasting smelting charges and by-
product, co-product and other prices. The method selected must be 
explained and unit prices or costs provided where applicable. The 
forecast elements must be compatible with an applicant's historical cost 
and revenue elements to permit direct comparisons of historical and 
forecast data. Applicants must attach as part of Exhibit B appropriate 
schedules explaining variances between forecast and historical unit 
costs for the smelter.
    Forecasts of the smelting charges of the smelter's principal product 
(i.e., copper, lead, zinc, etc.) may be prepared either by an 
independent forecasting authority or by the smelter's in-house 
personnel. If the forecasts are prepared by an independent forecasting 
authority, the following conditions must be satisfied: (1) The 
forecasting authority must have expertise comparable to that of the 
forecaster relied upon by EPA. (2) As much documentation of the 
forecasting methodology as can reasonably be obtained must be made 
available to EPA. Such documentation must, at a minimum, be comparable 
to the documentation supporting EPA smelting charge forecasts. \2\
---------------------------------------------------------------------------

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

    If the smelting charge forecasts are prepared by in-house personnel, 
the following conditions must be met: (1) The in-house forecasts must be 
certified as being based on sound methodology by an independent 
forecasting authority with expertise comparable to that of the 
forecaster who prepared the EPA-supplied smelting charges. The 
independent forecasting authority shall also provide a brief explanation 
of the basis for the conclusion reached in the certification. (2) The 
smelter owner shall provide EPA with the documentation of the 
forecasting methodology employed, which must at a minimum be comparable 
to the extent of documentation supporting EPA's smelting charge 
forecasts. The smelter owner shall also make available upon request by 
EPA such additional documentation of the methodology and underlying data 
as EPA considers appropriate for evaluation of the forecasts.

[[Page 168]]

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

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

---------------------------------------------------------------------------
R = (0.65xE)+(0.182xI)

where

R = weighted average cost of capital
E = return on equity
I = interest rate.

The components are calculated as follows.
    (a) Return on equity for the nonferrous metals industry. The 20 year 
Treasury bond yield to maturity plus a risk premium of 8.6 percent.
    (b) Interest Rate. The 20 year Treasury bond yield to maturity plus 
a risk premium of 3.0 percent.
    (c) Source of the 20 Year Treasury bond yield. Federal Reserve 
Bulletin, most recent monthly issue. Use the average yield for the most 
recent full month.
    2.6.2 Discount Factor. The discount factor corresponding to the 
weighted average cost of capital for any forecast year is computed 
according to the following equation:
[GRAPHIC] [TIFF OMITTED] TC09NO91.029

where

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

    The horizon value, which is described in Section 2.7, is computed as 
of 1990, the end of the detailed forecast period. The discount factor to 
be applied to the horizon value is the same as for any other 1990 
figure. For example, if the application is made in 1984, the value of N 
is 7.
    2.7 Horizon Value. The horizon value is the present value of a 
stream of cash flows or net income for 15 years beyond the last forecast 
year. Applicants must compute the horizon value by capitalizing the 
average forecast value of the last two forecast years using the current 
real weighted cost of capital. The line item instructions for schedules 
having a horizon value entry will specify the values to be capitalized.
    The applicant averages the values of the last two years after 
expressing both values in terms of the last year's dollars. The two-year 
average value is then multiplied by 9.6. This is the factor associated 
with capitalizing a 15 year value stream at the current real weighted 
cost of capital of 6.2 percent.
    Applicants must use a separate schedule to calculate the horizon 
value for the Rate of Return Test and the Interim Controls Test 
(Schedule C.5 and D.7, respectively). These separate schedules adjust 
for potential overstatements in the horizon value cash flows that may be 
caused by control equipment depreciation reported for tax purposes.
    2.8 Data Entry
    2.8.1 Rounding. All amounts (including both dollar values and 
physical units) reported in the schedules and exhibits accompanying this 
application must be rounded to

[[Page 169]]

the nearest thousand and expressed in thousands of dollars or units 
unless otherwise indicated in the instructions.
    2.8.2 Estimates. Where an applicant's records cannot produce the 
specific data required by this application, the use of estimates will be 
allowed if a meaningful estimate can be made without significant 
distortion of the reported results. Data estimates must be supported by 
attaching on a separate sheet of paper as a part of Exhibit B an 
explanation identifying where such estimates are used and showing 
explicitly how the estimates were made.
    2.8.3 Missing Data. Applicants must provide, where applicable, all 
operating and financial data requested by this application. Only 
substantially complete applications can be accepted for processing by 
the Agency. Questions concerning data entries for which information is 
not provided by or cannot reasonably be estimated from the applicant's 
existing accounting records should be addressed to the EPA Contact for 
NSO Inquiries.
    2.8.4 Historical Period. The annual data requested in the historical 
schedules, Schedules A.1 through A.4, must be reported for each of the 
five fiscal years immediately preceding the year in which this 
application is filed. The historical period shall be from fiscal years 
1979 through 1983 for an NSO application filed in 1984. If an 
application is filed in a later year, the references in this appendix to 
the period 1979 through 1983 should be interpreted accordingly.
    2.9 Use of schedules. All applicants must complete Schedules A.1 
through A.4, which record historical revenues, cost, and capital 
investment data. These schedules will be used by EPA to assist in 
evaluating forecast data. Completion of the remaining schedules depends 
on the test required of the applicant.
    2.9.1 NSO Eligibility. An NSO applicant must pass one of the 
following two tests and complete the corresponding schedules.
    (a) Profit Protection Test. The applicant must complete Schedules 
B.1 through B.7 to determine eligibility under the Profit Protection 
Test. Schedules B.1 and B.2 report the base case (without constant 
controls) revenue and cost forecast, respectively, and Schedule B.3 
summarizes Schedules B.1 and B.2. Base case production forecasts should 
reflect any production curtailments associated with interim controls 
currently (preforecast) installed on smelters. Schedules B.4 and B.5 
report the revenue and cost forecast, respectively, for the constant 
controls case, and Schedule B.6 summarizes Schedules B.4 and B.5 for the 
Profit Protection Test.
    Schedule B.7 presents the calculations for the Profit Protection 
Test. The applicant enters the forecast profits from Schedules B.3 and 
B.6. The present value of the forecast profits is then computed for each 
case. If the present value of forecast pre-tax profits with constant 
controls is less than 50 percent of the present value of forecast pre-
tax profits without controls (base case) the smelter passes the test and 
is eligible for an NSO. The smelter also passes the test if the present 
value of forecast pre-tax profits without controls (base case) is 
negative.
    (b) Rate of Return Test. The applicant must complete Schedules B.4, 
B.5, and C.1 through C.5 to determine eligibility under the Rate of 
Return Test. Schedules B.4 and B.5 report the revenue and cost forecast, 
respectively, for the constant controls case, and Schedule C.1 
summarizes Schedules B.4 and B.5 for the Rate of Return Test. Schedule 
C.2 reports forecast sustaining capital investment for the constant 
controls case. Schedule C.3 reports historical net investment for the 
most recent fiscal year expressed in constant dollars, i.e., dollars of 
the year in which the application is made.
    Schedule C.4 presents the calculations for the Rate of Return Test. 
The applicant reports in Schedule C.4 the forecast cash flows from 
Schedules C.1 and C.2 and the horizon value from Schedule C.5, computes 
their present value, and subtracts the value of invested capital in 
constant dollars (taken from Schedule C.3) to yield net present value. 
If the net present value is less than zero, the smelter passes the test 
and is eligible to receive an NSO. This result indicates that the 
smelter is expected to earn a rate of return less than the industry 
average cost of capital.
    2.9.2 Interim Control Waivers. An applicant for a waiver from 
interim controls must complete either a portion or all of Schedules D.1 
through D.7, depending on whether the application is for a temporary or 
permanent waiver.
    (a) Temporary Waiver from Interim Controls Test. The applicant must 
complete Schedules D.1 through D.3 to establish eligibility for a 
temporary waiver from interim controls. Schedules D.1 and D.2 report 
forecast revenue and cost data under the assumption of installation of 
interim constant control equipment and no installation of any additional 
SO2 controls that the smelter would otherwise be required to 
install but for the issuance of the NSO. Schedule D.3 summarizes 
Schedules D.1 and D.2 and calculates gross operating profit. If gross 
operating profit is negative for any year during which the NSO is in 
effect, the applicant is eligible for a temporary waiver.
    (b) Permanent Waiver from Interim Controls Test. The applicant must 
complete Schedules D.1 through D.7. All schedules except for Schedule 
D.5 must be completed twice, based on two alternative assumptions: (1) 
installation of interim constant control equipment, no installation of 
any additional SO2 controls that the smelter would otherwise 
be required to install but for the issuance of the

[[Page 170]]

NSO, and closure of the smelter after January 1, 1988; and (2) 
installation of interim constant control equipment, installation of any 
additional SO2 controls required to comply with the smelter's 
SIP emission limitation by January 2, 1988, and continued operation of 
the smelter after January 1, 1988.
    Schedules D.1 and D.2 report forecast revenue and cost data under 
each assumption. Schedule D.3 summarizes Schedules D.1 and D.2, and 
Schedule D.4 reports forecast sustaining capital under each assumption. 
Schedule D.5 reports cash proceeds from liquidation.
    Schedule D.6 presents the calculations for the permanent waiver 
test. In Schedule D.6, the applicant reports cash flow projections from 
Schedules D.3 and D.4 and the horizon value from Schedule D.7, computes 
their present value and subtracts the current salvage value (taken from 
Schedule D.5) to yield net present value. The higher of the two net 
present value figures computed under the two alternative assumptions 
must be used in the test. If the higher net present value figure is 
negative, the applicant is eligible for a permanent waiver.
    2.10 Use of exhibits. In addition to data required by the schedules 
included in this application, the following information must be attached 
as exhibits.
    2.10.1 Exhibit A. Background information on the firm's 
organizational structure and its associated accounting and financial 
reporting systems for primary nonferrous activities. This information 
must include, where applicable, the firm's:
    (a) Operating association with an ownership control in consolidated 
subsidiaries, unconsolidated subsidiaries, joint ventures and other 
affiliated companies.
    (b) Organizational subdivision of its primary nonferrous activities 
into profit centers, cost centers and/or related financial reporting 
entities employed to control the operation of its mines, concentrators, 
smelters, refineries and other associated facilities.
    (c) Material and product flows among the smelter subject to this NSO 
application, other integrated facilities and its affiliated suppliers 
and/or customers. In the case of integrated facilities, applicants must 
provide process flow diagrams depicting the operating interrelationships 
among its mines, concentrators, smelters, refineries and other 
integrated facilities. For both integrated and nonintegrated facilities, 
applicants also must describe the proportion contributed to its primary 
nonferrous activities by material purchases from and product sales to 
affiliated suppliers and customers.
    (d) Annual operating capacity over the five most recent fiscal years 
for the smelter subject to this application. Operating capacity must be 
defined in terms of the total quantity of throughput that could have 
been processed with the available facilities after giving appropriate 
allowance to normal downtime requirements for maintenance and repairs. 
Operating capacity data also must consider both capacity balancing 
requirements among processing steps and annual processing yield rates 
attainable for each facility.
    (e) Weighted average analysis of concentrates processed and tonnage 
produced annually over each of the five most recent fiscal years by the 
smelter subject to this application.
    (f) Accounting system and policies for recording investment 
expenditures, operating revenues, operating costs and income taxes 
associated with its primary nonferrous activities. Applicants also must 
provide a complete description of allocation techniques employed for 
assigning investments, revenues, costs and taxes to individual profit, 
cost of departmental centers for which costs are accumulated. Applicants 
must further indicate the relationship of cost and/or departmental 
accounting entities to the firm's established profit centers.
    (g) Annual five-year operating and capital expenditure plans (or 
budgets) by individual nonferrous profit center. These documents must 
include previous plans prepared for the five preceding fiscal years as 
well as the current one-year and five-year operating and capital 
expenditure plans. At least the current one-year and five-year plans 
must provide a specific breakdown of investment expenditures and 
operating costs associated with the operation and maintenance of each 
profit center's existing and proposed pollution control facilities.
    2.10.2 Exhibit B. Supplemental description and explanation of items 
appearing in the financial reporting schedules. Other parts of Section 2 
and the detailed instructions for the Schedules specify the information 
required in Exhibit B.
    2.10.3 Exhibit C. Financial data documentation. Applicants must 
document annual balance sheet, income statement and supporting data 
reported for the firm's preceding five fiscal years or for that portion 
of the past five years during which the firm engaged in smelter 
operations. This documentation must be provided by attaching to the 
application:
    (a) SEC 10-K reports filed by the parent corporation for each of the 
preceding five fiscal years.
    (b) Certified financial statements prepared on a consolidated basis 
for the parent corporation and its consolidated subsidiaries. This 
requirement may be omitted for those years in which SEC 10-K reports 
have been attached to this Exhibit.
    (c) Business Segment Information reports filed with the Securities 
and Exchange Commission by the firm for each of the preceding five years 
(as available).

[[Page 171]]

                  Schedule A.1--Historical Revenue Data

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

    Lines 01, 14, 27 and 40--Primary Nonferrous Product Sales. Report 
for each year the total quantity of copper, lead, zinc and molybdenum or 
other nonferrous metal product sales.
    Lines 02, 15, 28 and 41--Unaffiliated Customer Sales. Report for 
each year the respective quantities of copper, lead, zinc and molybdenum 
or other nonferrous metal product sales to unaffiliated customers.
    Lines 03, 16, 29 and 42--Unaffiliated Customer Revenues. Report for 
each year the total operating revenues derived from smelter sales of 
copper, lead, zinc and molybdenum or other nonferrous metals to 
unaffiliated customers.
    Lines 04, 17, 30 and 43--Unaffiliated Customer Prices. Report for 
each year the average unit price received on smelter sales of copper, 
lead, zinc and molybdenum or other nonferrous metals to unaffiliated 
customers. The prices are computed as operating revenues reported on 
Lines 03, 16, 29 and 42 divided by the quantities reported on Lines 02, 
15, 28 and 41, respectively.
    Lines 05, 18, 31 and 44--Average Product Quality Grade. Report for 
each year the average quality rating assigned to copper, lead, zinc and 
molybdenum or other nonferrous metal products purchased by the smelter's 
unaffiliated customers.
    Lines 06, 19, 32 and 45--Affiliated Customers Sales. Report for each 
year the respective quantities of copper, lead, zinc and molybdenum or 
other nonferrous metal product sales to affiliated customers.
    Lines 07, 20, 33 and 46--Affiliated Customer Revenues. Report for 
each year the total operating revenues derived from smelter sales of 
copper, lead, zinc and molybdenum or other nonferrous metals to 
affiliated customers. These revenues should be stated at prices 
equivalent to those received on comparable sales to unaffiliated 
customers as described in Section 2.2. Attach as part of Exhibit B an 
explanation of the methodology used to state affiliated customer 
revenues.
    Lines 08, 21, 34 and 47--Affiliated Customer Prices. Report for each 
year the average unit price received on smelter sales of copper, lead, 
zinc and molybdenum or other nonferrous metals to affiliated customers. 
The prices are computed as operating revenues reported on Lines 07, 20, 
33 and 46 divided by the quantities reported on Lines 06, 19, 32 and 45, 
respectively.
    Lines 09, 22, 35 and 48--Average Product Quality Grade. Report for 
each year the average quality rating assigned to copper, lead, zinc and 
molybdenum or other nonferrous metal products purchased by the smelter's 
affiliated customers.
    Lines 10, 23, 36 and 49--Total Primary Product Revenues. Report for 
each year total operating revenues derived from the smelter's sales to 
unaffiliated and affiliated customers of copper (Lines 03+07), lead 
(Lines 16+20), zinc (Lines 29+33) and molybdenum or other nonferrous 
metals (Lines 42+46).
    Lines 11, 24, 37 and 50--Transfer Price Adjustments. Report for each 
year operating revenue adjustments required to equate affiliated 
customer transfer prices with unaffiliated customer market prices on 
smelter sales of copper, lead, zinc and molybdenum or other nonferrous 
metals. Attach as part of Exhibit B an explanation of the method used 
for restating transfer prices where such adjustments are necessary.
    Lines 12, 25, 38 and 51--Other Revenue Adjustments. Report for each 
year sales returns and allowances and other adjustments applicable to 
the smelter's revenues derived from copper, lead, zinc and molybdenum or 
other nonferrous metal product sales. Attach as part of Exhibit B a 
schedule reporting the types and amounts of such adjustments.
    Lines 13, 26, 39 and 52--Adjusted Product Revenues. Enter for each 
year the sums of Lines 10 through 12 for adjusted copper sales (Line 
13), Lines 23 through 25 for adjusted lead sales (Line 26), Lines 36 
through 38 for adjusted zinc sales (Line 39) and Lines 49 through 51 for 
adjusted molybdenum or other nonferrous metal sales (Line 52).
    Line 53--Primary Metal Revenues. Enter for each year the sum of 
Lines 13, 26, 39 and 52.
    Line 54--Toll Concentrates Processed. Report for each year the total 
quantity of toll concentrates processed.
    Lines 55 to 58--Customer Toll Revenues. Report for each year the 
quantity of toll concentrates processed for unaffiliated customers (Line 
55), total operating revenues derived from this processing (Line 56), 
average price charged per ton of concentrate processed (Line 57=Line 56/
55) and the average quality rating assigned to toll concentrates 
processed for unaffiliated customers (Line 58).
    Lines 59 to 62--Affiliated Customer Toll Revenues. Report for each 
year the quantity of toll concentrates processed for affiliated 
customers (Line 59), total operating revenues derived from such 
processing (Line 60), average price charged per ton of concentrate 
processed (Line 61=Line 60/59) and the average quality rating (Line 62) 
assigned to toll concentrates processed for affiliated customers.

[[Page 172]]

    Line 63--Tolling Service Revenues. Enter for each year the total of 
amounts reported on Lines 56 and 60.
    Line 64--Transfer Price Adjustments. Report for each year operating 
revenue adjustments required to equate affiliated customer transfer 
prices with market prices charged to unaffiliated customers on the 
smelter's tolling services. Attach as part of Exhibit B an explanation 
of the method used for restating transfer prices where such adjustments 
are necessary.
    Line 65--Other Revenue Adjustments. Report for each year other 
adjustments applicable to the smelter's tolling service revenues. Attach 
as part of Exhibit B a schedule reporting the types and amounts of such 
adjustments.
    Line 66--Adjusted Tolling Service Revenues. Enter for each year the 
total of Lines 63 through 65.
    Line 67--Co-Product Revenues. Report for each year the net revenues 
from sales of co-products derived from the smelter's operations. Attach 
as part of Exhibit B a schedule showing by individual type of co-
product, the quantity produced and sold, market price per unit of sales 
and total revenues derived from the co-product sales.
    Line 68--Pollution Control By-product Revenues. Report for each year 
revenues from the sale of by-products derived from operation of the 
smelter's pollution control facilities. Attach as part of Exhibit B a 
schedule showing by type of by-product produced, the quantity of output, 
market price received per unit of output sold and total revenue derived 
from the by-product sales.
    Line 69--Other By-product Revenues. Report for each year revenues 
from the sales of gold, silver and other by-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule providing 
additional documentation as specified in the instruction for Line 68.
    Line 70--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 67 through 69.

                   Schedule A.2--Historical Cost Data

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

    Line 01--Total Quantity Purchased. Report for each year the total 
quantity of concentrates purchased by the smelter. This will be sum of 
Lines 02 and 06. Do not include the quantity of toll concentrates.
    Line 02--Quantity Purchased. Report for each year the total quantity 
of concentrates purchased from unaffiliated suppliers by the smelter. 
Attach as a part of Exhibit B a description of the types and grades of 
these concentrates. Do not include the quantity of toll concentrates.
    Line 03--Concentrate Cost. Report for each year the outlays paid to 
unaffiliated suppliers for concentrates. Attach as part of Exhibit B an 
explanation of the method(s) used in determining these outlays and 
relationship between concentrate prices and the types and grades of 
concentrates purchased from unaffiliated suppliers.
    Line 04--Average Unit Price. Report for each year the average unit 
price paid for purchases of concentrates from unaffiliated suppliers. 
Generally, this value will be equivalent to Line 03 divided by Line 02. 
If this equivalency does not hold, attach as a part of Exhibit B an 
explanation of the variance.
    Line 05--Average Concentrate Grade. Report for each year the average 
concentrate grade of concentrates purchased from unaffiliated suppliers. 
Attach as part of Exhibit B an explanation of this average. The average 
should correspond to the average price reported in Line 04.
    Line 06--Quantity Purchased. Report for each year the total quantity 
of concentrates purchased from affiliated suppliers by the smelter. 
Attach as part of Exhibit B a description of the types and grades of 
these concentrates. Do not include the quantity of toll concentrates.
    Line 07--Concentrate Cost. Report for each year the actual outlays 
paid to affiliated suppliers for concentrates. Attach as part of Exhibit 
B an explanation of the method(s) used in determining these outlays and 
relationship between concentrate prices and the types and grades of 
concentrates purchased from affiliated suppliers. Do not reflect any 
adjustments to market prices here.
    Line 08--Average Unit Price. Report for each year the average unit 
price paid for purchases of concentrates from affiliated suppliers. 
Generally, this value will be equivalent to Line 07 divided by Line 06. 
If this equivalency does not hold, attach as part of Exhibit B an 
explanation of the variance.
    Line 09--Average Concentrate Grade. Report for each year the average 
concentrate grade of concentrates purchased from affiliated suppliers. 
Attach as part of Exhibit B an explanation of this average. The average 
should correspond to the average price reported in Line 08.
    Line 10--Total Concentrate Cost. Enter for each year the sum of 
Lines 03 and 07.
    Line 11--Transfer Price Adjustments. Enter for each year the amounts 
required to adjust outlays paid to affiliated suppliers to market value. 
Refer to Section 2.2 for instructions on the restatement of affiliated 
party transactions. Attach as part of Exhibit B a description and the 
computations of any required cost adjustments.

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    Line 12--Other Cost Adjustments. Enter for each year the amounts of 
any other cost adjustments required such as freight or allowances. 
Attach as part of Exhibit B the identification and the derivation of 
these adjustments.
    Line 13--Adjusted Concentrate Cost. Enter for each year the adjusted 
concentrate cost reflecting the adjustments reported in Lines 11 and 12.
    Line 14--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factor involved.
    Line 15--Average Hourly Wage Rate. Report for each year the average 
wage rate paid per unit of direct labor input. Attach as part of Exhibit 
B a description of direct labor costs factors under existing labor 
contracts and an explanation of the method(s) used to determine wage 
rates.
    Line 16--Total Wage Payments. Enter for each year the product of 
Lines 14 and 15.
    Line 17--Supplemental Employee Benefits. Report adjustments required 
to direct labor costs for other employee compensation under supplemental 
benefit plans. Attach as part of Exhibit B a description of such plans 
and their costs and an explanation of the method(s) used to determine 
such costs.
    Line 18--Total Production Labor Cost. Enter for each year the total 
of Lines 16 and 17.
    Lines 19, 22, 25, 28 and 31--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B, an 
explanation of energy use factors and qualities considered in 
determining the smelter's energy requirements.
    Lines 20, 23, 26, 29 and 32--Unit Prices. Report for each year a 
price paid per unit of energy input by type of energy. Attach as part of 
Exhibit B, a description of the energy price factors under existing 
energy contracts and an explanation of the method(s) used to determine 
unit energy prices.
    Lines 21, 24, 27, 30 and 33--Total Payments. Enter for each year the 
products of quantity and prices paid for electricity (Lines 19x20), 
natural gas (Lines 22x23), coal (Lines 25x26), fuel oil (Lines 28x29), 
and other (Lines 31x32).
    Line 34--Total Energy Costs. Enter for each year the total of Lines 
21, 24, 27, 30 and 33.

            Schedule A.3--Historical Profit and Loss Summary

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

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

    Line 05--Total Operating Revenue. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Concentrates Processed. Report the cost of concentrates 
processed and sold or transferred to unaffiliated and affiliated 
customers from Schedule A.2, Line 13. Concentrates purchased from 
unaffiliated suppliers should be valued at the actual prices paid. 
Concentrates purchased from affiliated suppliers should be valued at or, 
if necessary, restated to equivalent prices quoted by unaffiliated 
suppliers. If prices used to report revenues are c.i.f. and concentrate 
costs are

[[Page 174]]

f.o.b. smelter, all transportation charges paid on the smelter's or 
buyer's account should be excluded from smelter expense. Attach as part 
of Exhibit B supporting schedules showing the:

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

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

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

    Line 08--Production Labor Costs. Report for each year total direct 
labor costs incurred by the smelter for processing purchased and toll 
concentrates, Schedule A.2, Line 18. Include in Exhibit B supporting 
schedules showing the:

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

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

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

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

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

    Line 13--Total Cost of Sales. Enter for each year the total of Lines 
06 through 12.
    Line 14--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 13.
    Line 15--Selling, General & Administrative (SG&A) Expenses. Report 
for each year SG&A expenses attributable to the smelter's annual 
operating activities. Exclude those operating costs to be reported 
separately on Lines 16 through 21 and those costs for which causal and 
beneficial relationships to the smelter cannot be established. Attach as 
part of Exhibit B supporting schedules (1)

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segregating SG&A expenses by major expense components, (2) classifying 
the major expense components according to those costs incurred directly 
by smelter operations and costs allocated to the smelter from indirect 
cost pools, and (3) explaining the basis used for indirect cost 
allocations.
    Line 16--Taxes, Other Than Income Tax. Report for each year all 
taxes (exclusive of Federal, State, local and foreign income taxes) 
assignable to the smelter's operations. Attach as part of Exhibit B, a 
schedule that (1) segregates these operating taxes by major component, 
(2) classifies each component according to direct and indirect cost 
elements, and (3) explains the basis used for indirect cost allocations.
    Line 17--Research Costs. Report for each year research costs 
(exclusive of capitalized costs reported in Schedule A.4) that are 
assignable to the smelter's annual operations. Attach as part of Exhibit 
B a schedule (1) segregating exploration and research costs by major 
expense components, (2) classifying each expense component according to 
direct and indirect cost elements, and (3) explaining the basis used for 
indirect cost allocations.
    Line 18--Pollution Control Depreciation and Amortization. Report for 
each year annual depreciation and amortization charges attributable to 
the smelter's investment in pollution control facilities and equipment. 
Reported charges should be computed in accordance with depreciation and 
amortization methods adopted for tax reporting purposes by the firm. 
Attach explanatory supporting schedules as part of Exhibit B.
    Line 19--Other Facility Depreciation and Amortization. Report for 
each year annual depreciation and amortization charges (exclusive of 
charges reported on Line 18) assignable to the smelter's operations. 
Attach explanatory supporting schedules as part of Exhibit B.
    Line 20--Interest on Short-Term Debt. Report for each year interest 
expense and associated financial charges on current liabilities in 
accordance with the assignment instructions in Section 2.1. Do not 
include interest on the portion of long-term debt due within the current 
year for each reporting period.
    Line 21--Miscellaneous Operating Expenses. Report for each year any 
additional expenses assignable to the smelter's annual operations. 
Attach as part of Exhibit B a schedule (1) segregating these additional 
expenses into major expense components, (2) classifying each expense 
component according to costs incurred directly by the smelter and costs 
allocated to the smelter from indirect cost pools, and (3) explaining 
the basis used for indirect cost allocations.
    Line 22--Total Other Operating Expenses. Enter for each year the 
total of Lines 15 through 21.
    Line 23--Income from Operations. Enter for each year the difference 
between Lines 14 and 22.
    Line 24--Gain/(Loss) from Disposition of Property. Report net gains 
or losses recognized during each year from disposition of property, 
plant and equipment. Report such gains or losses in accordance with the 
firm's normal practice for certified financial statement reporting. If 
such gains or losses are not significant and are classified otherwise, 
no reclassification need be made. A note to this effect must be included 
in Exhibit B.
    Line 25--Miscellaneous Income and Expenses. Report minority interest 
in income, foreign currency translation effects, and other non-operating 
income and expenses directly assignable to the smelter and not 
recognized elsewhere on this schedule. Report such items in accordance 
with the accounting methods used for certified financial reporting 
purposes.
    Line 26--Total Other Income and Expenses. Enter for each year the 
sum of Lines 24 and 25.
    Line 27--Net Taxable Income. Enter for each year the difference 
between Lines 23 and 26.

           Schedule A.4--Historical Capital Investment Summary

    General. Use Schedule A.4 to report annual end-of-period asset 
investments and current liabilities for fiscal years 1979 through 1983. 
These figures must correspond with the revenues and costs associated 
with operation of the smelter subject to this NSO application as 
reported in Schedule A.3.
    The amounts assigned to the subject smelter should include both (1) 
investments and liabilities directly identifiable with the smelter's 
operating activities and (2) asset investments shared with other 
segments to the extent that a specific causal and beneficial 
relationship can be established for the intersegment allocation of such 
investments. Do not allocate to the smelter the costs of assets 
maintained for general corporate purposes. Provide a detailed 
explanation of amounts classified as nontraceable on a separate schedule 
and attach as part of Exhibit B.
    Applicants shall also restate trade receivables and payables for 
transfer price adjustments on the smelter's transactions with affiliated 
customers. The line items in Schedule A.4 are explained in the following 
instructions.
    Line 01--Cash on Hand and Deposit. Report for each year total cash 
balances assignable to the smelter's operations at the end of each year 
on the basis of causal and beneficial relationships with total corporate 
activities. Attach as part of Exhibit B in explanation of the basis used 
for allocation.
    Line 02--Temporary Cash Investments. Report for each year temporary 
cash investments in time deposits or other short-term

[[Page 176]]

securities. Include only those investments either held by the smelter to 
meet current-period tax payments or other budgeted expenditures 
specifically identifiable with the smelter's continued operation. 
Exclude any temporary cash investments for which no specific future 
outlay requirement can be identified.
    Attach as part of Exhibit B a schedule classifying temporary cash 
investments according to identifiable budgeted expenditure requirements.
    Lines 03 and 04--Net Trade Receivables. Report for each year trade 
accounts and notes, net of reserves for uncollectible items, assignable 
to the smelter in relation to its unaffiliated (Line 03) and affiliated 
(Line 04) customer sales and transfers. Trade receivables reported by 
the smelter as due from affiliated customers should be stated or, if 
necessary, restated on credit terms equivalent to those received by 
unaffiliated customers on a sale of comparable products. Attach as part 
of Exhibit B a schedule showing adjustments in the smelter's receivables 
investments required to equate trade credit terms extended to affiliated 
and unaffiliated customers.
    Lines 05 and 06--Inventory Investments. Report for each year 
respective end-of-period investments in raw material, work-in-process 
and finished good inventories held to support the smelter's production 
and sale of products (Line 05) and associated inventories of other 
materials and supplies (Line 06). These inventories must be valued at 
current market prices. Inventory purchases from affiliated suppliers 
should also be stated at current market prices or, if necessary, 
restated at current market prices prevailing on purchases from 
unaffiliated suppliers. Attach explanatory supporting schedules as part 
of Exhibit B.
    Line 07--Other Current Assets. Report for each year prepaid 
expenses, deferred charges, non-trade notes and accounts receivable, and 
other assets classified as current for certified financial statement 
reporting purposes that are assignable to the smelter's operations. 
Attach as part of Exhibit B a schedule classifying these other current 
assets according to their types and amounts.
    Line 08--Total Current Assets. Enter for each year the total of 
Lines 01 through 07.
    Lines 09 to 14--Property, Plant and Equipment. Report for each year 
by individual line item property, plant and equipment investments 
assignable to smelter operations. Include in gross facility investments 
at the end of each period both (1) property, plant and equipment 
directly associated with the smelter's operations and (2) facilities 
shared with other operating segments to the extent that a causal and 
beneficial relationship can be established for the inter-segment 
allocation of such facility investments.
    Attach as part of Exhibit B a schedule reporting by individual line 
item the annual capital expenditures on additional property, plant and 
equipment investments in the smelter's operations. Further classify 
these annual capital expenditures into both (1) investments required to 
maintain the smelter versus investments in smelter expansion and 
improvement and (2) direct facility versus joint-use facility 
investments. Explain the method used for allocating capital expenditures 
on joint-use facilities to the smelter's operations. Refer to Line 17 
instructions for additional reporting requirements on the smelter's 
facility investments.
    Line 15--Total Smelter Investment. Enter for each year the total of 
Lines 09 through 14.
    Line 16--Accumulated Depreciation and Amortization. Report for each 
year accumulated depreciation, amortization and other valuation charges 
recorded for certified financial statement reporting purposes in 
relation to smelter investment as reported on Line 15. Other valuation 
charges are defined in Financial Accounting Standards Board (FASB) 
Statement No. 19 as losses recognized in connection with an impairment 
in the value of an unimproved property below its acquisition cost. Refer 
to Line 17 instructions for additional reporting requirements on smelter 
facility investments.
    Line 17--Net Smelter Investment. Enter for each year the difference 
between Lines 15 and 16. Attach as part of Exhibit B a schedule 
classifying gross facility investments, accumulated depreciation, 
amortization charges, and net facility investments by major pollution 
control and non-pollution control components. Identify for each asset 
component the direct versus joint-use investments assigned to the 
smelter and explain the basis used to allocate amounts associated with 
joint-use facilities to the smelter.
    Line 18--Other Non-Current Assets. Report for each year other assets 
assignable to the smelter's operations. Attach as part of Exhibit B a 
schedule reporting by type and amount the major components of such 
investments.
    Line 19--Total Smelter Capital Investment. Enter for each year the 
total of Lines 08, 17 and 18.
    Line 20 and 21--Trade Accounts and Notes Payable. Report for each 
year trade accounts and notes due on the smelter's purchases from 
unaffiliated suppliers (Line 20) and on its intersegment transfers or 
purchases from affiliated suppliers (Line 21). Trade payables reported 
by the smelter as due to affiliated suppliers should be stated or, if 
necessary, restated on terms equivalent to those received from 
unaffiliated suppliers on a purchase of comparable materials. Attach as 
part of Exhibit B a schedule showing adjustments required on the 
smelter's trade

[[Page 177]]

payables to equate trade credit terms received from affiliated and 
unaffiliated suppliers.
    Line 22--Other Expense Accruals. Report for each year payments 
classified as current for salaries and wages, other employee benefits, 
operating taxes and related operating expenses assignable to the 
smelter's operations. Attach as part of Exhibit B a schedule classifying 
by type and amount the major components of such accruals.
    Line 23--Current Notes Payable. Report for each year payments due to 
nontrade creditors on short-term financing arrangements directly 
associated with the smelter's operations. Exclude current installments 
due on long-term debt financing arrangements, notes due to offices and 
directors, intersegment loans or advances and loans or advances from 
affiliated operating segments.
    Line 24--Other Current Liabilities. Report for each year other 
nontrade payables classified as current obligations assignable to the 
smelter's operations.
    Line 25--Total Current Liabilities. Enter for each year the total of 
Lines 20 through 24.
    Line 26--Net Smelter Capital Investment. Enter for each year the 
difference between Lines 19 and 25.

               Schedule B.1--Pre-Control Revenue Forecast

    General. Use Schedule B.1 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter subject to this NSO application. These pre-control 
revenue projections should be based on revenues and production 
associated with operating the smelter without any SO2 air 
pollution controls that have not been installed as of the NSO 
application date. Forecast smelter revenues should be expressed on a 
tolling service equivalent basis as described in Section 2.3.4.
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.1 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts and (3) provide data 
and information to support the forecasts.
    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from sales of co-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule showing by 
individual type of co-product, the forecast quantity produced and sold, 
forecast market price per unit of sales, and forecast total revenues 
derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities, excluding any SO2 air pollution controls that 
have not been installed as of the NSO application date. Attach as part 
of Exhibit B a schedule showing by type of by-product produced (e.g., 
sulfuric acid) the forecast quantity of output, forecast market price 
per unit of output sold, and forecast total revenue derived from the by-
product sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of 
Exhibit B a schedule providing additional documentation as specified in 
the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

                 Schedule B.2--Pre-Control Cost Forecast

    General. Use Schedule B.2 to report annual forecasts of operating 
costs anticipated during the years 1984 through 1990 from operation of 
the smelter subject to this NSO application. These pre-control cost 
projections should be based on costs and production associated with 
operating the smelter without any SO2 air pollution controls 
that have not been installed as of the NSO application date.
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they

[[Page 178]]

will use best engineering techniques to control fugitive emissions of 
arsenic. All smelters should also assume that they will be required to 
meet all other regulatory requirements in effect at the time the 
application is made.
    The line items in Schedule B.2 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of Exhibit 
B a description of such plans and their costs and an explanation of the 
methodology used to forecast such costs. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 05--Total Production Labor Cost. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 06x07), 
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16), 
and other (Lines 18x19).
    Line 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

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

    General. Use Schedule B.3 to report annual forecasts of operating 
revenues and operating costs derived in Schedules B.1 and B.2 for the 
years 1984 through 1990. The transfer of line items from Schedules B.1 
and B.2 to this Schedule is explained in the following instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.1, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.1, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.1, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast pre-control operations. Identify in the supporting 
schedule any differences in the ``other'' revenue components reported in 
this Schedule and Schedule A.3 and explain the reasons for such 
differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.2, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.2, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities except any SO2 air pollution 
controls that have not been installed as of the NSO application date. 
By-product credits associated with operation of the pollution control 
facilities should be eliminated from the cost accounts, reclassified to 
Schedule B.1, Line 10 and included in Line 03 of this Schedule. Attach a

[[Page 179]]

schedule as part of Exhibit B classifying pollution control costs by 
major cost components. Explain the basis used for estimating each of the 
cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's operations. Attach as part of 
Exhibit B a schedule showing annual overhead costs projected by major 
cost components associated with the smelter's operations. For each cost 
component, where appropriate, identify the forecast quantity and unit 
price elements of overhead costs and explain the basis for estimating 
these quantity and price elements. Also identify in the supporting 
schedule any differences in production overhead cost classifications 
used in this Schedule and Schedule A.3 and explain the reasons for such 
differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 11.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO Financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefits of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been allocated among more than one 
facility. Explain the basis used for estimating taxes and the basis for 
any allocation of taxes to the smelter. Identify and explain any 
differences between the component classifications used in this Schedule 
and those used in Line 16 of Schedule A.3.
    Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect assigned components. Explain the basis for 
estimating the costs assigned to each component. Identify and explain 
any differences between classifications used in this Schedule and those 
used in Line 17 of Schedule A.3.
    Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities except any SO2 air pollution 
controls that have not been installed as of the NSO application date. 
Reported charges should be computed in accordance with depreciation and 
amortization methods adopted for certified financial statement reporting 
purposes by the firm. Attach explanatory supporting schedules as part of 
Exhibit B.
    Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charges 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 19--Interests. Report the estimates of interest and other 
financing charges on the smelter's current and long-term liabilities. 
Attach as part of Exhibit B a schedule showing the interest-bearing debt 
contracts identifiable with the smelter's operations, the interest rate 
projected for these contracts, and the estimated annual interest 
charges.
    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classsified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classifications 
included in this Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.

[[Page 180]]

            Schedule B.4--Constant Controls Revenue Forecast

    General. Use Schedule B.4 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter subject to this NSO application. These constant controls 
revenue forecasts should be based on an assumption that the applicant 
immediately implements a program of additional pollution control 
facility investments sufficient to achieve full compliance with the 
smelter's SIP stack emission limitations for sulfur dioxide. Forecast 
smelter revenues should be expressed on a tolling service equivalent 
basis as described in Section 2.3.4.
    The assumed investment program should be based on whichever 
adequately demonstrated system, applicable to the smelter, that would be 
most economically beneficial subsequent to installation of the system. 
For this purpose, adequately demonstrated systems include those 
specified in Section 57.102(b)(1).
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.4 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from sales of co-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule showing by 
individual type of co-product, the forecast quantity produced and sold, 
forecast market price per unit of sales, and forecast total revenues 
derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities. Attach as part of Exhibit B a schedule showing by type of 
by-product produced (e.g., sulfuric acid) the forecast quantity of 
output, forecast market price per unit of output sold, and forecast 
total revenue derived from the by-product sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of 
Exhibit B a schedule providing additional documentation as specified in 
the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

              Schedule B.5--Constant Controls Cost Forecast

    General. Use Schedule B.5 to report annual forecasts of operating 
costs anticipated during the years 1984 through 1990 from operation of 
the smelter subject to this NSO application. These constant controls 
cost forecasts should be based on an assumption that the applicant 
immediately implements a program of additional pollution control 
facility investments sufficient to achieve full compliance with the 
smelter's SIP stack emission limitations for sulfur dioxide.
    The assumed investment program should be based on whichever 
adequately demonstrated system, applicable to the smelter, would be most 
economically beneficial subsequent to installation of the system. For 
this purpose, adequately demonstrated systems include those specified in 
Sec. 57.102(b)(1).
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.5 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.

[[Page 181]]

    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of 
Exhibits B a description of such plans and their costs and an 
explanation of the methodology used to forecast such costs. EPA-provided 
forecast wage indices are reported in Section 2.4.
    Lines 05--Total Production Labor Cost. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 06x07), 
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16), 
and other (Lines 18x19).
    Lines 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

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

    General. Use Schedule B.6 to report annual forecasts of operating 
revenues and operating costs derived in Schedules B.4 and B.5 for the 
years 1984 through 1990. These constant controls forecasts should be 
based on an assumption that the applicant immediately implements a 
program of additional pollution control facility investments sufficient 
to achieve full compliance with the smelter's SIP stack emission 
limitations for sulfur dioxide. The transfer of line items from 
Schedules B.4 and B.5 to this Schedule is explained in the following 
instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.4, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.4, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.4, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast constant controls operations. Identify in the 
supporting schedule any differences in the ``other'' revenue components 
reported in this Schedule and Schedule A.3 and explain the reasons for 
such differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.5, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.5, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities. By-product credits 
associated with operation of the pollution control facilities should be 
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10 
and included in Line 03 of this Schedule. Attach a schedule as part of 
Exhibit B classifying pollution control costs by major cost components. 
Explain the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of

[[Page 182]]

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

                  Schedule B.7--Profit Protection Test

    General. Applicants must complete this Schedule and/or Schedule C.4 
and the accompanying schedules if they seek eligibility for an NSO. The 
line items in Schedule B.7 are explained in the following instructions.
    Line 01--Net Income from Operations. Enter for each year the amounts 
reported in Schedule B.3, Line 22.
    Line 02--Discount Factors. Enter the discount factor for each year, 
computed as described in the instructions under Section 2.6.

[[Page 183]]

    Line 03--Present Value of Future Net Income. Enter for each year the 
product of Lines 01 and 02.
    Line 04--Horizon Value. Enter under the Total column, the estimated 
horizon value of the smelter. This shall be computed by capitalizing the 
forecast net income from operations in Line 01 as described in the 
instructions under Section 2.7.
    Line 05--Discount Factor. Enter under the Total column the 
appropriate discount factor corresponding to the weighted cost of 
capital, computed as described in the instructions under Section 2.6.
    Line 06--Present Value of Horizon Value. Enter under the Total 
column the product of Lines 04 and 05.
    Line 07--Present Value of Future Net Income. Enter under the Total 
Column the sum of amounts previously reported on Line 03 for 1984 
through 1990.
    Line 08--Total Present Value. Enter for each year the sum of Lines 
06 and 07.
    Line 09--Net Income from Operations. Enter for each year the amount 
reported in Schedule B.6, Line 22.
    Line 10--Discount Factors. Follow the instructions for Line 02.
    Line 11--Present Value of Future Net Income. Enter for each year the 
product of Lines 09 and 10.
    Line 12--Horizon Value. Enter under the Total column, the estimated 
horizon value of the smelter. This shall be computed by capitalizing the 
forecast net income from operations in Line 09 as described in the 
instructions under Section 2.7.
    Line 13--Discount Factor. Follow the instructions for Line 05.
    Line 14--Present Value of Horizon Value. Enter under the Total 
column the product of Lines 12 and 13.
    Line 15--Present Value of Future Net Income. Enter under the Total 
column the sum of amounts previously reported on Line 11 for 1984 
through 1990.
    Line 16--Total Present Value. Enter the sum of Lines 14 and 15.
    Line 17--Ratio for Total Present Value of Constant Controls Case to 
Total Present Value of Pre-Control Case. Enter the ratio of Lines 16 to 
08. If this ratio is less than .50, the smelter passes the Profit 
Protection Test. An applicant also passes the Profit Protection Test if 
the reported total present value of pre-tax profits for the pre-control 
case on Line 08 is a negative value.

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

    General. Use Schedule C.1 to report forecast revenue and cost 
information derived in Schedules B.4 and B.5 for the years 1984 through 
1990. These constant controls forecasts should be based on an assumption 
that the applicant immediately implements a program of additional 
pollution control facility investments sufficient to achieve full 
compliance with the smelter's SIP stack emission limitations for sulfur 
dioxide. The transfer of line items from Schedules B.4 and B.5 to this 
Schedule is explained in the following instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.4, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.4, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.4, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast constant controls operations. Identify in the 
supporting schedule any differences in the ``other'' revenue components 
reported in this Schedule and Schedule A.3 and explain the reasons for 
such differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.5, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.5, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities. By-product credits 
associated with operation of the pollution control facilities should be 
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10 
and included in Line 03 of this Schedule. Attach a schedule as part of 
Exhibit B classifying pollution control costs by major cost components. 
Explain the basis used for estimating each of the cost components.

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

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    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.
    Line 23--Income Taxes. Enter the product of income from operations 
(Line 22) and the sum of the Federal, State and local marginal tax 
rates. Attach as part of Exhibit B a schedule detailing the estimated 
marginal tax rate by taxing entity.
    Line 24--Net Income From Operations. Enter for each year the 
difference between Lines 23 and 22.

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

    General. The applicant should estimate and report, in Schedule C.2, 
yearly sustaining capital outlays for maintenance of the smelter's 
existing productive capability. These estimates should be forecast under 
the assumption that full compliance with SIP emission limitations for 
SO2 will be achieved. Major elements of these outlays should 
be disclosed, as well as the total of such outlays. Estimates shall be 
restricted to those items that will be capitalized for tax purposes. 
These outlays shall primarily be for plant replacement, although outlays 
for improvements and expansion may be included to the extent that 
improvements and/or expansion, exclusive of required pollution control 
outlays, can be justified as economically feasible. Estimates of 
sustaining capital shall exclude any incremental investment for constant 
control requirements. Sustaining capital investments in facilities 
shared with other operating segments shall be allocated in accordance 
with the instructions given below.
    Estimates of sustaining capital shall be compatible with productive 
capacity and pollution control requirements underlying the operating 
revenue and cost forecasts incorporated in Schedule C.1.
    Lines 01 to 06--Sustaining Capital. Report for each year by 
individual line item property, plant and equipment sustaining capital 
investments assignable to smelter operations. Include both (1) property, 
plant and equipment directly associated with the smelter's operations 
and (2) facilities shared with other operating segments to the extent 
that a causal and beneficial relationship can be established for the 
intersegment allocations of such facility investments.
    Attach as part of Exhibit B an explanatory schedule disclosing and 
supporting by individual line item the major elements of annual capital 
expenditures for sustaining capital. Further classify these annual 
capital expenditures into both (1) investments required to maintain the 
smelter versus investments in smelter expansion and improvements and (2) 
direct facility versus joint-use facility investments. Explain the 
method used for allocating capital expenditures on joint-use facilities 
to the smelter's operations.
    Line 07--Total Smelter Sustaining Capital. Enter for each year the 
total of Lines 01 through 06. Transfer the reported total for each year 
to Schedule C.4, Line 06.

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

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

                    Schedule C.4--Rate of Return Test

    General. Applicants must complete this Schedule and/or Schedule B.7 
and the accompanying schedules if they seek eligibility for an NSO. The 
line items in Schedule C.4 are explained in the following instructions.
    Line 01--Net Income from Operations. Enter for each year the amounts 
reported in Schedule C.1, Line 24.
    Lines 02 and 03--Depreciation and Amortization. Enter for each year 
the amounts reported in Schedule C.1, Lines 17 and 18, respectively.
    Line 04--Operating Cash Flow. Enter for each year the total of 
amounts reported on Lines 01 through 03.
    Line 05--Constant Controls Capital Investment. Enter the estimated 
capital outlays for constant controls for the years during which outlays 
would be made. These values shall correspond to the constant control 
investment estimates shown in the supporting schedules for Line 17 of 
Schedule C.1. Changes in working capital investment due to investment in 
constant controls facilities

[[Page 186]]

may be added to the capital investment estimates shown in the supporting 
schedules for Schedule C.1.
    Line 06--Sustaining Capital. Enter for each year the amounts 
reported in Schedule C.2, Line 07.
    Line 07--Total. Enter for each year the sum of Lines 05 and 06.
    Line 08--Net Cash Flow Projections. Enter for each year the 
difference between Lines 04 and 07.
    Line 09--Discount Factors. Enter the discount factor for each year, 
computed as described in the instructions under Section 2.6.
    Line 10--Present Value of Future Cash Flows. Enter for each year the 
product of Lines 08 and 09.
    Line 11--Horizon Value. Enter under the Total column the estimated 
horizon value of the smelter reported in Schedule C.5, Line 16.
    Line 12--Discount Factor. Enter under the Total column the 
appropriate discount factor, computed as described in the instructions 
under Section 2.6.
    Line 13--Present Value of Horizon Value. Enter under the Total 
column the product of Lines 11 and 12.
    Line 14--Present Value of Future Cash Flows. Enter under the Total 
column the sum of amounts previously reported on Line 10 for 1984 
through 1990.
    Line 15--Total Present Value. Enter the sum of Lines 13 and 14.
    Line 16--Net Smelter Capital Investment in Constant Dollars. Enter 
under the Total column the amount reported in the second (Constant 
Dollar) column of Schedule C.3, Line 26 if the value is greater than 
zero. If the value is zero or less, enter zero.
    Line 17--Net Present Value. Enter the difference between Lines 15 
and 16. Applicants reporting a negative net present value will pass the 
Rate of Return Test.

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

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

[[Page 187]]

For example, N=1 for the first year of the horizon period.
    Line 14--Present Value of Tax Savings. Enter for each year of the 
horizon period the product of Lines 12 and 13.
    Line 15--Total Present Value of Tax Savings. Enter under the Total 
column the sum of values on Line 14 for the horizon years.
    Line 16--Horizon Value. Enter under the Total column the sum of 
Lines 09 and 15.

             Schedule D.1--Interim Controls Revenue Forecast

    General. Use Schedule D.1 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter applying for an interim controls waiver. The applicant 
applying for a permanent waiver should complete Schedule D.1 twice, with 
revenue and production projections based on two alternative assumptions: 
(1) Installation of interim constant control equipment, no installation 
of any additional SO2 controls that the smelter would 
otherwise be required to install but for the issuance of an NSO, and 
closure after January 1, 1988, and (2) installation of interim constant 
control equipment and any additional SO2 controls required to 
comply with the smelter's SIP emission limitation by January 2, 1988, so 
that the smelter will remain open through the horizon period. The 
applicant applying for a temporary waiver should use only the first 
assumption. For a smelter that has no continuous emission controls, the 
assumed interim control investment program should be based on the 
installation and operation of a well-designed sulfuric acid plant to 
treat all strong gas streams. For a smelter that already has some 
continuous emission controls, the assumed interim constant control 
investment should be based on the installation and operation of any 
additional acid plant capacity that would be necessary for treatment of 
all strong streams with interim constant controls. The interim controls 
projections should account for other regulatory requirements on the same 
basis as provided for in the NSO eligibility tests.
    Forecast smelter revenues should be expressed on a tolling service 
equivalent basis as described in Section 2.3.4. The line items in 
Schedule D.1 are explained in the following instructions. Attach as part 
of Exhibit B schedules to (1) explain the methods used to make the 
required forecasts, (2) explain differences, if any, between historical 
trends and the forecasts, and (3) provide data and information to 
support the forecasts.
    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from sales of co-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule showing by 
individual type of co-product the forecast quantity produced and sold, 
forecast market price per unit of sales, and forecast total revenues 
derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities. Attach as part of Exhibit B a schedule showing by type of 
by-product produced (e.g., sulfuric acid) the forecast quantity of 
output, forecast market price per unit of output sold, and forecast 
total revenue derived from the by-product sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of 
Exhibit B a schedule providing additional documentation as specified in 
the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

              Schedule D.2--Interim Controls Cost Forecast

    General. Use Schedule D.2 to report annual forecasts of operating 
costs anticipated during the years 1984 through 1990 from operation of 
the smelter applying for an interim controls waiver. The applicant 
applying for a permanent waiver should complete Schedule D.2 twice, with 
cost and production projections based on two alternative assumptions: 
(1) Installation of interim constant control equipment, no installation 
of any additional SO2 controls that the smelter would 
otherwise be required to install but for the issuance of an NSO, and 
closure after January 1, 1988, and (2) installation of interim constant 
control equipment and any additional SO2 controls required to 
comply with the smelter's SIP emission limitation by January 2, 1988, so 
that the smelter will remain open through the horizon period. For a 
smelter that has no continuous emission

[[Page 188]]

controls, the assumed interim control investment program should be based 
on the installation and operation of a well-designed sulfuric acid plant 
to treat all strong gas streams. For a smelter that already has some 
continuous emission controls, the assumed interim constant control 
investment should be based on the installation and operation of any 
additional acid plant capacity that would be necessary for treatment of 
all strong streams with interim constant controls. The interim controls 
projections should account for other regulatory requirements on the same 
basis as provided for in the NSO eligibility tests.
    The line items in Schedule D.2 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of Exhibit 
B a description of such plans and their costs and an explanation of the 
methodology used to forecast such costs. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 05--Total Production Labor Costs. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15, and 18--Energy Quantities. Report for each 
year the quantity of energy by type required to support the processing 
levels reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 06x07), 
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16), 
and other (Lines 18x19).
    Line 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

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

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

[[Page 189]]

basis for forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule D.2, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule D.2, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for operation and maintenance of all pollution control equipment and 
facilities under the two alternative sets of assumptions made in 
corresponding Schedules D.1 and D.2. Byproduct credits associated with 
operation of the pollution control facilities should be eliminated from 
the cost accounts, reclassified to Schedule D.1, Line 10 and included in 
Line 03 of this Schedule. Attach a schedule as part of Exhibit B 
classifying pollution control costs by major cost components. Explain 
the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity and price elements. Also identify in the 
supporting schedule any differences in production overhead cost 
classifications used in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 11.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO Financial Reporting Overview for general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefit of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been allocated among more than one 
facility. Explain the basis used for estimating taxes and the basis for 
any allocation of taxes to the smelter. Identify and explain any 
differences between the component classifications used in this Schedule 
and those used in Line 16 of Schedule A.3.
    Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect cost components. Explain the basis for estimating 
the costs assigned to each component. Identify and explain any 
differences between classifications used in this Schedule and those used 
in Line 17 of Schedule A.3.
    Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities under the two alternative sets of 
assumptions made in corresponding Schedules D.1 and D.2. Reported 
charges should be computed in accordance with depreciation and 
amortization methods adopted for tax reporting purposes by the firm. 
Attach explanatory supporting schedules as part of Exhibit B.
    Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charges 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 19--Interest on Short-Term Debt. Report the estimates of 
interest and other financing charges on forecast short-term obligations 
as classified in the smelter's current liabilities on Schedule A.4. 
Interest and associated financing charges on long-term debt should not 
be included as an expense identifiable with the smelter's operations. 
Attach as part of Exhibit B a schedule showing the interest-bearing, 
short-term debt contracts identifiable with the smelter's operations, 
the interest rate projected for these contracts, and

[[Page 190]]

the estimated annual interest charges. Identify and explain any 
differences between the classifications used in this Schedule and those 
used in Line 20 of Schedule A.3.
    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classifications 
included in this Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.
    Line 23--Income Taxes. Enter the product of income from operations 
(Line 22) and the sum of the Federal, State and local marginal tax 
rates. Attach as part of Exhibit B a schedule detailing the estimated 
marginal tax rate by taxing entity.
    Line 24--Net Income From Operations. Enter for each year the 
difference between Lines 23 and 22.
    The temporary waiver from interim controls test is on Line 13 of 
Schedule D.3 that was completed under the assumption of installation of 
interim constant control equipment and no installation of any additional 
SO2 controls that the smelter would otherwise be required to 
install but for the issuance of an NSO. Applicants will be eligible for 
a temporary waiver from the interim development of constant control 
technology for sulfur dioxide emissions if the reported gross operating 
profit on Line 13 is a negative value for one or more years during which 
the NSO is in effect.

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

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

              Schedule D.5--Cash Proceeds From Liquidation

    General. Use Schedule D.5 to calculate cash proceeds from 
liquidation. Applicants should determine the current salvage value of 
their existing investment in the smelter as the net proceeds that could 
be derived through an orderly liquidation of the smelter's assets. The 
net cash proceeds should be reported after an appropriate allowance for 
disposal costs, contractual claims against the smelter

[[Page 191]]

(e.g., labor termination penalties), and income tax effects on the 
corporation of such liquidation costs.
    The applicant must stipulate the most advantageous alternative 
market (use) for the smelter's facilities. Generally, this market will 
be:

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

    The current net salvage value should be disaggregated into the same 
property, plant and equipment asset groups reported under the historical 
capital investment summary, Schedule A.4. The line items in Schedule D.5 
are explained in the following instructions.
    Line 01--Current Assets. Enter in Columns 1 and 2, the value of 
total current assets shown in Line 08 of Schedule A.4 (Historical 
Capital Investment Summary) for 1983. No gain or loss should be reported 
in Columns 3 through 5 for the liquidation of current asset investments.
    Lines 02-07--Property Plant and Equipment. Enter in Column 1 the 
appraised liquidation value (in terms of pretax cash proceeds) of the 
smelter by asset group. This estimate should be certified by a qualified 
third party professional appraiser and shall represent the best use and 
highest alternative value of these assets. The liquidation value of any 
assets which are jointly used by the smelter and other operating 
segments shall be excluded if, upon closure of the smelter, such assets 
would continue in service for the non-smelter activity.
    In Column 2, report the net book value of these assets for which 
liquidation values have been reported in Column 1. The reported values 
should correspond with amounts reported for 1982 in lines 09 through 15 
in Schedule A.4 as adjusted for appropriate eliminations of joint-use 
facilities and reconciliation to a net book value as reported for income 
taxes. Attach as part of Exhibit B supporting schedules showing all 
adjustments and conversion of the net book value as reported on the 
financial statements, to net book value that would be used for income 
tax purposes.
    Compute Column 3 as Column 1 less Column 2. The gain (or loss) shown 
in Column 3 shall be segregated into ordinary income and capital gains 
components subject to taxation pursuant to applicable income tax rules. 
Enter ordinary income in Column 4 and capital gains in Column 5.
    Line 08--Total Smelter Investment. Enter the sum of Lines 02 through 
07 for each of the columns.
    Line 09--Other Non-current Assets. In Column 1, report the appraised 
value of other non-current assets in accordance with the instructions 
for Line 18, Schedule A.4, except that any joint asset(s) that would 
continue in the event of smelter liquidation shall be excluded. This 
estimate shall be certified by a qualified third-party professional 
appraiser.
    In Column 2, report the net book value of the non-current assets 
directly corresponding to those assets included in the liquidation value 
estimated under Column 1.
    The remaining columns shall be completed in accordance with the 
instructions given above for Lines 02 and 06.
    Line 10--Total Smelter Value. Enter the sum of Lines 01, 08 and 09.
    Line 11--Total Current Liabilities. Report in both Columns 1 and 2, 
the value of total current liabilities shown in Line 25 of Schedule A.4 
for 1983.
    Line 12--Gross Liquidation Value. Enter the difference between Lines 
10 and 11.
    Line 13--Liquidation Costs. In Columns 1, 3 and 4, report the value 
of any liquidation costs such as labor contract termination penalties, 
severance pay and related costs, associated with closure of the smelter.
    Line 14--Taxable Gain (or Loss). Enter in Columns 4 and 5, the 
differences between Lines 12 and 13.
    Line 15--Income Tax Rate. Enter the sum of the Federal, State and 
local marginal tax rates of the firm for ordinary income and capital 
gains in Columns 4 and 5, respectively. Attach as part of Exhibit B a 
schedule detailing the estimated marginal tax rate by taxing entity.
    Line 16--Income Tax on Gain (or Loss). In Columns 4 and 5, enter the 
product of Line 14 and the marginal income tax rates reported in Line 
15. In Column 1, enter the sum of Columns 4 and 5.
    Line 17--After Tax Cash Proceeds. Enter in Column 1 the difference 
between Line 12 and the sum of Lines 13 and 16.

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

    General. Applicants must complete this Schedule and its supporting 
schedules if they seek a permanent waiver from interim control 
requirements. The applicant should complete Schedule D.6 twice, with 
revenue and production projections based on two alternative assumptions: 
(1) Installation of interim constant control equipment, no installation 
of any additional SO2 controls that the smelter would 
otherwise be required to install but for the issuance of an NSO, and 
closure after January 1, 1988, and (2) installation of interim constant 
control equipment and any additional SO2 controls required to 
comply with the smelter's SIP emission limitation by January 2, 1988, so 
that the smelter will remain open through the horizon period. Forecasts 
in Schedule D.6 shall be compatible with assumptions and forecasts in 
each set of Schedules D.1 through D.4. The

[[Page 192]]

line items in Schedule D.6 are explained in the following instructions.
    Line 01--Net Income from Operations. Enter for each year the amounts 
reported in Schedule D.3, Line 24.
    Line 02--Net Income Adjustments. Enter any adjustments to net income 
not included in Schedule D.3. When assuming closure after January 1, 
1988, the applicant must include the proceeds from liquidation in 1988. 
The applicant must estimate liquidation value as of 1988 using one of 
two methods: (1) the applicant may complete Schedule D.5 assuming 
liquidation in 1988 and report the value of after-tax cash proceeds in 
Line 17; or (2) the applicant may use the value of after-tax cash 
proceeds in Line 17 of Schedule D.5, as already completed, assuming 
liquidation in the current (application) year, and expressing values in 
1988 dollars. The current liquidation value must be inflated to 1988 
dollars by applying the appropriate forecast percentage rate changes in 
the GNP price deflator. Attach explanatory supporting schedules in 
Exhibit B.
    Lines 03 and 04--Depreciation and Amortization. Enter for each year 
the amounts reported in Schedule D.3, Lines 17 and 18, respectively.
    Line 05--Operating Cash Flow. Enter for each year the total of 
amounts reported on Lines 01 through 04.
    Line 06--Pollution Controls Capital Investment. Enter the estimated 
pollution control capital outlays projected to be made under the two 
alternative sets of assumptions described in the General section of this 
schedule. These controls shall include only interim control equipment 
for the first set of assumptions and both interim control equipment and 
any additional SO2 controls required to comply with the 
smelter's SIP emission limitation by January 2, 1988, for the second set 
of assumptions. The values assumed in this schedule shall correspond to 
the investment estimates shown in each set of supporting schedules for 
Line 17 of Schedule D.3. For purposes of allocating costs of the 
additional SO2 controls under the second set of assumptions, 
applicants must provide information establishing the period over which 
capital outlays for such controls would be made if installation of the 
controls begins the latest date that would still allow compliance to be 
achieved by January 2, 1988. Changes in working capital investment due 
to investment in control facilities may be added to the capital 
investment estimates shown in the corresponding supporting schedules for 
Schedule D.3.
    Line 07--Sustaining Capital. Enter for each year the amounts 
reported in Schedule D.4, Line 07.
    Line 08--Total. Enter for each year the sum of Lines 05 and 06.
    Line 09--Net Cash Flow Projections. Enter for each year the 
difference between Lines 04 and 07.
    Line 10--Discount Factors. Enter the discount factor for each year, 
computed as described in the instructions under Section 2.6.
    Line 11--Present Value of Future Cash Flows. Enter for each year the 
product of Lines 08 and 09.
    Line 12--Horizon Value. Enter under the Total column the estimated 
horizon value of the smelter reported in Schedule D.7, Line 16.
    Line 13--Discount Factor. Enter under the Total column the 
appropriate discount factor, computed as described in the instructions 
under Section 2.6.
    Line 14--Present Value of Horizon Value. Enter under the Total 
column the product of Lines 11 and 12.
    Line 15--Present Value of Future Cash Flows. Enter under the Total 
column the sum of amounts previously reported on Line 10 for 1984 
through 1990.
    Line 16--Total Present Value. Enter the sum of Lines 13 and 14.
    Line 17--Current Salvage Value. Enter the amount reported in 
Schedule D.5, Line 17, if the value is greater than zero. If the value 
is zero or less, enter zero.
    Line 18--Net Present Value. Enter the difference between Lines 16 
and 17. In determining eligibility for a permanent waiver from interim 
control requirements, an applicant must use the higher of the two net 
present value figures computed under the two alternative assumptions. 
Applicants reporting a negative value for the higher net present value 
figure will be eligible for a permanent waiver from interim use of a 
constant control system for sulfur dioxide emissions.

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

    General. Use Schedule D.7 to calculate the horizon value of net cash 
flow projections for the Interim Controls Test. This horizon value is 
used in Schedule D.6. The computation of the horizon value is different 
for this test than for the Profit Protection Test because this test 
requires the reporting of depreciation for tax purposes.
    In Schedule D.7, the applicant removes the tax savings of control 
equipment depreciation from the cash flows for the last two forecast 
years. A depreciation-free horizon value is then calculated from these 
depreciation-free cash flows. The tax savings of constant controls 
depreciation during the horizon years are then calculated separately. 
The final horizon value is equal to the sum of the depreciation-free 
horizon value and the tax savings from depreciation of constant controls 
accruing over the horizon years. The line items in Schedule D.7 are 
explained in the following instruction.

[[Page 193]]

    Line 01--Net Cash Flow Projections. Enter for each of the final two 
forecast years the values in Schedule D.6, Line 09, for the 
corresponding years.
    Line 02--Depreciation and Amortization. Enter for each of the final 
two forecast years the value in Schedule D.6, Line 03, for the 
corresponding years.
    Line 03--Marginal Tax Rate. Enter for each of the final two forecast 
years the marginal income tax rate applicable to the smelter. This rate 
should incorporate both Federal and State tax liability.
    Line 04--Tax Savings. Enter for each of the final two forecast years 
the product of Lines 02 and 03.
    Line 05--Nominal Dollar Values. Enter for each of the final two 
forecast years the difference between Lines 01 and 04.
    Line 06--1990 Dollar Values. For each of the final two forecast 
years the nominal dollar values must be expressed in the last forecast 
year's dollars (1990 dollars). Transfer the 1990 amount in Line 05 
directly to Line 06. Inflate the 1989 amount to 1990 dollars using the 
forecast GNP price deflator.
    Line 07--Average. Enter under the Total column the average of the 
two values in Line 06.
    Line 08--Horizon Factor. Enter under the Total column the horizon 
factor provided in Section 2.7.
    Line 09--Depreciation-free Horizon Value. Enter under the Total 
column the product of Lines 07 and 08.
    Line 10--Depreciation and Amortization. Enter for each year of the 
horizon period depreciation charges associated with the smelter's 
investment in equipment and facilities related to pollution controls. 
These investments should include those actually made and those forecast 
to be made by the end of the forecast period. Reported charges should be 
computed in accordance with depreciation and amortization methods 
adopted for tax reporting purposes by the firm. Attach as part of 
exhibit B supporting schedules consistent with those supporting Line 17 
in Schedule D.3.
    Line 11--Marginal Tax Rate. Enter for each year of the horizon 
period the marginal income tax rate applicable to the smelter. This rate 
should incorporate both Federal and State tax liability.
    Line 12--Tax Savings. Enter for each year of the horizon period the 
product of Lines 10 and 11.
    Line 13--Discount Factors. Enter the discount factor for each year 
of the horizon period. This shall be computed according to the 
instructions under Section 2.6, except that the variable N found in the 
discount factor formula represents the number of years in the future, 
counting from the last forecast year. For example, N=1 for the first 
year of the horizon period.
    Line 14--Present Value of Tax Savings. Enter for each year of the 
horizon period the product of Lines 12 and 13.
    Line 15--Total Present Value of Tax Savings. Enter under the Total 
column the sum of values on Line 14 for the horizon years.
    Line 16--Horizon Value. Enter under the Total column the sum of 
Lines 09 and 15.

                     Environmental Protection Agency

              Primary Nonferrous Smelter Order Application

                   Part I--Identification Information

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

                         Part II--Certification

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

Name____________________________________________________________________
Title___________________________________________________________________
Signature_______________________________________________________________
Date____________________________________________________________________

                                      Schedule A.1--Historical Revenue Data
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983
----------------------------------------------------------------------------------------------------------------
A. Copper product sales:
    1. Total quantity sold................................       01  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:
        a. Quantity sold..................................        2  .......  .......  .......  .......  .......
        b. Operating revenue..............................       03  .......  .......  .......  .......  .......

[[Page 194]]

 
        c. Average unit price.............................       04  .......  .......  .......  .......  .......
        d. Average product grade..........................       05  .......  .......  .......  .......  .......
    3. Affiliated customers sales:
        a. Quantity sold..................................       06  .......  .......  .......  .......  .......
        b. Operating revenue..............................       07  .......  .......  .......  .......  .......
        c. Average unit price.............................       08  .......  .......  .......  .......  .......
        d. Average product grade..........................       09  .......  .......  .......  .......  .......
    4. Adjusted copper revenues:
        a. Total copper revenues..........................       10  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       11  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       12  .......  .......  .......  .......  .......
        d. Adjusted copper revenues.......................       13  .......  .......  .......  .......  .......
B. Lead product sales:
    1. Total quantity sold................................       14  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:
        a. Quantity sold..................................       15  .......  .......  .......  .......  .......
        b. Operating revenue..............................       16  .......  .......  .......  .......  .......
        c. Average unit price.............................       17  .......  .......  .......  .......  .......
        d. Average product grade..........................       18  .......  .......  .......  .......  .......
    3. Affiliated customer sales:
        a. Quantity sold..................................       19  .......  .......  .......  .......  .......
        b. Operating revenue..............................       20  .......  .......  .......  .......  .......
        c. Average unit price.............................       21  .......  .......  .......  .......  .......
        d. Average product grade..........................       22  .......  .......  .......  .......  .......
    4. Adjusted lead revenues:
        a. Total lead revenues............................       23  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       24  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       25  .......  .......  .......  .......  .......
        d. Adjusted lead revenues.........................       26  .......  .......  .......  .......  .......
C. Zinc product sales:
    1. Total quantity sold................................       27  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:
        a. Quantity sold..................................       28  .......  .......  .......  .......  .......
        b. Operating revenue..............................       29  .......  .......  .......  .......  .......
        c. Average unit price.............................       30  .......  .......  .......  .......  .......
        d. Average product grade..........................       31  .......  .......  .......  .......  .......
    3. Affiliated customer sales:
        a. Quantity sold..................................       32  .......  .......  .......  .......  .......
        b. Operating revenue..............................       33  .......  .......  .......  .......  .......
        c. Average unit price.............................       34  .......  .......  .......  .......  .......
        d. Average product grade..........................       35  .......  .......  .......  .......  .......
    4. Adjusted zinc revenues:
        a. Total zinc revenues............................       36  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       37  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       38  .......  .......  .......  .......  .......
        d. Adjusted zinc revenues.........................       39  .......  .......  .......  .......  .......
D. Molybdenum or other nonferrous metal sales:
    1. Total quantity sold................................       40  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:
        a. Quantity sold..................................       41  .......  .......  .......  .......  .......
        b. Operating revenue..............................       42  .......  .......  .......  .......  .......
        c. Average unit price.............................       43  .......  .......  .......  .......  .......
        d. Average product grade..........................       44  .......  .......  .......  .......  .......
    3. Affiliated customer sales:
        a. Quantity sold..................................       45  .......  .......  .......  .......  .......
        b. Operating revenue..............................       46  .......  .......  .......  .......  .......
        c. Average unit price.............................       47  .......  .......  .......  .......  .......
        d. Average product grade..........................       48  .......  .......  .......  .......  .......
    4. Adjusted molybdenum or other nonferrous metal
     revenues:
        a. Total molybdenum or other nonferrous metal            49  .......  .......  .......  .......  .......
         revenues.........................................
        b. Transfer price adjustment......................       50  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       51  .......  .......  .......  .......  .......
        d. Adjusted molybdenum or other nonferrous metal         52  .......  .......  .......  .......  .......
         revenues.........................................
E. Primary metal revenues.................................       53  .......  .......  .......  .......  .......
F. Tolling service revenues:
    1. Total toll concentrates processed..................       54  .......  .......  .......  .......  .......
    2. Unaffiliated customer revenues:
        a. Concentrates processed.........................       55  .......  .......  .......  .......  .......

[[Page 195]]

 
        b. Operating revenue..............................       56  .......  .......  .......  .......  .......
        c. Average unit price.............................       57  .......  .......  .......  .......  .......
        d. Average product grade..........................       58  .......  .......  .......  .......  .......
    3. Affiliated customer revenues:
        a. Concentrates processed.........................       59  .......  .......  .......  .......  .......
        b. Operating revenue..............................       60  .......  .......  .......  .......  .......
        c. Average unit price.............................       61  .......  .......  .......  .......  .......
        d. Average product grade..........................       62  .......  .......  .......  .......  .......
    4. Adjusted tolling service revenues:
        a. Total tolling service revenue..................       63  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       64  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       65  .......  .......  .......  .......  .......
        d. Adjusted tolling service revenues..............       66  .......  .......  .......  .......  .......
G. Coproduct and byproduct sales:
    1. Total coproduct revenues...........................       67  .......  .......  .......  .......  .......
    2. Total byproduct revenues:
        a. Pollution control facilities...................       68  .......  .......  .......  .......  .......
        b. Other smelter processing.......................       69  .......  .......  .......  .......  .......
    3. Total coproduct and byproduct revenues.............       70  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


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


[[Page 196]]


                                Schedule A.3--Historical Profit and Loss Summary
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983
----------------------------------------------------------------------------------------------------------------
A. Operating revenues:
    1. Primary metal sales................................       01  .......  .......  .......  .......  .......
    2. Coproduct and byproduct sales......................       02  .......  .......  .......  .......  .......
    3. Tolling service revenues...........................       03  .......  .......  .......  .......  .......
    4. Other operating revenues...........................       04  .......  .......  .......  .......  .......
    5. Total operating revenues...........................       05  .......  .......  .......  .......  .......
B. Cost of sales:
    1. Concentrates processed.............................       06  .......  .......  .......  .......  .......
    2. Other materials....................................       07  .......  .......  .......  .......  .......
    3. Production labor...................................       08  .......  .......  .......  .......  .......
    4. Energy costs.......................................       09  .......  .......  .......  .......  .......
    5. Pollution control cost.............................       10  .......  .......  .......  .......  .......
    6. Production overhead................................       11  .......  .......  .......  .......  .......
    7. Other production costs.............................       12  .......  .......  .......  .......  .......
    8. Total cost of sales................................       13  .......  .......  .......  .......  .......
C. Gross operating profit.................................       14  .......  .......  .......  .......  .......
D. Other operating expenses:
    1. Selling general and administrative.................       15  .......  .......  .......  .......  .......
    2. Taxes, other than income tax.......................       16  .......  .......  .......  .......  .......
    3. Research costs.....................................       17  .......  .......  .......  .......  .......
    4. Depreciation and amortization:
        a. Pollution control facilities...................       18  .......  .......  .......  .......  .......
        b. Other smelter facilities.......................       19  .......  .......  .......  .......  .......
    5. Interest on short term debt........................       20  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses...................       21  .......  .......  .......  .......  .......
    7. Total other operating expenses.....................       22  .......  .......  .......  .......  .......
E. Income from operations.................................       23  .......  .......  .......  .......  .......
F. Other income and (expense):
    1. Gain/(loss) on disposition of property.............       24  .......  .......  .......  .......  .......
    2. Miscellaneous other income and (expense)...........       25  .......  .......  .......  .......  .......
    3. Total other income and (expense)...................       26  .......  .......  .......  .......  .......
G. Net taxable income.....................................       27  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


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


[[Page 197]]


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


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


                           Schedule B.3--Pre-Control Forecast Profit and Loss Summary
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
    1. Smelter revenues--unaffiliated          01  .......  .......  .......  .......  .......  .......  .......
     parties............................
    2. Smelter revenues--affiliated            02  .......  .......  .......  .......  .......  .......  .......
     parties............................
    3. Co-product and by-product sales..       03  .......  .......  .......  .......  .......  .......  .......
    4. Other operating revenues.........       04  .......  .......  .......  .......  .......  .......  .......
    5. Total operating revenues.........       05  .......  .......  .......  .......  .......  .......
B. Forecast cost of sales:
    1. Material costs...................       06  .......  .......  .......  .......  .......  .......  .......
    2. Production labor costs...........       07  .......  .......  .......  .......  .......  .......
    3. Energy costs.....................       08  .......  .......  .......  .......  .......  .......  .......

[[Page 198]]

 
    4. Pollution control costs..........       09  .......  .......  .......  .......  .......  .......  .......
    5. Production overhead..............       10  .......  .......  .......  .......  .......  .......  .......
    6. Other production costs...........       11  .......  .......  .......  .......  .......  .......  .......
    7. Total cost of sales..............       12  .......  .......  .......  .......  .......  .......  .......
C. Forecast gross operating profit......       13  .......  .......  .......  .......  .......  .......  .......
D. Forecast other operating expenses:
    1. Selling, general and                    14  .......  .......  .......  .......  .......  .......  .......
     administrative expenses............
    2. Taxes, other than income tax.....       15  .......  .......  .......  .......  .......  .......  .......
    3. Research costs...................       16  .......  .......  .......  .......  .......  .......  .......
    4. Depreciation and amortization:
        a. Pollution control facilities.       17  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter facilities.....       18  .......  .......  .......  .......  .......  .......  .......
    5. Interest.........................       19  .......  .......  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses.       20  .......  .......  .......  .......  .......  .......  .......
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


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


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

[[Page 199]]

 
        c. Total fuel oil payments......       17  .......  .......  .......  .......  .......  .......  .......
    5. Other (specify):
        a. Quantity (specific units)....       18  .......  .......  .......  .......  .......  .......  .......
        b. Price per unit...............       19  .......  .......  .......  .......  .......  .......  .......
        c. Total payments...............       20  .......  .......  .......  .......  .......  .......  .......
    6. Total energy costs...............       21  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


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


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

[[Page 200]]

 
    7. Present value of future        15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     net income................
    8. Total present value.....       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
C. Ratio of total present value       17     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
 of constant controls case to
 total, present value of base
 case..........................
----------------------------------------------------------------------------------------------------------------


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


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


                         Schedule C.3--Historical Capital Investment in Constant Dollars
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                                                             Nominal    Constant
                         Items from 1983 balance sheet                              Line     dollars    dollars
----------------------------------------------------------------------------------------------------------------
A. Current assets:
    1. Cash on hand and deposit................................................         01  .........  .........
    2. Temporary cash investments..............................................         02  .........  .........
    3. Trade receivables, net:
        a. Unaffiliated customers..............................................         03  .........  .........

[[Page 201]]

 
        b. Affiliated customers................................................         04  .........  .........
    4. Inventories:
        a. Raw materials and products..........................................         05  .........  .........
        b. Other materials and supplies........................................         06  .........  .........
    5. Other current assets....................................................         07  .........  .........
    6. Total current assets....................................................         08  .........  .........
B. Property, plant and equipment:
    1. Land....................................................................         09  .........  .........
    2. Buildings and improvements..............................................         10  .........  .........
    3. Machinery and equipment.................................................         11  .........  .........
    4. Transportation equipment................................................         12  .........  .........
    5. Pollution control facilities............................................         13  .........  .........
    6. Other fixed assets......................................................         14  .........  .........
    7. Total smelter investments...............................................         15  .........  .........
    8. Less: Accumulated depreciation and amortization.........................         16  .........  .........
    9. Net smelter investment..................................................         17  .........  .........
C. Other noncurrent assets.....................................................         18  .........  .........
D. Total smelter capital investment............................................         19  .........  .........
E. Current liabilities:
    1. Trade accounts and notes payable:
        a. Unaffiliated suppliers..............................................         20  .........  .........
        b. Affiliated suppliers................................................         21  .........  .........
    2. Other expense accruals..................................................         22  .........  .........
    3. Notes payable, current..................................................         23  .........  .........
    4. Other current liabilities...............................................         24  .........  .........
    5. Total current liabilities...............................................         25  .........  .........
F. Net smelter capital investment..............................................         26  .........  .........
----------------------------------------------------------------------------------------------------------------


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


[[Page 202]]


                                    Schedule C.5--Horizon Value of Cash Flows
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                           Final forecast                       Horizon years
                                                years      -----------------------------------------------------
                                   Line  ------------------
                                            1989     1990     1991     1992     1993     1994     1995    Total
----------------------------------------------------------------------------------------------------------------
A. Depreciation-free horizon
 value:
    1. Net cash flow                  01  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
     projections...............
    2. Depreciation tax
     savings:
        a. Depreciation and           02  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
         amortization..........
        b. Marginal tax rate...       03  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        c. Tax savings.........       04  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
    3. Depreciation-free net
     cash flows:
        a. Nominal dollar             05  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
         values................
        b. 1990 dollar values..       06  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        c. Average.............       07     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    4. Horizon factor..........       08     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Depreciation-free              09     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     horizon value.............
B. Depreciation tax savings
 over the horizon period:
    1. Depreciation and               10     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
     amortization..............
    2. Marginal tax rate.......       11     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    3. Tax savings.............       12     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    4. Discount factors........       13     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    5. Present value of tax           14     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
     savings...................
    6. Total present value of         15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     tax savings...............
C. Horizon Value...............       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
----------------------------------------------------------------------------------------------------------------


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


                                  Schedule D.2--Interim Controls Cost Forecast
                                            [Smelter Identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
    1. Direct labor hours...............       01  .......  .......  .......  .......  .......  .......  .......
    2. Average hourly wage rate.........       02  .......  .......  .......  .......  .......  .......  .......
    3. Total wage payments..............       03  .......  .......  .......  .......  .......  .......  .......
    4. Supplemental employee benefits...       04  .......  .......  .......  .......  .......  .......  .......
    5. Total production labor cost......       05  .......  .......  .......  .......  .......  .......  .......

[[Page 203]]

 
B. Forecast energy costs:
    1. Electricity:
        a. Quantity in kilowatt hours...       06  .......  .......  .......  .......  .......  .......  .......
        b. Price per kwh................       07  .......  .......  .......  .......  .......  .......  .......
        c. Total electricity payments...       08  .......  .......  .......  .......  .......  .......  .......
    2. Natural gas:
        a. Quantity in mcf..............       09  .......  .......  .......  .......  .......  .......  .......
        b. Price per mcf................       10  .......  .......  .......  .......  .......  .......  .......
        c. Total natural gas payments...       11  .......  .......  .......  .......  .......  .......  .......
    3. Coal:
        a. Quantity in tons.............       12  .......  .......  .......  .......  .......  .......  .......
        b. Price per ton................       13  .......  .......  .......  .......  .......  .......  .......
        c. Total coal payments..........       14  .......  .......  .......  .......  .......  .......  .......
    4. Fuel oil:
        a. Quantity in gallons..........       15  .......  .......  .......  .......  .......  .......  .......
        b. Price per gallon.............       16  .......  .......  .......  .......  .......  .......  .......
        c. Total fuel oil payments......       17  .......  .......  .......  .......  .......  .......  .......
    5. Other (specify):
        a. Quantity (specific units)....       18  .......  .......  .......  .......  .......  .......  .......
        b. Price per unit...............       18  .......  .......  .......  .......  .......  .......  .......
        c. Total payments...............       20  .......  .......  .......  .......  .......  .......  .......
    6. Total energy costs...............       21  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


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


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

[[Page 204]]

 
6. Other fixed assets...................       06  .......  .......  .......  .......  .......  .......  .......
7. Total smelter sustaining capital.....       07  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                  Schedule D.5--Cash Proceeds From Liquidation
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                                                             Gain (loss) subject
                                                               (1)          (2)       (3)      to taxation as--
                                                            Estimated    Reported    Total  --------------------
                                                    Line   Liquidation   net book     gain       (4)       (5)
                                                              value        value     (loss)   Ordinary   Capital
                                                                                               income      gain
----------------------------------------------------------------------------------------------------------------
A. Total current assets.........................       01  ...........  ..........    XXXXX       XXXXX    XXXXX
B. Property, plant and equipment:
    1. Land.....................................       02  ...........  ..........  .......  ..........  .......
    2. Buildings and improvements...............       03  ...........  ..........  .......  ..........  .......
    3. Machinery and equipment..................       04  ...........  ..........  .......  ..........  .......
    4. Transportation equipment.................       05  ...........  ..........  .......  ..........  .......
    5. Pollution control facilities.............       06  ...........  ..........  .......  ..........  .......
    6. Other fixed assets.......................       07  ...........  ..........  .......  ..........  .......
    7. Total....................................       08  ...........  ..........  .......  ..........  .......
C. Other noncurrent assets......................       09  ...........  ..........  .......  ..........  .......
D. Total smelter value..........................       10  ...........  ..........  .......  ..........  .......
E. Total current liabilities....................       11  ...........  ..........    XXXXX       XXXXX    XXXXX
F. Gross liquidation value......................       12  ...........  ..........  .......  ..........  .......
G. Liquidation costs............................       13  ...........       XXXXX  .......  ..........    XXXXX
H. Net Taxable Gain (or loss)...................       14        XXXXX       XXXXX    XXXXX  ..........  .......
I. Income tax rate..............................       15        XXXXX       XXXXX    XXXXX  ..........  .......
J. Income tax on gain (loss)....................       16        XXXXX       XXXXX    XXXXX  ..........  .......
K. After tax cash proceeds from liquidation.....       17  ...........       XXXXX    XXXXX       XXXXX    XXXXX
----------------------------------------------------------------------------------------------------------------


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


[[Page 205]]


                                    Schedule D.7--Horizon Value of Cash Flows
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                           Final forecast                  Horizon years
                                                years      ---------------------------------------------
                                   Line  ------------------                                               Total
                                            1989     1990     1991     1992     1993     1994     1995
----------------------------------------------------------------------------------------------------------------
A. Depreciation-free horizon
 value:
    1. Net cash flow                  01  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
     projections...............
    2. Depreciation tax
     savings:
        a. Depreciation and           02  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
         amortization..........
        b. Marginal tax rate...       03  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        c. Tax savings.........       04  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
    3. Depreciation-free net
     cash flows:
        a. Nominal dollar             05  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
         values................
        b. 1990 dollar values..       06  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        c. Average.............       07     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    4. Horizon factor..........       08     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Depreciation-free              09     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     horizon value.............
B. Depreciation tax savings
 over the horizon period:
    1. Depreciation and               10     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
     amortization..............
    2. Marginal tax rate.......       11     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    3. Tax savings.............       12     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    4. Discount factors........       13     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    5. Present value of tax           14     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
     savings...................
    6. Total present value of         15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     tax savings...............
C. Horizon Value...............       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
----------------------------------------------------------------------------------------------------------------



PART 58_AMBIENT AIR QUALITY SURVEILLANCE--Table of Contents




                      Subpart A_General Provisions

Sec.
58.1 Definitions.
58.2 Purpose.
58.3 Applicability.

                      Subpart B_Monitoring Criteria

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

        Subpart C_State and Local Air Monitoring Stations (SLAMS)

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

            Subpart D_National Air Monitoring Stations (NAMS)

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

      Subpart E_Photochemical Assessment Monitoring Stations (PAMS)

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

                  Subpart F_Air Quality Index Reporting

58.50 Index reporting.

                      Subpart G_Federal Monitoring

58.60 Federal monitoring.
58.61 Monitoring other pollutants.

Appendix A to Part 58--Quality Assurance Requirements for State and 
          Local Air Monitoring Stations (SLAMS)

[[Page 206]]

Appendix B to Part 58--Quality Assurance Requirements for Prevention of 
          Significant Deterioration (PSD) Air Monitoring
Appendix C to Part 58--Ambient Air Quality Monitoring Methodology
Appendix D to Part 58--Network Design for State and Local Air Monitoring 
          Stations (SLAMS), National Air Monitoring Stations (NAMS), and 
          Photochemical Assessment Monitoring Stations (PAMS)
Appendix E to Part 58--Probe and Monitoring Path Siting Criteria for 
          Ambient Air Quality Monitoring
Appendix F to Part 58--Annual SLAMS Air Quality Information
Appendix G to Part 58--Uniform Air Quality Index (AQI) and Daily 
          Reporting

    Authority: 42 U.S.C. 7410, 7601(a), 7613, and 7619.

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



                      Subpart A_General Provisions



Sec. 58.1  Definitions.

    As used in this part, all terms not defined herein have the meaning 
given them in the Act:
    Act means the Clean Air Act as amended (42 U.S.C. 7401, et seq.).
    Administrator means the Administrator of the Environmental 
Protection Agency (EPA) or his or her authorized representative.
    Aerometric Information Retrieval System (AIRS)-Air Quality Subsystem 
(AQS) is EPA's computerized system for storing and reporting of 
information relating to ambient air quality data.
    Annual State air monitoring report is an annual report, prepared by 
control agencies and submitted to EPA for approval, that consists of an 
annual data summary report for all pollutants and a detailed report 
describing any proposed changes to their air quality surveillance 
network.
    CO means carbon monoxide.
    Community Monitoring Zone (CMZ) means an optional averaging area 
with established, well defined boundaries, such as county or census 
block, within a MPA that has relatively uniform concentrations of annual 
PM2.5 as defined by appendix D of this part. Two or more core 
SLAMS and other monitors within a CMZ that meet certain requirements as 
set forth in Appendix D of this part may be averaged for making 
comparisons to the annual PM2.5 NAAQS.
    Consolidated Metropolitan Statistical Area (CMSA) means the most 
recent area as designated by the U.S. Office of Management and Budget 
and population figures from the Bureau of the Census. The Department of 
Commerce provides that within metropolitan complexes of 1 million or 
more population, separate component areas are defined if specific 
criteria are met. Such areas are designated primary metropolitan 
statistical areas (PMSAs; and any area containing PMSAs is designated 
CMSA.
    Core PM2.5 SLAMS means community-oriented monitoring 
sites representative of community-wide exposures that are the basic 
component sites of the PM2.5 SLAMS regulatory network. Core 
PM2.5 SLAMS include community-oriented SLAMS monitors, and 
sites collocated at PAMS.
    Corrected concentration pertains to the result of an accuracy or 
precision assessment test of an open path analyzer in which a high-
concentration test or audit standard gas contained in a short test cell 
is inserted into the optical measurement beam of the instrument. When 
the pollutant concentration measured by the analyzer in such a test 
includes both the pollutant concentration in the test cell and the 
concentration in the atmosphere, the atmospheric pollutant concentration 
must be subtracted from the test measurement to obtain the corrected 
concentration test result. The corrected concentration is equal to the 
measured concentration minus the average of the atmospheric pollutant 
concentrations measured (without the test cell) immediately before and 
immediately after the test.
    Correlated acceptable continuous (CAC) PM analyzer means an optional 
fine particulate matter analyzer that can be used to supplement a 
PM2.5 reference or equivalent sampler, in accordance with the 
provisions of Sec. 58.13(f).
    Effective concentration pertains to testing an open path analyzer 
with a high-concentration calibration or audit standard gas contained in 
a short test cell inserted into the optical measurement beam of the 
instrument. Effective concentration is the equivalent

[[Page 207]]

ambient-level concentration that would produce the same spectral 
absorbance over the actual atmospheric monitoring path length as 
produced by the high-concentration gas in the short test cell. 
Quantitatively, effective concentration is equal to the actual 
concentration of the gas standard in the test cell multiplied by the 
ratio of the path length of the test cell to the actual atmospheric 
monitoring path length.
    Equivalent method means a method of sampling and analyzing the 
ambient air for an air pollutant that has been designated as an 
equivalent method in accordance with part 53 of this chapter; it does 
not include a method for which an equivalent method designation has been 
canceled in accordance with Sec. 53.11 or Sec. 53.16 of this chapter.
    Indian Governing Body means the governing body of any tribe, band, 
or group of Indians subject to the jurisdiction of the United States and 
recognized by the United States as possessing power of self-government.
    Indian Reservation means any Federally recognized reservation 
established by treaty, agreement, executive order, or act of Congress.
    Local agency means any local government agency, other than the State 
agency, which is charged with the responsibility for carrying out a 
portion of the plan.
    Meteorological measurements means measurements of wind speed, wind 
direction, barometric pressure, temperature, relative humidity, and 
solar radiation.
    Metropolitan Statistical Area (MSA) as designated by the most recent 
decennial U.S. Census of Population Report.
    Monitor is a generic term for an instrument, sampler, analyzer, or 
other device that measures or assists in the measurement of atmospheric 
air pollutants and which is acceptable for use in ambient air 
surveillance under the provisions of appendix C to this part, including 
both point and open path analyzers that have been designated as either 
reference or equivalent methods under part 53 of this chapter and air 
samplers that are specified as part of a manual method that has been 
designated as a reference or equivalent method under part 53 of this 
chapter.
    Monitoring path for an open path analyzer is the actual path in 
space between two geographical locations over which the pollutant 
concentration is measured and averaged.
    Monitoring path length of an open path analyzer is the length of the 
monitoring path in the atmosphere over which the average pollutant 
concentration measurement (path-averaged concentration) is determined. 
See also, optical measurement path length.
    Monitoring Planning Area (MPA) means a contiguous geographic area 
with established, well defined boundaries, such as a metropolitan 
statistical area, county or State, having a common area that is used for 
planning monitoring locations for PM2.5. MPAs may cross State 
boundaries, such as the Philadelphia PA-NJ MSA, and be further 
subdivided into community monitoring zones. MPAs are generally oriented 
toward areas with populations greater than 200,000, but for convenience, 
those portions of a State that are not associated with MSAs can be 
considered as a single MPA. MPAs must be defined, where applicable, in a 
State PM monitoring network description.
    NAMS means National Air Monitoring Station(s). Collectively the NAMS 
are a subset of the SLAMS ambient air quality monitoring network.
    NO2 means nitrogen dioxide. NO means nitrogen oxide. 
NOX means oxides of nitrogen and is defined as the sum of the 
concentrations of NO2 and NO.
    O3 means ozone.
    Open path analyzer is an automated analytical method that measures 
the average atmospheric pollutant concentration in situ along one or 
more monitoring paths having a monitoring path length of 5 meters or 
more and that has been designated as a reference or equivalent method 
under the provisions of part 53 of this chapter.
    Optical measurement path length is the actual length of the optical 
beam over which measurement of the pollutant is determined. The path-
integrated pollutant concentration measured by the analyzer is divided 
by the optical measurement path length to determine

[[Page 208]]

the path-averaged concentration. Generally, the optical measurement path 
length is:
    (1) Equal to the monitoring path length for a (bistatic) system 
having a transmitter and a receiver at opposite ends of the monitoring 
path;
    (2) Equal to twice the monitoring path length for a (monostatic) 
system having a transmitter and receiver at one end of the monitoring 
path and a mirror or retroreflector at the other end; or
    (3) Equal to some multiple of the monitoring path length for more 
complex systems having multiple passes of the measurement beam through 
the monitoring path.
    PAMS means Photochemical Assessment Monitoring Stations.
    Particulate matter monitoring network description, required by Sec. 
58.20(f), means a detailed plan, prepared by control agencies and 
submitted to EPA for approval, that describes their PM2.5 and 
PM10 air quality surveillance network.
    Pb means lead.
    Plan means an implementation plan, approved or promulgated pursuant 
to section 110 of the Clean Air Act.
    PM2.5 means particulate matter with an aerodynamic 
diameter less than or equal to a nominal 2.5 micrometers as measured by 
a reference method based on 40 CFR part 50, Appendix L, and designated 
in accordance with part 53 of this chapter or by an equivalent method 
designated in accordance with part 53 of this chapter.
    PM10 means particulate matter with an aerodynamic 
diameter less than or equal to a nominal 10 micrometers as measured by a 
reference method based on appendix J of part 50 of this chapter and 
designated in accordance with part 53 of this chapter or by an 
equivalent method designated in accordance with part 53 of this chapter.
    Point analyzer is an automated analytical method that measures 
pollutant concentration in an ambient air sample extracted from the 
atmosphere at a specific inlet probe point and that has been designated 
as a reference or equivalent method in accordance with part 53 of this 
chapter.
    Population-oriented monitoring (or sites) applies to residential 
areas, commercial areas, recreational areas, industrial areas, and other 
areas where a substantial number of people may spend a significant 
fraction of their day.
    Primary Metropolitan Statistical Area (PMSA) is a separate component 
of a consolidated metropolitan statistical area. For the purposes of 
this part, PMSA is used interchangeably with MSA.
    Probe is the actual inlet where an air sample is extracted from the 
atmosphere for delivery to a sampler or point analyzer for pollutant 
analysis.
    PSD station means any station operated for the purpose of 
establishing the effect on air quality of the emissions from a proposed 
source for purposes of prevention of significant deterioration as 
required by Sec. 51.24(n) of part 51 of this chapter.
    Reference method means a method of sampling and analyzing the 
ambient air for an air pollutant that will be specified as a reference 
method in an appendix to part 50 of this chapter, or a method that has 
been designated as a reference method in accordance with this part; it 
does not include a method for which a reference method designation has 
been canceled in accordance with Sec. 53.11 or Sec. 53.16 of this 
chapter.
    Regional Administrator means the Administrator of one of the ten EPA 
Regional Offices or his or her authorized representative.
    SAROAD site identification form is one of the several forms in the 
SAROAD system. It is the form which provides a complete description of 
the site (and its surroundings) of an ambient air quality monitoring 
station.
    SLAMS means State or Local Air Monitoring Station(s). The SLAMS make 
up the ambient air quality monitoring network which is required by Sec. 
58.20 to be provided for in the State's implementation plan. This 
definition places no restrictions on the use of the physical structure 
or facility housing the SLAMS. Any combination of SLAMS and any other 
monitors (Special Purpose, NAMS, PSD) may occupy the same facility or 
structure without affecting the respective definitions of those 
monitoring station.
    SO2 means sulfur dioxide.
    Special Purpose Monitor (SPM) is a generic term used for all 
monitors other

[[Page 209]]

than SLAMS, NAMS, PAMS, and PSD monitors included in an agency's 
monitoring network for monitors used in a special study whose data are 
officially reported to EPA.
    State agency means the air pollution control agency primarily 
responsible for development and implementation of a plan under the Act.
    Storage and Retrieval of Aerometric Data (SAROAD) system is a 
computerized system which stores and reports information relating to 
ambient air quality. The SAROAD system has been replaced with the AIRS-
AQS system; however, the SAROAD data reporting format continues to be 
used by some States and local air pollution agencies as an interface to 
AIRS on an interim basis.
    Traceable means that a local standard has been compared and 
certified, either directly or via not more than one intermediate 
standard, to a National Institute of Standards and Technology (NIST)-
certified primary standard such as a NIST-Traceable Reference Material 
(NTRM) or a NIST-certified Gas Manufacturer's Internal Standard (GMIS).
    TSP (total suspended particulates) means particulate matter as 
measured by the method described in appendix B of part 50 of this 
chapter,
    Urban area population means the population defined in the most 
recent decennial U.S. Census of Population Report.
    VOC means volatile organic compounds.

[44 FR 27571, May 10, 1979, as amended at 48 FR 2529, Jan. 20, 1983; 51 
FR 9586, Mar. 19, 1986; 52 FR 24739, July 1, 1987; 58 FR 8467, Feb. 12, 
1993; 59 FR 41628, 41629, Aug. 12, 1994; 60 FR 52319, Oct. 6, 1995; 62 
FR 38830, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 58.2  Purpose.

    (a) This part contains criteria and requirements for ambient air 
quality monitoring and requirements for reporting ambient air quality 
data and information. The monitoring criteria pertain to the following 
areas:
    (1) Quality assurance procedures for monitor operation and data 
handling.
    (2) Methodology used in monitoring stations.
    (3) Operating schedule.
    (4) Siting parameters for instruments or instrument probes.
    (b) The requirements pertaining to provisions for an air quality 
surveillance system in the State Implementation Plan are contained in 
this part.
    (c) This part also acts to establish a national ambient air quality 
monitoring network for the purpose of providing timely air quality data 
upon which to base national assessments and policy decisions. This 
network will be operated by the States and will consist of certain 
selected stations from the States' SLAMS networks. These selected 
stations will remain as SLAMS and will continue to meet any applicable 
requirements on SLAMS. The stations, however, will also be designated as 
National Air Monitoring Stations (NAMS) and will be subject to 
additional data reporting and monitoring methodology requirements as 
contained in subpart D of this part.
    (d) This section also acts to establish a Photochemical Assessment 
Monitoring Stations (PAMS) network as a subset of the State's SLAMS 
network for the purpose of enhanced monitoring in O3 
nonattainment areas listed as serious, severe, or extreme. The PAMS 
network will be subject to the data reporting and monitoring methodology 
requirements as contained in subpart E of this part.
    (e) Requirements for the daily reporting of an index of ambient air 
quality, to insure that the population of major urban areas are informed 
daily of local air quality conditions, are also included in this part.

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



Sec. 58.3  Applicability.

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

[[Page 210]]



                      Subpart B_Monitoring Criteria



Sec. 58.10  Quality assurance.

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



Sec. 58.11  Monitoring methods.

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



Sec. 58.12  Siting of instruments or instrument probes.

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



Sec. 58.13  Operating schedule.

    Ambient air quality data collected at any SLAMS must be collected as 
follows:
    (a) For continuous analyzers--consecutive hourly averages except 
during:
    (1) Periods of routine maintenance,
    (2) Periods of instrument calibration, or
    (3) Periods or seasons exempted by the Regional Administrator.
    (b) For manual methods (excluding PM10 samplers, 
PM2.5 samplers, and PAMS VOC samplers), at least one 24-hour 
sample must be obtained every sixth day except during periods or seasons 
exempted by the Regional Administrator.
    (c) For PAMS VOC samplers, samples must be obtained as specified in 
sections 4.3 and 4.4 of appendix D to this part. Area-specific PAMS 
operating schedules must be included as part of the network description 
required by Sec. 58.40 and must be approved by the Administrator.
    (d) For PM10 samplers--a 24-hour sample must be taken a 
minimum of every third day, except during periods or seasons exempted by 
the Regional Administrator.
    (e) For PM2.5 samplers, a 24-hour sample is required 
everyday for certain core SLAMS, including certain PAMS, as described in 
section 2.8.1.3 of appendix D of this part, except during seasons or 
periods of low PM2.5 as otherwise exempted by the Regional 
Administrator. A waiver of the everyday sampling schedule for SLAMS may 
be granted by the Regional Administrator or designee, and for NAMS by 
the Administrator or designee, for 1 calendar year from the time a 
PM2.5 sequential sampler (FRM or Class I equivalent) has been 
approved by EPA. A 24-hour sample must be taken a minimum of every third 
day for all other SLAMS, including NAMS, as described in section 2.8.1.3 
of appendix D of this part, except when exempted by the Regional 
Administrator in accordance with forthcoming EPA guidance. During 
periods for which exemptions to every third day or every day sampling 
are allowed for core PM2.5 SLAMS, a minimum frequency of one 
in 6-day sampling is still required. However, alternative sampling 
frequencies are allowed for SLAMS sites that are principally intended 
for comparisons to the 24-hour NAAQS. Such modifications must be 
approved by the Regional Administrator.
    (f) Alternatives to everyday sampling at sites with correlated 
acceptable continuous analyzers. (1) Certain PM2.5 core SLAMS 
sites located in monitoring planning areas (as described in section 2.8 
of appendix D of this part) are required to sample every day with a 
reference or equivalent method operating in accordance with part 53 of 
this chapter and section 2 of appendix C of this part. However, in 
accordance with the monitoring priority as defined in paragraph (f)(2) 
of this section, established by the control agency and approved by EPA, 
a core SLAMS monitor may operate with a reference or equivalent method 
on a 1 in 3-day schedule and produce data that may be compared to the 
NAAQS, provided that it is collocated with an acceptable continuous fine 
particulate PM analyzer that is correlated with the reference or 
equivalent method. If the alternative sampling schedule is selected by 
the control agency and approved by EPA, the alternative schedule shall 
be implemented on January 1 of the year in which everyday sampling is 
required. The selection of correlated acceptable

[[Page 211]]

continuous PM analyzers and procedures for correlation with the 
intermittent reference or equivalent method shall be in accordance with 
procedures approved by the Regional Administrator. Unless the continuous 
fine particulate analyzer satisfies the requirements of section 2 of 
appendix C of this part, however, the data derived from the correlated 
acceptable continuous monitor are not eligible for direct comparisons to 
the NAAQS in accordance with part 50 of this chapter.
    (2) A Metropolitan Statistical Area (MSA) (or primary metropolitan 
statistical area) with greater than 1 million population and high 
concentrations of PM2.5 (greater than or equal to 80 percent 
of the NAAQS) shall be a Priority 1 PM monitoring area. Other monitoring 
planning areas may be designated as Priority 2 PM monitoring areas.
    (3) Core SLAMS having a correlated acceptable continuous analyzer 
collocated with a reference or equivalent method in a Priority 1 PM 
monitoring area may operate on the 1 in 3 sampling frequency only after 
reference or equivalent data are collected for at least 2 complete 
years.
    (4) In all monitoring situations, with a correlated acceptable 
continuous alternative, FRM samplers or filter-based equivalent 
analyzers should preferably accompany the correlated acceptable 
continuous monitor.

[44 FR 27571, May 10, 1979, as amended at 52 FR 24739, July 1, 1987; 58 
FR 8467, Feb. 12, 1993; 62 FR 38831, July 18, 1997; 63 FR 7714, Feb. 17, 
1998]



Sec. 58.14  Special purpose monitors.

    (a) Except as specified in paragraph (b) of this section, any 
ambient air quality monitoring station other than a SLAMS or PSD station 
from which the State intends to use the data as part of a demonstration 
of attainment or nonattainment or in computing a design value for 
control purposes of the National Ambient Air Quality Standards (NAAQS) 
must meet the requirements for SLAMS as described in Sec. 58.22 and, 
after January 1, 1983, must also meet the requirements for SLAMS 
described in Sec. 58.13 and Appendices A and E of this part.
    (b) Based on the need, in transitioning to a PM2.5 
standard that newly addresses the ambient impacts of fine particles, to 
encourage a sufficiently extensive geographical deployment of 
PM2.5 monitors and thus hasten the development of an adequate 
PM2.5 ambient air quality monitoring infrastructure, 
PM2.5 NAAQS violation determinations shall not be exclusively 
made based on data produced at a population-oriented SPM site during the 
first 2 complete calendar years of its operation. However, a notice of 
NAAQS violations resulting from population-oriented SPMs shall be 
reported to EPA in the State's annual monitoring report and be 
considered by the State in the design of its overall SLAMS network; 
these population-oriented SPMs should be considered to become a 
permanent SLAMS during the annual network review in accordance with 
Sec. 58.25.
    (c) Any ambient air quality monitoring station other than a SLAMS or 
PSD station from which the State intends to use the data for SIP-related 
functions other than as described in paragraph (a) of this section is 
not necessarily required to comply with the requirements for a SLAMS 
station under paragraph (a) of this section but must be operated in 
accordance with a monitoring schedule, methodology, quality assurance 
procedures, and probe or instrument-siting specifications approved by 
the Regional Administrator.

[62 FR 38832, July 18, 1997]



        Subpart C_State and Local Air Monitoring Stations (SLAMS)



Sec. 58.20  Air quality surveillance: plan content.

    By January 1, 1980, the State shall adopt and submit to the 
Administrator a revision to the plan which will:
    (a) Provide for the establishment of an air quality surveillance 
system that consists of a network of monitoring stations designated as 
State and Local Air Monitoring Stations (SLAMS) which measure ambient 
concentrations of those pollutants for which standards have been 
established in part 50 of this chapter. SLAMS (including NAMS) 
designated as PAMS will also obtain

[[Page 212]]

ambient concentrations of speciated VOC and NOX, and 
meteorological measurements. PAMS may therefore be located at existing 
SLAMS or NAMS sites when appropriate.
    (b) Provide for meeting the requirements of appendices A, C, D, and 
E to this part.
    (c) Provide for the operation of at least one SLAMS per criteria 
pollutant except Pb during any stage of an air pollution episode as 
defined in the plan.
    (d) Provide for the review of the air quality surveillance system on 
an annual basis to determine if the system meets the monitoring 
objectives defined in appendix D of this part. Such review must identify 
needed modifications to the network such as termination or relocation of 
unnecessary stations or establishment of new stations that are 
necessary. For PM2.5, the review must identify needed changes 
to core SLAMS, monitoring planning areas, the chosen community 
monitoring approach including optional community monitoring zones, 
SLAMS, or SPMs.
    (e) Provide for having a SLAMS network description available for 
public inspection and submission to the Administrator upon request. The 
network description must be available at the time of plan revision 
submittal and must contain the following information for each SLAMS:
    (1) The AIRS site identification form for existing stations.
    (2) The proposed location for scheduled stations.
    (3) The sampling and analysis method.
    (4) The operating schedule.
    (5) The monitoring objective and spatial scale of representativeness 
as defined in appendix D to this part.
    (6) A schedule for:
    (i) Locating, placing into operation, and making available the AIRS 
site identification form for each SLAMS which is not located and 
operating at the time of plan revision submittal,
    (ii) Implementing quality assurance procedures of appendix A to this 
part for each SLAMS for which such procedures are not implemented at the 
time of plan revision submittal, and
    (iii) Resiting each SLAMS which does not meet the requirements of 
appendix E to this part at the time of plan revision submittal.
    (f) Provide for having a PM monitoring network description available 
for public inspection which must provide for monitoring planning areas, 
and the community monitoring approach involving core monitors and 
optional community monitoring zones for PM2.5. The PM 
monitoring network description for PM10 and PM2.5 
must be submitted to the Regional Administrator for approval by July 1, 
1998, and must contain the following information for each PM SLAMS and 
PM2.5 SPM:
    (1) The AIRS site identification form for existing stations.
    (2) The proposed location for scheduled stations.
    (3) The sampling and analysis method.
    (4) The operating schedule.
    (5) The monitoring objective, spatial scale of representativeness, 
and additionally for PM2.5, the monitoring planning area, 
optional community monitoring zone, and the site code designation to 
identify which site will be identified as core SLAMS; and SLAMS or 
population-oriented SPMs, if any, that are microscale or middle scale in 
their representativeness as defined in appendix D of this part.
    (6) A schedule for:
    (i) Locating, placing into operation, and making available the AIRS 
site identification form for each SLAMS which is not located and 
operating at the time of plan revision submittal.
    (ii) Implementing quality assurance procedures of appendix A of this 
part for each SLAMS for which such procedures are not implemented at the 
time of plan revision submittal.
    (iii) Resiting each SLAMS which does not meet the requirements of 
appendix E of this part at the time of plan revision submittal.
    (g) Provide for having a list of all PM2.5 monitoring 
locations including SLAMS, NAMS, PAMS and population-oriented SPMs, that 
are included in the State's PM monitoring network description and are 
intended for comparison to the NAAQS, available for public inspection.
    (h) Within 9 months after;

[[Page 213]]

    (1) February 12, 1993; or
    (2) Date of redesignation or reclassification of any existing 
O3 nonattainment area to serious, severe, or extreme; or
    (3) The designation of a new area and classification to serious, 
severe, or extreme, affected States shall adopt and submit a plan 
revision to the Administrator.
    (i) The plan revision will provide for the establishment and 
maintenance of PAMS. Each PAMS site will provide for the monitoring of 
ambient concentrations of criteria pollutants (O3, 
NO2), and non-criteria pollutants (NOX, NO, and 
speciated VOC) as stipulated in section 4.2 of appendix D, and 
meteorological measurements. The PAMS network is part of the SLAMS 
network, and the plan provisions in paragraphs (a) through (h) of this 
section will apply to the revision. Since NAMS sites are also part of 
the SLAMS network, some PAMS sites may be coincident with NAMS sites and 
may be designated as both PAMS and NAMS.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44164, Sept. 3, 1981; 52 
FR 24740, July 1, 1987; 58 FR 8467, Feb. 12, 1993; 59 FR 41628, Aug. 12, 
1994; 62 FR 38832, July 18, 1997]



Sec. 58.21  SLAMS network design.

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



Sec. 58.22  SLAMS methodology.

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



Sec. 58.23  Monitoring network completion.

    With the exception of the PM10 monitoring networks that 
shall be in place by March 16, 1998 and with the exception of the 
PM2.5 monitoring networks as described in paragraph (c) of 
this section:
    (a) Each station in the SLAMS network must be in operation, be sited 
in accordance with the criteria in appendix E to this part, and be 
located as described on the station's AIRS site identification form, and
    (b) The quality assurance requirements of appendix A to this part 
must be fully implemented.
    (c) Each PM2.5 station in the SLAMS network must be in 
operation in accordance with the minimum requirements of appendix D of 
this part, be sited in accordance with the criteria in appendix E of 
this part, and be located as described on the station's AIRS site 
identification form, according to the following schedule:
    (1) Within 1 year after September 16, 1997, at least one required 
core PM2.5 SLAMS site in each MSA with population greater 
than 500,000, plus one site in each PAMS area, (plus at least two 
additional SLAMS sites per State) must be in operation.
    (2) Within 2 years after September 16, 1997, all other required 
SLAMS, including all required core SLAMS, required regional background 
and regional transport SLAMS, continuous PM monitors in areas with 
greater than 1 million population, and all additional required 
PM2.5 SLAMS must be in operation.
    (3) Within 3 years after September 16, 1997, all additional sites 
(e.g., sites classified as SLAMS/SPM to complete the mature network) 
must be in operation.

[44 FR 27571, May 10, 1979, as amended at 52 FR 24740, July 1, 1987; 59 
FR 41628, Aug. 12, 1994; 62 FR 38832, July 18, 1997]



Sec. 58.24  [Reserved]



Sec. 58.25  System modification.

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

[[Page 214]]

with the approval of the Regional Administrator, from making 
modifications to the SLAMS network for reasons other than those 
resulting from the annual review.



Sec. 58.26  Annual State air monitoring report.

    (a) The State shall submit to the Administrator (through the 
appropriate Regional Office) an annual summary report of all the ambient 
air quality monitoring data from all monitoring stations designated 
State and Local Air Monitoring Stations (SLAMS). The annual report must 
be submitted by July 1 of each year for data collected from January 1 to 
December 31 of the previous year.
    (b) The SLAMS annual data summary report must contain:
    (1) The information specified in appendix F,
    (2) The location, date, pollution source, and duration of each 
incident of air pollution during which ambient levels of a pollutant 
reached or exceeded the level specified by Sec. 51.16(a) of this 
chapter as a level which could cause significant harm to the health of 
persons.
    (c) The senior air pollution control officer in the State or his 
designee shall certify that the annual summary report is accurate to the 
best of his knowledge.
    (d) For PM monitoring and data--
    (1) The State shall submit a summary to the appropriate Regional 
Office (for SLAMS) or Administrator (through the Regional Office) (for 
NAMS) that details proposed changes to the PM Monitoring Network 
Description and to be in accordance with the annual network review 
requirements in Sec. 58.25. This shall discuss the existing PM 
networks, including modifications to the number, size or boundaries of 
monitoring planning areas and optional community monitoring zones; 
number and location of PM10 and PM2.5 SLAMS; 
number and location of core PM2.5 SLAMS; alternative sampling 
frequencies proposed for PM2.5 SLAMS (including core 
PM2.5 SLAMS and PM2.5 NAMS), core PM2.5 
SLAMS to be designated PM2.5 NAMS; and PM10 and 
PM2.5 SLAMS to be designated PM10 and 
PM2.5 NAMS respectively.
    (2) The State shall submit an annual summary to the appropriate 
Regional Office of all the ambient air quality monitoring PM data from 
all special purpose monitors that are described in the State's PM 
monitoring network description and are intended for SIP purposes. These 
include those population-oriented SPMs that are eligible for comparison 
to the PM2.5 NAAQS. The State shall certify the data in 
accordance with paragraph (c) of this section.
    (e) The Annual State Air Monitoring Report shall be submitted to the 
Regional Administrator by July 1 or by an alternative annual date to be 
negotiated between the State and Regional Administrator. The Region 
shall provide review and approval/disapproval within 60 days. After 3 
years following September 16, 1997, the schedule for submitting the 
required annual revised PM2.5 monitoring network description 
may be altered based on a new schedule determined by the Regional 
Administrator. States may submit an alternative PM monitoring network 
description in which it requests exemptions from specific required 
elements of the network design (e.g., required number of core sites, 
other SLAMS, sampling frequency, etc.). After 3 years following 
September 16, 1997 or once a monitoring area has been determined to 
violate the NAAQS, then changes to an MPA monitoring network affecting 
the violating locations shall require public review and notification.

[44 FR 27571, May 10, 1979, as amended at 51 FR 9586, Mar. 19, 1986; 62 
FR 38833, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 58.27  Compliance date for air quality data reporting.

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



Sec. 58.28  SLAMS data submittal.

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

[[Page 215]]

the SLAMS data to the appropriate Regional Administrator upon request.

[59 FR 41628, Aug. 12, 1994]



            Subpart D_National Air Monitoring Stations (NAMS)



Sec. 58.30  NAMS network establishment.

    (a) By January 1, 1980, with the exception of PM10 and 
PM2.5 samplers, which shall be by July 1, 1998, the State 
shall:
    (1) Establish, through the operation of stations or through a 
schedule for locating and placing stations into operation, that portion 
of a National Ambient Air Quality Monitoring Network which is in that 
State, and
    (2) Submit to the Administrator (through the appropriate Regional 
Office) a description of that State's portion of the network.
    (b) Hereinafter, the portion of the national network in any State 
will be referred to as the NAMS network.
    (c) The stations in the NAMS network must be stations from the SLAMS 
network required by Sec. 58.20.
    (d) The requirements of appendix D to this part must be met when 
designing the NAMS network. The process of designing the NAMS network 
must be part of the process of designing the SLAMS network as explained 
in appendix D to this part.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44164, Sept. 3, 1981; 52 
FR 24740, July 1, 1987; 62 FR 38833, July 18, 1997]



Sec. 58.31  NAMS network description.

    The NAMS network description required by Sec. 58.30 must contain 
the following for all stations, existing or scheduled:
    (a) The AIRS site identification number for existing stations.
    (b) The proposed location for scheduled stations.
    (c) Identity of the urban area represented.
    (d) The sampling and analysis method.
    (e) The operating schedule.
    (f) The monitoring objective, spatial scale of representativeness, 
and for PM2.5, the monitoring planning area and community 
monitoring zones, as defined in appendix D of this part.
    (g) A schedule for:
    (1) Locating, placing into operation, and submitting the AIRS site 
identification form for each NAMS which is not located and operating at 
the time of network description submittal,
    (2) Implementing quality assurance procedures of appendix A to this 
part for each NAMS for which such procedures are not implemented at the 
time of network description submittal, and
    (3) Resiting each NAMS which does not meet the requirements of 
appendix E to this part at the time of network description submittal.

[44 FR 27571, May 10, 1979, as amended at 59 FR 41628, Aug. 12, 1994; 62 
FR 38833, July 18, 1997; 63 FR 7714, Feb. 17, 1998; 64 FR 3034, Jan. 20, 
1999]



Sec. 58.32  NAMS approval.

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



Sec. 58.33  NAMS methodology.

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



Sec. 58.34  NAMS network completion.

    With the exception of PM10 samplers, which shall be by 1 
year after September 16, 1997, and PM2.5, which shall be by 3 
years after September 16, 1997:
    (a) Each NAMS must be in operation, be sited in accordance with the 
criteria in Appendix E to this part, and be located as described in the 
AIRS database; and
    (b) The quality assurance requirements of appendix A to this part 
must be fully implemented for all NAMS.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44164, Sept. 3, 1981; 52 
FR 24740, July 1, 1987; 59 FR 41628, Aug. 12, 1994; 62 FR 38833, July 
18, 1997; 64 FR 3034, Jan. 20, 1999]



Sec. 58.35  NAMS data submittal.

    (a) The requirements of this section apply to those stations 
designated as

[[Page 216]]

both SLAMS and NAMS by the network description required by Sec. Sec. 
58.20 and 58.30.
    (b) The State shall report to the Administrator all ambient air 
quality data for SO2, CO, O3, NO2, Pb, 
PM10, and PM2.5, and information specified by the 
AIRS Users Guide (Volume II, Air Quality Data Coding, and Volume III, 
Air Quality Data Storage) to be coded into the AIRS-AQS format. Such air 
quality data and information must be submitted directly to the AIRS-AQS 
via either electronic transmission or magnetic tape, in the format of 
the AIRS-AQS, and in accordance with the quarterly schedule described in 
paragraph (c) of this section.
    (c) The specific quarterly reporting periods are January 1-March 31, 
April 1-June 30, July 1-September 30, and October 1-December 31. The 
data and information reported for each reporting period must:
    (1) Contain all data and information gathered during the reporting 
period.
    (2) Be received in the AIRS-AQS within 90 days after the end of the 
quarterly reporting period. For example, the data for the reporting 
period January 1-March 31, 1994 are due on or before June 30, 1994.
    (d) Air quality data submitted for each reporting period must be 
edited, validated, and entered into the AIRS-AQS for updating (within 
the time limits specified in paragraph (c) of this section) pursuant to 
appropriate AIRS-AQS procedures. The procedures for editing and 
validating data are described in the AIRS Users Guide, Volume II Air 
Quality Data Coding.
    (e) This section does not permit a State to exempt those SLAMS which 
are also designated as NAMS from all or any of the reporting 
requirements applicable to SLAMS in Sec. 58.26.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44164, Sept. 3, 1981; 51 
FR 9586, Mar. 19, 1986; 52 FR 24740, July 1, 1987; 59 FR 41628, Aug. 12, 
1994; 62 FR 38833, July 18, 1997]



Sec. 58.36  System modification.

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

[51 FR 9586, Mar. 19, 1986]



      Subpart E_Photochemical Assessment Monitoring Stations (PAMS)

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



Sec. 58.40  PAMS network establishment.

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

The network description will apply to all serious, severe, and extreme 
O3 nonattainment areas within the State. Some O3 
nonattainment areas may extend beyond State or Regional boundaries. In 
instances where PAMS network design criteria as defined in appendix D to 
this part require monitoring stations located in different States and/or 
Regions, the network description and implementation schedule should be 
submitted jointly by the States involved. When appropriate, such 
cooperation and joint network design submittals are preferred. Network 
descriptions shall be submitted through the appropriate Regional 
Office(s). Alternative networks, including different monitoring 
schedules, periods, or methods, may be submitted, but they must include 
a demonstration that they satisfy the monitoring data uses and fulfill 
the PAMS monitoring objectives described in sections 4.1 and 4.2 of 
appendix D to this part.
    (b) For purposes of plan development and approval, the stations 
established

[[Page 217]]

or designated as PAMS must be stations from the SLAMS network or become 
part of the SLAMS network required by Sec. 58.20.
    (c) The requirements of appendix D to this part applicable to PAMS 
must be met when designing the PAMS network.



Sec. 58.41  PAMS network description.

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

[58 FR 8468, Feb. 12, 1993, as amended at 64 FR 3035, Jan. 20, 1999]



Sec. 58.42  PAMS approval.

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



Sec. 58.43  PAMS methodology.

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



Sec. 58.44  PAMS network completion.

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



Sec. 58.45  PAMS data submittal.

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

[[Page 218]]



Sec. 58.46  System modification.

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



                  Subpart F_Air Quality Index Reporting



Sec. 58.50  Index reporting.

    (a) The State shall report to the general public through prominent 
notice an air quality index in accordance with the requirements of 
appendix G to this part.
    (b) Reporting is required by all Metropolitan Statistical Areas with 
a population exceeding 350,000.
    (c) The population of a Metropolitan Statistical Area for purposes 
of index reporting is the most recent decennial U.S. census population.

[64 FR 42547, Aug. 4, 1999]



                      Subpart G_Federal Monitoring

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



Sec. 58.60  Federal monitoring.

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



Sec. 58.61  Monitoring other pollutants.

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

  Appendix A to Part 58--Quality Assurance Requirements for State and 
                  Local Air Monitoring Stations (SLAMS)

1. General Information.
    1.1 This appendix specifies the minimum quality assurance/quality 
control (QA/QC) requirements applicable to SLAMS air monitoring data 
submitted to EPA. State and local agencies are encouraged to develop and 
maintain quality assurance programs more extensive than the required 
minimum.
    1.2 To assure the quality of data from air monitoring measurements, 
two distinct and important interrelated functions must be performed. One 
function is the control of the measurement process through broad quality 
assurance activities, such as establishing policies and procedures, 
developing data quality objectives, assigning roles and 
responsibilities, conducting oversight and reviews, and implementing 
corrective actions. The other function is the control of the measurement 
process through the implementation of specific quality control 
procedures, such as audits, calibrations, checks, replicates, routine 
self-assessments, etc. In general, the greater the control of a given 
monitoring system, the better will be the resulting quality of the 
monitoring data. The results of quality assurance reviews and 
assessments indicate whether the control efforts are adequate or need to 
be improved.
    1.3 Documentation of all quality assurance and quality control 
efforts implemented during the data collection, analysis, and reporting 
phases is important to data users, who can then consider the impact of 
these control efforts on the data quality (see reference 1 of this 
appendix). Both qualitative and quantitative assessments of the 
effectiveness of these control efforts should identify those areas most 
likely to impact the data quality and to what extent.
    1.4 Periodic assessments of SLAMS data quality are required to be 
reported to EPA. To provide national uniformity in this assessment and 
reporting of data quality for all SLAMS networks, specific assessment

[[Page 219]]

and reporting procedures are prescribed in detail in sections 3, 4, and 
5 of this appendix. On the other hand, the selection and extent of the 
QA and QC activities used by a monitoring agency depend on a number of 
local factors such as the field and laboratory conditions, the 
objectives for monitoring, the level of the data quality needed, the 
expertise of assigned personnel, the cost of control procedures, 
pollutant concentration levels, etc. Therefore, the quality system 
requirements, in section 2 of this appendix, are specified in general 
terms to allow each State to develop a quality assurance program that is 
most efficient and effective for its own circumstances while achieving 
the Ambient Air Quality Programs data quality objectives.
2. Quality System Requirements.
    2.1 Each State and local agency must develop a quality system 
(reference 2 of this appendix) to ensure that the monitoring results:
    (a) Meet a well-defined need, use, or purpose.
    (b) Satisfy customers' expectations.
    (c) Comply with applicable standards specifications.
    (d) Comply with statutory (and other) requirements of society.
    (e) Reflect consideration of cost and economics.
    (f) Implement a quality assurance program consisting of policies, 
procedures, specifications, standards, and documentation necessary to:
    (1) Provide data of adequate quality to meet monitoring objectives, 
and
    (2) Minimize loss of air quality data due to malfunctions or out-of-
control conditions. This quality assurance program must be described in 
detail, suitably documented in accordance with Agency requirements 
(reference 4 of this appendix), and approved by the appropriate Regional 
Administrator, or the Regional Administrator's designee. The Quality 
Assurance Program will be reviewed during the systems audits described 
in section 2.5 of this appendix.
    2.2 Primary requirements and guidance documents for developing the 
quality assurance program are contained in references 2 through 7 of 
this appendix, which also contain many suggested and required 
procedures, checks, and control specifications. Reference 7 of this 
appendix describes specific guidance for the development of a QA Program 
for SLAMS. Many specific quality control checks and specifications for 
methods are included in the respective reference methods described in 
part 50 of this chapter or in the respective equivalent method 
descriptions available from EPA (reference 8 of this appendix). 
Similarly, quality control procedures related to specifically designated 
reference and equivalent method analyzers are contained in the 
respective operation or instruction manuals associated with those 
analyzers. Quality assurance guidance for meteorological systems at PAMS 
is contained in reference 9 of this appendix. Quality assurance 
procedures for VOC, NOX (including NO and NO2), 
O3, and carbonyl measurements at PAMS must be consistent with 
reference 15 of this appendix. Reference 4 of this appendix includes 
requirements for the development of quality assurance project plans, and 
quality assurance and control programs, and systems audits demonstrating 
attainment of the requirements.
    2.3 Pollutant Concentration and Flow Rate Standards.
    2.3.1 Gaseous pollutant concentration standards (permeation devices 
or cylinders of compressed gas) used to obtain test concentrations for 
CO, SO2, NO, and NO2 must be traceable to either a 
National Institute of Standards and Technology (NIST) NIST-Traceable 
Reference Material (NTRM) or a NIST-certified Gas Manufacturer's 
Internal Standard (GMIS), certified in accordance with one of the 
procedures given in reference 10 of this appendix.
    2.3.2 Test concentrations for O3 must be obtained in 
accordance with the UV photometric calibration procedure specified in 40 
CFR part 50, appendix D, or by means of a certified ozone transfer 
standard. Consult references 11 and 12 of this appendix for guidance on 
primary and transfer standards for O3.
    2.3.3 Flow rate measurements must be made by a flow measuring 
instrument that is traceable to an authoritative volume or other 
applicable standard. Guidance for certifying some types of flowmeters is 
provided in reference 7 of this appendix.
    2.4 National Performance Audit Program (NPAP). Agencies operating 
SLAMS are required to participate in EPA's NPAP. These audits are 
described in reference 7 of this appendix. For further instructions, 
agencies should contact either the appropriate EPA Regional QA 
Coordinator at the appropriate EPA Regional Office location, or the NPAP 
Coordinator, Emissions Monitoring and Analysis Division (MD-14), U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711.
    2.5 Systems Audit Programs. Systems audits of the ambient air 
monitoring programs of agencies operating SLAMS shall be conducted at 
least every 3 years by the appropriate EPA Regional Office. Systems 
audit programs are described in reference 7 of this appendix. For 
further instructions, agencies should contact either the appropriate EPA 
Regional QA Coordinator or the Systems Audit QA Coordinator, Office of 
Air Quality Planning and Standards, Emissions Monitoring and Analysis 
Division (MD-14), U.S. Environmental Protection Agency, Research 
Triangle Park, NC 27711.
3. Data Quality Assessment Requirements.

[[Page 220]]

    3.0.1 All ambient monitoring methods or analyzers used in SLAMS 
shall be tested periodically, as described in this section, to 
quantitatively assess the quality of the SLAMS data. Measurement 
uncertainty is estimated for both automated and manual methods. 
Terminology associated with measurement uncertainty are found within 
this appendix and includes:
    (a) Precision. A measurement of mutual agreement among individual 
measurements of the same property usually under prescribed similar 
conditions, expressed generally in terms of the standard deviation;
    (b) Accuracy. The degree of agreement between an observed value and 
an accepted reference value, accuracy includes a combination of random 
error (precision) and systematic error (bias) components which are due 
to sampling and analytical operations;
    (c) Bias. The systematic or persistent distortion of a measurement 
process which causes errors in one direction. The individual results of 
these tests for each method or analyzer shall be reported to EPA as 
specified in section 4 of this appendix. EPA will then calculate 
quarterly assessments of measurement uncertainty applicable to the SLAMS 
data as described in section 5 of this appendix. Data assessment results 
should be reported to EPA only for methods and analyzers approved for 
use in SLAMS monitoring under appendix C of this part.
    3.0.2 Estimates of the data quality will be calculated on the basis 
of single monitors and reporting organizations and may also be 
calculated for each region and for the entire Nation. A reporting 
organization is defined as a State, subordinate organization within a 
State, or other organization that is responsible for a set of stations 
that monitors the same pollutant and for which data quality assessments 
can be pooled. States must define one or more reporting organizations 
for each pollutant such that each monitoring station in the State SLAMS 
network is included in one, and only one, reporting organization.
    3.0.3 Each reporting organization shall be defined such that 
measurement uncertainty among all stations in the organization can be 
expected to be reasonably homogeneous, as a result of common factors.
    (a) Common factors that should be considered by States in defining 
reporting organizations include:
    (1) Operation by a common team of field operators.
    (2) Common calibration facilities.
    (3) Oversight by a common quality assurance organization.
    (4) Support by a common laboratory or headquarters.
    (b) Where there is uncertainty in defining the reporting 
organizations or in assigning specific sites to reporting organizations, 
States shall consult with the appropriate EPA Regional Office. All 
definitions of reporting organizations shall be subject to final 
approval by the appropriate EPA Regional Office.
    3.0.4 Assessment results shall be reported as specified in section 4 
of this appendix. Table A-1 of this appendix provides a summary of the 
minimum data quality assessment requirements, which are described in 
more detail in the following sections.
    3.1 Precision of Automated Methods Excluding PM2.5.
    3.1.1 Methods for SO2, NO2, O3 and 
CO. A one- point precision check must be performed at least once every 2 
weeks on each automated analyzer used to measure SO2, 
NO2, O3 and CO. The precision check is made by 
challenging the analyzer with a precision check gas of known 
concentration (effective concentration for open path analyzers) between 
0.08 and 0.10 ppm for SO2, NO2, and O3 
analyzers, and between 8 and 10 ppm for CO analyzers. To check the 
precision of SLAMS analyzers operating on ranges higher than 0 to 1.0 
ppm SO2, NO2, and O3, or 0 to 100 ppm 
for CO, use precision check gases of appropriately higher concentration 
as approved by the appropriate Regional Administrator or their designee. 
However, the results of precision checks at concentration levels other 
than those specified above need not be reported to EPA. The standards 
from which precision check test concentrations are obtained must meet 
the specifications of section 2.3 of this appendix.
    3.1.1.1 Except for certain CO analyzers described below, point 
analyzers must operate in their normal sampling mode during the 
precision check, and the test atmosphere must pass through all filters, 
scrubbers, conditioners and other components used during normal ambient 
sampling and as much of the ambient air inlet system as is practicable. 
If permitted by the associated operation or instruction manual, a CO 
point analyzer may be temporarily modified during the precision check to 
reduce vent or purge flows, or the test atmosphere may enter the 
analyzer at a point other than the normal sample inlet, provided that 
the analyzer's response is not likely to be altered by these deviations 
from the normal operational mode. If a precision check is made in 
conjunction with a zero or span adjustment, it must be made prior to 
such zero or span adjustments. Randomization of the precision check with 
respect to time of day, day of week, and routine service and adjustments 
is encouraged where possible.
    3.1.1.2 Open path analyzers are tested by inserting a test cell 
containing a precision check gas concentration into the optical 
measurement beam of the instrument. If possible, the normally used 
transmitter, receiver, and as appropriate, reflecting devices

[[Page 221]]

should be used during the test, and the normal monitoring configuration 
of the instrument should be altered as little as possible to accommodate 
the test cell for the test. However, if permitted by the associated 
operation or instruction manual, an alternate local light source or an 
alternate optical path that does not include the normal atmospheric 
monitoring path may be used. The actual concentration of the precision 
check gas in the test cell must be selected to produce an effective 
concentration in the range specified in section 3.1.1. Generally, the 
precision test concentration measurement will be the sum of the 
atmospheric pollutant concentration and the precision test 
concentration. If so, the result must be corrected to remove the 
atmospheric concentration contribution. The corrected concentration is 
obtained by subtracting the average of the atmospheric concentrations 
measured by the open path instrument under test immediately before and 
immediately after the precision check test from the precision test 
concentration measurement. If the difference between these before and 
after measurements is greater than 20 percent of the effective 
concentration of the test gas, discard the test result and repeat the 
test. If possible, open path analyzers should be tested during periods 
when the atmospheric pollutant concentrations are relatively low and 
steady.
    3.1.1.3 Report the actual concentration (effective concentration for 
open path analyzers) of the precision check gas and the corresponding 
concentration measurement (corrected concentration, if applicable, for 
open path analyzers) indicated by the analyzer. The percent differences 
between these concentrations are used to assess the precision of the 
monitoring data as described in section 5.1. of this appendix.
    3.1.2 Methods for Particulate Matter Excluding PM2.5. A 
one-point precision check must be performed at least once every 2 weeks 
on each automated analyzer used to measure PM10. The 
precision check is made by checking the operational flow rate of the 
analyzer. If a precision flow rate check is made in conjunction with a 
flow rate adjustment, it must be made prior to such flow rate 
adjustment. Randomization of the precision check with respect to time of 
day, day of week, and routine service and adjustments is encouraged 
where possible.
    3.1.2.1 Standard procedure: Use a flow rate transfer standard 
certified in accordance with section 2.3.3 of this appendix to check the 
analyzer's normal flow rate. Care should be used in selecting and using 
the flow rate measurement device such that it does not alter the normal 
operating flow rate of the analyzer. Report the actual analyzer flow 
rate measured by the transfer standard and the corresponding flow rate 
measured, indicated, or assumed by the analyzer.
    3.1.2.2 Alternative procedure:
    3.1.2.2.1 It is permissible to obtain the precision check flow rate 
data from the analyzer's internal flow meter without the use of an 
external flow rate transfer standard, provided that:
    3.1.2.2.1.1 The flow meter is audited with an external flow rate 
transfer standard at least every 6 months.
    3.1.2.2.1.2 Records of at least the three most recent flow audits of 
the instrument's internal flow meter over at least several weeks confirm 
that the flow meter is stable, verifiable and accurate to 4%.
    3.1.2.2.1.3 The instrument and flow meter give no indication of 
improper operation.
    3.1.2.2.2 With suitable communication capability, the precision 
check may thus be carried out remotely. For this procedure, report the 
set-point flow rate as the actual flow rate along with the flow rate 
measured or indicated by the analyzer flow meter.
    3.1.2.2.3 For either procedure, the percent differences between the 
actual and indicated flow rates are used to assess the precision of the 
monitoring data as described in section 5.1 of this appendix (using flow 
rates in lieu of concentrations). The percent differences between these 
concentrations are used to assess the precision of the monitoring data 
as described in section 5.1. of this appendix.
    3.2 Accuracy of Automated Methods Excluding PM2.5.
    3.2.1 Methods for SO2, NO2, O3, or 
CO.
    3.2.1.1 Each calendar quarter (during which analyzers are operated), 
audit at least 25 percent of the SLAMS analyzers that monitor for 
SO2, NO2, O3, or CO such that each 
analyzer is audited at least once per year. If there are fewer than four 
analyzers for a pollutant within a reporting organization, randomly 
reaudit one or more analyzers so that at least one analyzer for that 
pollutant is audited each calendar quarter. Where possible, EPA strongly 
encourages more frequent auditing, up to an audit frequency of once per 
quarter for each SLAMS analyzer.
    3.2.1.2 (a) The audit is made by challenging the analyzer with at 
least one audit gas of known concentration (effective concentration for 
open path analyzers) from each of the following ranges applicable to the 
analyzer being audited:

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

    (b) NO2 audit gas for chemiluminescence-type 
NO2 analyzers must also contain at least 0.08 ppm NO.
    3.2.1.3 NO concentrations substantially higher than 0.08 ppm, as may 
occur when

[[Page 222]]

using some gas phase titration (GPT) techniques, may lead to audit 
errors in chemiluminescence analyzers due to inevitable minor NO-
NOX channel imbalance. Such errors may be atypical of routine 
monitoring errors to the extent that such NO concentrations exceed 
typical ambient NO concentrations at the site. These errors may be 
minimized by modifying the GPT technique to lower the NO concentrations 
remaining in the NO2 audit gas to levels closer to typical 
ambient NO concentrations at the site.
    3.2.1.4 To audit SLAMS analyzers operating on ranges higher than 0 
to 1.0 ppm for SO2, NO2, and O3 or 0 to 
100 ppm for CO, use audit gases of appropriately higher concentration as 
approved by the appropriate Regional Administrator or the 
Administrators's designee. The results of audits at concentration levels 
other than those shown in the above table need not be reported to EPA.
    3.2.1.5 The standards from which audit gas test concentrations are 
obtained must meet the specifications of section 2.3 of this appendix. 
The gas standards and equipment used for auditing must not be the same 
as the standards and equipment used for calibration or calibration span 
adjustments. The auditor should not be the operator or analyst who 
conducts the routine monitoring, calibration, and analysis.
    3.2.1.6 For point analyzers, the audit shall be carried out by 
allowing the analyzer to analyze the audit test atmosphere in its normal 
sampling mode such that the test atmosphere passes through all filters, 
scrubbers, conditioners, and other sample inlet components used during 
normal ambient sampling and as much of the ambient air inlet system as 
is practicable. The exception provided in section 3.1 of this appendix 
for certain CO analyzers does not apply for audits.
    3.2.1.7 Open path analyzers are audited by inserting a test cell 
containing the various audit gas concentrations into the optical 
measurement beam of the instrument. If possible, the normally used 
transmitter, receiver, and, as appropriate, reflecting devices should be 
used during the audit, and the normal monitoring configuration of the 
instrument should be modified as little as possible to accommodate the 
test cell for the audit. However, if permitted by the associated 
operation or instruction manual, an alternate local light source or an 
alternate optical path that does not include the normal atmospheric 
monitoring path may be used. The actual concentrations of the audit gas 
in the test cell must be selected to produce effective concentrations in 
the ranges specified in this section 3.2 of this appendix. Generally, 
each audit concentration measurement result will be the sum of the 
atmospheric pollutant concentration and the audit test concentration. If 
so, the result must be corrected to remove the atmospheric concentration 
contribution. The corrected concentration is obtained by subtracting the 
average of the atmospheric concentrations measured by the open path 
instrument under test immediately before and immediately after the audit 
test (or preferably before and after each audit concentration level) 
from the audit concentration measurement. If the difference between the 
before and after measurements is greater than 20 percent of the 
effective concentration of the test gas standard, discard the test 
result for that concentration level and repeat the test for that level. 
If possible, open path analyzers should be audited during periods when 
the atmospheric pollutant concentrations are relatively low and steady. 
Also, the monitoring path length must be reverified to within 3 percent to validate the audit, since the monitoring 
path length is critical to the determination of the effective 
concentration.
    3.2.1.8 Report both the actual concentrations (effective 
concentrations for open path analyzers) of the audit gases and the 
corresponding concentration measurements (corrected concentrations, if 
applicable, for open path analyzers) indicated or produced by the 
analyzer being tested. The percent differences between these 
concentrations are used to assess the accuracy of the monitoring data as 
described in section 5.2 of this appendix.
    3.2.2 Methods for Particulate Matter Excluding PM2.5.
    3.2.2.1 Each calendar quarter, audit the flow rate of at least 25 
percent of the SLAMS PM10 analyzers such that each 
PM10 analyzer is audited at least once per year. If there are 
fewer than four PM10 analyzers within a reporting 
organization, randomly re-audit one or more analyzers so that at least 
one analyzer is audited each calendar quarter. Where possible, EPA 
strongly encourages more frequent auditing, up to an audit frequency of 
once per quarter for each SLAMS analyzer.
    3.2.2.2 The audit is made by measuring the analyzer's normal 
operating flow rate, using a flow rate transfer standard certified in 
accordance with section 2.3.3 of this appendix. The flow rate standard 
used for auditing must not be the same flow rate standard used to 
calibrate the analyzer. However, both the calibration standard and the 
audit standard may be referenced to the same primary flow rate or volume 
standard. Great care must be used in auditing the flow rate to be 
certain that the flow measurement device does not alter the normal 
operating flow rate of the analyzer. Report the audit (actual) flow rate 
and the corresponding flow rate indicated or assumed by the sampler. The 
percent differences between these flow rates are used to calculate 
accuracy (PM10) as described in section 5.2 of this appendix.
    3.3 Precision of Manual Methods Excluding PM2.5.

[[Page 223]]

    3.3.1 For each network of manual methods other than for 
PM2.5, select one or more monitoring sites within the 
reporting organization for duplicate, collocated sampling as follows: 
for 1 to 5 sites, select 1 site; for 6 to 20 sites, select 2 sites; and 
for over 20 sites, select 3 sites. Where possible, additional collocated 
sampling is encouraged. For purposes of precision assessment, networks 
for measuring TSP and PM10 shall be considered separately 
from one another. PM10 and TSP sites having annual mean 
particulate matter concentrations among the highest 25 percent of the 
annual mean concentrations for all the sites in the network must be 
selected or, if such sites are impractical, alternative sites approved 
by the Regional Administrator may be selected.
    3.3.2 In determining the number of collocated sites required for 
PM10, monitoring networks for lead should be treated 
independently from networks for particulate matter, even though the 
separate networks may share one or more common samplers. However, a 
single pair of samplers collocated at a common-sampler monitoring site 
that meets the requirements for both a collocated lead site and a 
collocated particulate matter site may serve as a collocated site for 
both networks.
    3.3.3 The two collocated samplers must be within 4 meters of each 
other, and particulate matter samplers must be at least 2 meters apart 
to preclude airflow interference. Calibration, sampling, and analysis 
must be the same for both collocated samplers and the same as for all 
other samplers in the network.
    3.3.4 For each pair of collocated samplers, designate one sampler as 
the primary sampler whose samples will be used to report air quality for 
the site, and designate the other as the duplicate sampler. Each 
duplicate sampler must be operated concurrently with its associated 
routine sampler at least once per week. The operation schedule should be 
selected so that the sampling days are distributed evenly over the year 
and over the seven days of the week. A six-day sampling schedule is 
required. Report the measurements from both samplers at each collocated 
sampling site. The calculations for evaluating precision between the two 
collocated samplers are described in section 5.3 of this appendix.
    3.4 Accuracy of Manual Methods Excluding PM2.5. The 
accuracy of manual sampling methods is assessed by auditing a portion of 
the measurement process.
    3.4.1 Procedures for PM10 and TSP.
    3.4.1.1 Procedures for flow rate audits for PM10. Each 
calendar quarter, audit the flow rate of at least 25 percent of the 
PM10 samplers such that each PM10 sampler is 
audited at least once per year. If there are fewer than four 
PM10 samplers within a reporting organization, randomly 
reaudit one or more samplers so that one sampler is audited each 
calendar quarter. Audit each sampler at its normal operating flow rate, 
using a flow rate transfer standard certified in accordance with section 
2.3.3 of this appendix. The flow rate standard used for auditing must 
not be the same flow rate standard used to calibrate the sampler. 
However, both the calibration standard and the audit standard may be 
referenced to the same primary flow rate standard. The flow audit should 
be scheduled so as to avoid interference with a scheduled sampling 
period. Report the audit (actual) flow rate and the corresponding flow 
rate indicated by the sampler's normally used flow indicator. The 
percent differences between these flow rates are used to calculate 
accuracy and bias as described in section 5.4.1 of this appendix.
    3.4.1.2 Great care must be used in auditing high-volume particulate 
matter samplers having flow regulators because the introduction of 
resistance plates in the audit flow standard device can cause abnormal 
flow patterns at the point of flow sensing. For this reason, the flow 
audit standard should be used with a normal filter in place and without 
resistance plates in auditing flow-regulated high-volume samplers, or 
other steps should be taken to assure that flow patterns are not 
perturbed at the point of flow sensing.
    3.4.2 SO2 Methods.
    3.4.2.1 Prepare audit solutions from a working sulfite-
tetrachloromercurate (TCM) solution as described in section 10.2 of the 
SO2 Reference Method (40 CFR part 50, appendix A). These 
audit samples must be prepared independently from the standardized 
sulfite solutions used in the routine calibration procedure. Sulfite-TCM 
audit samples must be stored between 0 and 5 [deg]C and expire 30 days 
after preparation.
    3.4.2.2 Prepare audit samples in each of the concentration ranges of 
0.2-0.3, 0.5-0.6, and 0.8-0.9 [mu]g SO2/ml. Analyze an audit 
sample in each of the three ranges at least once each day that samples 
are analyzed and at least twice per calendar quarter. Report the audit 
concentrations (in [mu]g SO2/ml) and the corresponding 
indicated concentrations (in [mu]g SO2/ml). The percent 
differences between these concentrations are used to calculate accuracy 
as described in section 5.4.2 of this appendix.
    3.4.3 NO2 Methods. Prepare audit solutions from a working 
sodium nitrite solution as described in the appropriate equivalent 
method (see reference 8 of this appendix). These audit samples must be 
prepared independently from the standardized nitrite solutions used in 
the routine calibration procedure. Sodium nitrite audit samples expire 
in 3 months after preparation. Prepare audit samples in each of the 
concentration ranges of 0.2-0.3, 0.5-0.6, and 0.8-0.9 [mu]g 
NO2/ml. Analyze an audit sample in each of the three

[[Page 224]]

ranges at least once each day that samples are analyzed and at least 
twice per calendar quarter. Report the audit concentrations (in [mu]g 
NO2/ml) and the corresponding indicated concentrations (in 
[mu]g NO2/ml). The percent differences between these 
concentrations are used to calculate accuracy as described in section 
5.4.2 of this appendix.
    3.4.4 Pb Methods.
    3.4.4.1 For the Pb Reference Method (40 CFR part 50, appendix G), 
the flow rates of the high-volume Pb samplers shall be audited as part 
of the TSP network using the same procedures described in section 3.4.1 
of this appendix. For agencies operating both TSP and Pb networks, 25 
percent of the total number of high-volume samplers are to be audited 
each quarter.
    3.4.4.2 Each calendar quarter, audit the Pb Reference Method 
analytical procedure using glass fiber filter strips containing a known 
quantity of Pb. These audit sample strips are prepared by depositing a 
Pb solution on unexposed glass fiber filter strips of dimensions 1.9 cm 
by 20.3 cm (3/4 inch by 8 inch) and allowing them to dry thoroughly. The 
audit samples must be prepared using batches of reagents different from 
those used to calibrate the Pb analytical equipment being audited. 
Prepare audit samples in the following concentration ranges:

------------------------------------------------------------------------
                                                           Equivalent
                                             Pb            Ambient Pb
                Range                  Concentration,    Concentration,
                                         [mu]g/Strip      [mu]g/m3 \1\
------------------------------------------------------------------------
1...................................           100-300           0.5-1.5
2...................................          600-1000           3.0-5.0
------------------------------------------------------------------------
\1\ Equivalent ambient Pb concentration in [mu]g/m3 is based on sampling
  at 1.7 m3/min for 24 hours on a 20.3 cmx25.4 cm (8 inchx10 inch) glass
  fiber filter.

    3.4.4.3 Audit samples must be extracted using the same extraction 
procedure used for exposed filters.
    3.4.4.4 Analyze three audit samples in each of the two ranges each 
quarter samples are analyzed. The audit sample analyses shall be 
distributed as much as possible over the entire calendar quarter. Report 
the audit concentrations (in [mu]g Pb/strip) and the corresponding 
measured concentrations (in [mu]g Pb/strip) using unit code 77. The 
percent differences between the concentrations are used to calculate 
analytical accuracy as described in section 5.4.2 of this appendix.
    3.4.4.5 The accuracy of an equivalent Pb method is assessed in the 
same manner as for the reference method. The flow auditing device and Pb 
analysis audit samples must be compatible with the specific requirements 
of the equivalent method.
    3.5 Measurement Uncertainty for Automated and Manual 
PM2.5 Methods. The goal for acceptable measurement 
uncertainty has been defined as 10 percent coefficient of variation (CV) 
for total precision and  10 percent for total bias 
(reference 14 of this appendix).
    3.5.1 Flow Rate Audits.
    3.5.1.1 Automated methods for PM2.5. A one-point 
precision check must be performed at least once every 2 weeks on each 
automated analyzer used to measure PM2.5. The precision check 
is made by checking the operational flow rate of the analyzer. If a 
precision flow rate check is made in conjunction with a flow rate 
adjustment, it must be made prior to such flow rate adjustment. 
Randomization of the precision check with respect to time of day, day of 
week, and routine service and adjustments is encouraged where possible.
    3.5.1.1.1 Standard procedure: Use a flow rate transfer standard 
certified in accordance with section 2.3.3 of this appendix to check the 
analyzer's normal flow rate. Care should be used in selecting and using 
the flow rate measurement device such that it does not alter the normal 
operating flow rate of the analyzer. Report the actual analyzer flow 
rate measured by the transfer standard and the corresponding flow rate 
measured, indicated, or assumed by the analyzer.
    3.5.1.1.2 Alternative procedure: It is permissible to obtain the 
precision check flow rate data from the analyzer's internal flow meter 
without the use of an external flow rate transfer standard, provided 
that the flow meter is audited with an external flow rate transfer 
standard at least every 6 months; records of at least the three most 
recent flow audits of the instrument's internal flow meter over at least 
several weeks confirm that the flow meter is stable, verifiable and 
accurate to 4%; and the instrument and flow meter 
give no indication of improper operation. With suitable communication 
capability, the precision check may thus be carried out remotely. For 
this procedure, report the set-point flow rate as the actual flow rate 
along with the flow rate measured or indicated by the analyzer flow 
meter.
    3.5.1.1.3 For either procedure, the differences between the actual 
and indicated flow rates are used to assess the precision of the 
monitoring data as described in section 5.5 of this appendix.
    3.5.1.2 Manual methods for PM2.5. Each calendar quarter, 
audit the flow rate of each SLAMS PM2.5 analyzer. The audit 
is made by measuring the analyzer's normal operating flow rate, using a 
flow rate transfer standard certified in accordance with section 2.3.3 
of this appendix. The flow rate standard used for auditing must not be 
the same flow rate standard used to calibrate the analyzer. However, 
both the calibration standard and the audit standard may be referenced 
to the same primary flow rate or volume standard. Great care must be 
used in auditing the flow rate to be certain that the flow measurement 
device does not alter the normal operating flow rate of the analyzer. 
Report the audit

[[Page 225]]

(actual) flow rate and the corresponding flow rate indicated or assumed 
by the sampler. The procedures used to calculate measurement uncertainty 
PM2.5 are described in section 5.5 of this appendix.
    3.5.2 Measurement of Precision using Collocated Procedures for 
Automated and Manual Methods of PM2.5.
    (a) For PM2.5 sites within a reporting organization each 
EPA designated Federal reference method (FRM) or Federal equivalent 
method (FEM) must:
    (1) Have 15 percent of the monitors collocated (values of .5 and 
greater round up).
    (2) Have at least 1 collocated monitor (if the total number of 
monitors is less than 4). The first collocated monitor must be a 
designated FRM monitor.
    (b) In addition, monitors selected must also meet the following 
requirements:
    (1) A monitor designated as an EPA FRM shall be collocated with a 
monitor having the same EPA FRM designation.
    (2) For each monitor designated as an EPA FEM, 50 percent of the 
designated monitors shall be collocated with a monitor having the same 
method designation and 50 percent of the monitors shall be collocated 
with an FRM monitor. If there are an odd number of collocated monitors 
required, the additional monitor shall be an FRM. An example of this 
procedure is found in table A-2 of this appendix.
    (c) For PM2.5 sites during the initial deployment of the 
SLAMS network, special emphasis should be placed on those sites in areas 
likely to be in violation of the NAAQS. Once areas are initially 
determined to be in violation, the collocated monitors should be 
deployed according to the following protocol:
    (1) Eighty percent of the collocated monitors should be deployed at 
sites with concentrations = ninety percent of the annual 
PM2.5 NAAQS (or 24-hour NAAQS if that is affecting the area); 
one hundred percent if all sites have concentrations above either NAAQS, 
and each area determined to be in violation should be represented by at 
least one collocated monitor.
    (2) The remaining 20 percent of the collocated monitors should be 
deployed at sites with concentrations < ninety percent of the annual 
PM2.5 NAAQS (or 24-hour NAAQS if that is affecting the area)
    (3) If an organization has no sites at concentration ranges 
= ninety percent of the annual PM2.5 NAAQS (or 24-
hour NAAQS if that is affecting the area), 60 percent of the collocated 
monitors should be deployed at those sites with the annual mean 
PM2.5 concentrations (or 24-hour NAAQS if that is affecting 
the area) among the highest 25 percent for all PM2.5 sites in 
the network.
    3.5.2.1 In determining the number of collocated sites required for 
PM2.5, monitoring networks for visibility should not be 
treated independently from networks for particulate matter, as the 
separate networks may share one or more common samplers. However, for 
class I visibility areas, EPA will accept visibility aerosol mass 
measurement instead of a PM2.5 measurement if the latter 
measurement is unavailable. Any PM2.5 monitoring site which 
does not have a monitor which is an EPA federal reference or equivalent 
method is not required to be included in the number of sites which are 
used to determine the number of collocated monitors.
    3.5.2.2 The two collocated samples must be within 4 meters of each 
other, and particulate matter samplers must be at least 2 meters apart 
(1 meter apart for samplers having flow rates less than 200 liters/min.) 
to preclude airflow interference. Calibration, sampling, and analysis 
must be the same for both collocated samplers and the same as for all 
other samplers in the network.
    3.5.2.3 For each pair of collocated samplers, designate one sampler 
as the primary sampler whose samples will be used to report air quality 
for the site, and designate the other as the duplicate sampler. Each 
duplicate sampler must be operated concurrently with its associated 
primary sampler. The operation schedule should be selected so that the 
sampling days are distributed evenly over the year and over the 7 days 
of the week and therefore, a 6-day sampling schedule is required. Report 
the measurements from both samplers at each collocated sampling site. 
The calculations for evaluating precision between the two collocated 
samplers are described in section 5.5 of this appendix.
    3.5.3 Measurement of Bias using the FRM Audit Procedures for 
Automated and Manual Methods of PM2.5.
    3.5.3.1 The FRM audit is an independent assessment of the total 
measurement system bias. These audits will be performed under the 
National Performance Audit Program (section 2.4 of this appendix) or a 
comparable program. Twenty-five percent of the SLAMS monitors within 
each reporting organization will be assessed with an FRM audit each 
year. Additionally, every designated FRM or FEM within a reporting 
organization must:
    (a) Have at least 25 percent of each method designation audited, 
including collocated sites (even those collocated with FRM instruments), 
(values of .5 and greater round up).
    (b) Have at least one monitor audited.
    (c) Be audited at a frequency of four audits per year.
    (d) Have all FRM or FEM samplers subject to an FRM audit at least 
once every 4 years. Table A-2 illustrates the procedure mentioned above.
    3.5.3.2 For PM2.5 sites during the initial deployment of 
the SLAMS network, special emphasis should be placed on those sites in 
areas likely to be in violation of the NAAQS. Once areas are initially 
determined to be in violation, the FRM audit program should be

[[Page 226]]

implemented according to the following protocol:
    (a) Eighty percent of the FRM audits should be deployed at sites 
with concentrations = ninety percent of the annual 
PM2.5 NAAQS (or 24-hour NAAQS if that is affecting the area); 
one hundred percent if all sites have concentrations above either NAAQS, 
and each area determined to be in violation should implement an FRM 
audit at a minimum of one monitor within that area.
    (b) The remaining 20 percent of the FRM audits should be implemented 
at sites with concentrations < ninety percent of the annual 
PM2.5 NAAQS (or 24-hour NAAQS if that is affecting the area).
    (c) If an organization has no sites at concentration ranges 
= ninety percent of the annual PM2.5 NAAQS (or 24-
hour NAAQS if that is affecting the area), 60 percent of the FRM audits 
should be implemented at those sites with the annual mean 
PM2.5 concentrations (or 24-hour NAAQS if that is affecting 
the area) among the highest 25 percent for all PM2.5 sites in 
the network. Additional information concerning the FRM audit program is 
contained in reference 7 of this appendix. The calculations for 
evaluating bias between the primary monitor and the FRM audit are 
described in section 5.5.
4. Reporting Requirements.
    (a) For each pollutant, prepare a list of all monitoring sites and 
their AIRS site identification codes in each reporting organization and 
submit the list to the appropriate EPA Regional Office, with a copy to 
AIRS-AQS. Whenever there is a change in this list of monitoring sites in 
a reporting organization, report this change to the Regional Office and 
to AIRS-AQS.
    4.1 Quarterly Reports. For each quarter, each reporting organization 
shall report to AIRS-AQS directly (or via the appropriate EPA Regional 
Office for organizations not direct users of AIRS) the results of all 
valid precision, bias and accuracy tests it has carried out during the 
quarter. The quarterly reports of precision, bias and accuracy data must 
be submitted consistent with the data reporting requirements specified 
for air quality data as set forth in Sec. 58.35(c). EPA strongly 
encourages early submittal of the QA data in order to assist the State 
and Local agencies in controlling and evaluating the quality of the 
ambient air SLAMS data. Each organization shall report all QA/QC 
measurements. Report results from invalid tests, from tests carried out 
during a time period for which ambient data immediately prior or 
subsequent to the tests were invalidated for appropriate reasons, and 
from tests of methods or analyzers not approved for use in SLAMS 
monitoring networks under appendix C of this part. Such data should be 
flagged so that it will not be utilized for quantitative assessment of 
precision, bias and accuracy.
    4.2 Annual Reports.
    4.2.1 When precision, bias and accuracy estimates for a reporting 
organization have been calculated for all four quarters of the calendar 
year, EPA will calculate and report the measurement uncertainty for the 
entire calendar year. These limits will then be associated with the data 
submitted in the annual SLAMS report required by Sec. 58.26.
    4.2.2 Each reporting organization shall submit, along with its 
annual SLAMS report, a listing by pollutant of all monitoring sites in 
the reporting organization.
5. Calculations for Data Quality Assessment.
    (a) Calculations of measurement uncertainty are carried out by EPA 
according to the following procedures. Reporting organizations should 
report the data for individual precision, bias and accuracy tests as 
specified in sections 3 and 4 of this appendix even though they may 
elect to perform some or all of the calculations in this section on 
their own.
    5.1 Precision of Automated Methods Excluding PM2.5. 
Estimates of the precision of automated methods are calculated from the 
results of biweekly precision checks as specified in section 3.1 of this 
appendix. At the end of each calendar quarter, an integrated precision 
probability interval for all SLAMS analyzers in the organization is 
calculated for each pollutant.
    5.1.1 Single Analyzer Precision.
    5.1.1.1 The percent difference (di) for each precision 
check is calculated using equation 1, where Yi is the 
concentration indicated by the analyzer for the I-th precision check and 
Xi is the known concentration for the I-th precision check, 
as follows:
                               Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.138

    5.1.1.2 For each analyzer, the quarterly average (dj) is 
calculated with equation 2, and the standard deviation (Sj) 
with equation 3, where n is the number of precision checks on the 
instrument made during the calendar quarter. For example, n should be 6 
or 7 if precision checks are made biweekly during a quarter. Equation 2 
and 3 follow:
                               Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.139


[[Page 227]]


                               Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.140

    5.1.2 Precision for Reporting Organization.
    5.1.2.1 For each pollutant, the average of averages (D) and the 
pooled standard deviation (Sa) are calculated for all 
analyzers audited for the pollutant during the quarter, using either 
equations 4 and 5 or 4a and 5a, where k is the number of analyzers 
audited within the reporting organization for a single pollutant, as 
follows:
                               Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.141

                               Equation 4a
[GRAPHIC] [TIFF OMITTED] TR18JY97.142

                               Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.143

                               Equation 5a
[GRAPHIC] [TIFF OMITTED] TR18JY97.144

    5.1.2.2 Equations 4 and 5 are used when the same number of precision 
checks are made for each analyzer. Equations 4a and 5a are used to 
obtain a weighted average and a weighted standard deviation when 
different numbers of precision checks are made for the analyzers.
    5.1.2.3 For each pollutant, the 95 Percent Probability Limits for 
the precision of a reporting organization are calculated using equations 
6 and 7, as follows:
                               Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.145

                               Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.146

    5.2 Accuracy of Automated Methods Excluding PM2.5. 
Estimates of the accuracy of automated methods are calculated from the 
results of independent audits as described in section 3.2 of this 
appendix. At the end of each calendar quarter, an integrated accuracy 
probability interval for all SLAMS analyzers audited in the reporting 
organization is calculated for each pollutant. Separate probability 
limits are calculated for each audit concentration level in section 3.2 
of this appendix.
    5.2.1 Single Analyzer Accuracy. The percentage difference 
(di) for each audit concentration is calculated using 
equation 1, where Yi is the analyzer's indicated 
concentration measurement from the I-th audit check and Xi is 
the actual concentration of the audit gas used for the I-th audit check.
    5.2.2 Accuracy for Reporting Organization.
    5.2.2.1 For each audit concentration level of a particular 
pollutant, the average (D) of the individual percentage differences 
(di) for all n analyzers audited during the quarter is 
calculated using equation 8, as follows:
                               Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.147

    5.2.2.2 For each concentration level of a particular pollutant, the 
standard deviation (Sa) of all the individual percentage 
differences for all n analyzers audited during the quarter is 
calculated, using equation 9, as follows:

[[Page 228]]

                               Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.148

    5.2.2.3 For reporting organizations having four or fewer analyzers 
for a particular pollutant, only one audit is required each quarter. For 
such reporting organizations, the audit results of two consecutive 
quarters are required to calculate an average and a standard deviation, 
using equations 8 and 9. Therefore, the reporting of probability limits 
shall be on a semiannual (instead of a quarterly) basis.
    5.2.2.4 For each pollutant, the 95 Percent Probability Limits for 
the accuracy of a reporting organization are calculated at each audit 
concentration level using equations 6 and 7.
    5.3 Precision of Manual Methods Excluding PM2.5. 
Estimates of precision of manual methods are calculated from the results 
obtained from collocated samplers as described in section 3.3 of this 
appendix. At the end of each calendar quarter, an integrated precision 
probability interval for all collocated samplers operating in the 
reporting organization is calculated for each manual method network.
    5.3.1 Single Sampler Precision.
    5.3.1.1 At low concentrations, agreement between the measurements of 
collocated samplers, expressed as percent differences, may be relatively 
poor. For this reason, collocated measurement pairs are selected for use 
in the precision calculations only when both measurements are above the 
following limits:
    (a) TSP: 20 [mu]g/m3.
    (b) SO2: 45 [mu]g/m3.
    (c) NO2: 30 [mu]g/m3.
    (d) Pb: 0.15 [mu]g/m3.
    (e) PM10: 20 [mu]g/m3.
    5.3.1.2 For each selected measurement pair, the percent difference 
(di) is calculated, using equation 10, as follows:
                               Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.149

where:

Yi is the pollutant concentration measurement obtained from 
the duplicate sampler; and
Xi is the concentration measurement obtained from the primary 
sampler designated for reporting air quality for the site.

    (a) For each site, the quarterly average percent difference 
(dj) is calculated from equation 2 and the standard deviation 
(Sj) is calculated from equation 3, where n= the number of 
selected measurement pairs at the site.
    5.3.2 Precision for Reporting Organization.
    5.3.2.1 For each pollutant, the average percentage difference (D) 
and the pooled standard deviation (Sa) are calculated, using 
equations 4 and 5, or using equations 4a and 5a if different numbers of 
paired measurements are obtained at the collocated sites. For these 
calculations, the k of equations 4, 4a, 5 and 5a is the number of 
collocated sites.
    5.3.2.2 The 95 Percent Probability Limits for the integrated 
precision for a reporting organization are calculated using equations 11 
and 12, as follows:
                               Equation 11
[GRAPHIC] [TIFF OMITTED] TR18JY97.150

                               Equation 12
[GRAPHIC] [TIFF OMITTED] TR18JY97.151

    5.4 Accuracy of Manual Methods Excluding PM2.5. Estimates 
of the accuracy of manual methods are calculated from the results of 
independent audits as described in section 3.4 of this appendix. At the 
end of each calendar quarter, an integrated accuracy probability 
interval is calculated for each manual method network operated by the 
reporting organization.
    5.4.1 Particulate Matter Samplers other than PM2.5 
(including reference method Pb samplers).
    5.4.1.1 Single Sampler Accuracy. For the flow rate audit described 
in section 3.4.1 of this appendix, the percentage difference 
(di) for each audit is calculated using equation 1, where 
Xi represents the known flow rate and Yi 
represents the flow rate indicated by the sampler.
    5.4.1.2 Accuracy for Reporting Organization. For each type of 
particulate matter measured (e.g., TSP/Pb), the average (D) of the 
individual percent differences for all similar particulate matter 
samplers audited during the calendar quarter is calculated using 
equation 8. The standard deviation (Sa) of the percentage 
differences for all of the similar particulate matter samplers audited 
during the calendar quarter is calculated using equation 9. The 95 
Percent Probability Limits for the integrated accuracy for the reporting 
organization are calculated using equations 6 and 7. For reporting 
organizations having four or fewer particulate matter

[[Page 229]]

samplers of one type, only one audit is required each quarter, and the 
audit results of two consecutive quarters are required to calculate an 
average and a standard deviation. In that case, probability limits shall 
be reported semi-annually rather than quarterly.
    5.4.2 Analytical Methods for SO2, NO2, and Pb.
    5.4.2.1 Single Analysis-Day Accuracy. For each of the audits of the 
analytical methods for SO2, NO2, and Pb described 
in sections 3.4.2, 3.4.3, and 3.4.4 of this appendix, the percentage 
difference (dj) at each concentration level is calculated 
using equation 1, where Xj represents the known value of the 
audit sample and Yj represents the value of SO2, 
NO2, or Pb indicated by the analytical method.
    5.4.2.2 Accuracy for Reporting Organization. For each analytical 
method, the average (D) of the individual percent differences at each 
concentration level for all audits during the calendar quarter is 
calculated using equation 8. The standard deviation (Sa) of 
the percentage differences at each concentration level for all audits 
during the calendar quarter is calculated using equation 9. The 95 
Percent Probability Limits for the accuracy for the reporting 
organization are calculated using equations 6 and 7.
    5.5 Precision, Accuracy and Bias for Automated and Manual 
PM2.5 Methods.
    (a) Reporting organizations are required to report the data that 
will allow assessments of the following individual quality control 
checks and audits:
    (1) Flow rate audit.
    (2) Collocated samplers, where the duplicate sampler is not an FRM 
device.
    (3) Collocated samplers, where the duplicate sampler is an FRM 
device.
    (4) FRM audits.
    (b) EPA uses the reported results to derive precision, accuracy and 
bias estimates according to the following procedures.
    5.5.1 Flow Rate Audits. The reporting organization shall report both 
the audit standard flow rate and the flow rate indicated by the sampling 
instrument. These results are used by EPA to calculate flow rate 
accuracy and bias estimates.
    5.5.1.1 Accuracy of a Single Sampler - Single Check (Quarterly) 
Basis (di). The percentage difference (di) for a 
single flow rate audit di is calculated using equation 13, 
where Xi represents the audit standard flow rate (known) and 
Yi represents the indicated flow rate, as follows:
                               Equation 13
[GRAPHIC] [TIFF OMITTED] TR18JY97.152

    5.5.1.2 Bias of a Single Sampler - Annual Basis (Dj). For 
an individual particulate sampler j, the average (Dj) of the 
individual percentage differences (di) during the calendar 
year is calculated using equation 14, where nj is the number 
of individual percentage differences produced for sampler j during the 
calendar year, as follows:
                               Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.153

    5.5.1.3 Bias for Each EPA Federal Reference and Equivalent Method 
Designation Employed by Each Reporting Organization - Quarterly Basis 
(Dk,q). For method designation k used by the reporting 
organization, quarter q's single sampler percentage differences 
(di) are averaged using equation 16, where nk,q is 
the number of individual percentage differences produced for method 
designation k in quarter q, as follows:
                               Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.154

    5.5.1.4 Bias for Each Reporting Organization - Quarterly Basis 
(Dq). For each reporting organization, quarter q's single 
sampler percentage differences (di) are averaged using 
equation 16, to produce a single average for each reporting 
organization, where nq is the total number of single sampler 
percentage differences for all federal reference or equivalent methods 
of samplers in quarter q, as follows:
                               Equation 16
[GRAPHIC] [TIFF OMITTED] TR18JY97.155

    5.5.1.5 Bias for Each EPA Federal Reference and Equivalent Method 
Designation Employed by Each Reporting Organization - Annual Basis 
(Dk). For method designation k used by the reporting 
organization, the annual average percentage difference, Dk, 
is derived using equation 17, where Dk,q is the average 
reported for method designation k during the qth quarter, and 
nk,q is the number of the method designation k's monitors 
that were deployed during the qth quarter, as follows:

[[Page 230]]

                               Equation 17
[GRAPHIC] [TIFF OMITTED] TR18JY97.156

    5.5.1.6 Bias for Each Reporting Organization - Annual Basis (D). For 
each reporting organization, the annual average percentage difference, 
D, is derived using equation 18, where Dq is the average 
reported for the reporting organization during the qth quarter, and 
nq is the total number monitors that were deployed during the 
qth quarter. A single annual average is produced for each reporting 
organization. Equation 18 follows:
                               Equation 18
[GRAPHIC] [TIFF OMITTED] TR18JY97.157

    5.5.2 Collocated Samplers, Where the Duplicate Sampler is not an FRM 
Device. (a) At low concentrations, agreement between the measurements of 
collocated samplers may be relatively poor. For this reason, collocated 
measurement pairs are selected for use in the precision calculations 
only when both measurements are above the following limits:
     PM2.5 : 6 [mu]g/m3
(b) Collocated sampler results are used to assess measurement system 
precision. A collocated sampler pair consists of a primary sampler (used 
for routine monitoring) and a duplicate sampler (used as a quality 
control check). Quarterly precision estimates are calculated by EPA for 
each pair of collocated samplers and for each method designation 
employed by each reporting organization. Annual precision estimates are 
calculated by EPA for each primary sampler, for each EPA Federal 
reference method and equivalent method designation employed by each 
reporting organization, and nationally for each EPA Federal reference 
method and equivalent method designation.
    5.5.2.1 Percent Difference for a Single Check (di). The 
percentage difference, di, for each check is calculated by 
EPA using equation 19, where Xi represents the concentration 
produced from the primary sampler and Yi represents 
concentration reported for the duplicate sampler, as follows:
                               Equation 19
[GRAPHIC] [TIFF OMITTED] TR18JY97.158

    5.5.2.2 Coefficient of Variation (CV) for a Single Check 
(CVi). The coefficient of variation, CVi, for each 
check is calculated by EPA by dividing the absolute value of the 
percentage difference, di, by the square root of two as shown 
in equation 20, as follows:
                               Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.159

    5.5.2.3 Precision of a Single Sampler - Quarterly Basis 
(CVj,q).
    (a) For particulate sampler j, the individual coefficients of 
variation (CVj,q) during the quarter are pooled using 
equation 21, where nj,q is the number of pairs of 
measurements from collocated samplers during the quarter, as follows:
                               Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.160

    (b) The 90 percent confidence limits for the single sampler's CV are 
calculated by EPA using equations 22 and 23, where X2 
0.05,df and X2 0.95,df are the 0.05 and 
0.95 quantiles of the chi-square (X2) distribution with 
nj,q degrees of freedom, as follows:
                               Equation 22
[GRAPHIC] [TIFF OMITTED] TR18JY97.161

                               Equation 23
[GRAPHIC] [TIFF OMITTED] TR18JY97.162

    5.5.2.4 Precision of a Single Sampler - Annual Basis. For 
particulate sampler j, the individual coefficients of variation, 
CVi, produced during the calendar year are pooled using 
equation 21, where nj is the number of checks made during the 
calendar year. The 90 percent confidence limits for the single

[[Page 231]]

sampler's CV are calculated by EPA using equations 22 and 23, where 
X2 0.05,df and X2 0.95,df 
are the 0.05 and 0.95 quantiles of the chi-square (X2) 
distribution with nj degrees of freedom.
    5.5.2.5 Precision for Each EPA Federal Reference Method and 
Equivalent Method Designation Employed by Each Reporting Organization - 
Quarterly Basis (CVk,q).
    (a) For each method designation k used by the reporting 
organization, the quarter's single sampler coefficients of variation, 
CVj,qs, obtained from equation 21, are pooled using equation 
24, where nk,q is the number of collocated primary monitors 
for the designated method (but not collocated with FRM samplers) and 
nj,q is the number of degrees of freedom associated with 
CVj,q, as follows:
                               Equation 24
[GRAPHIC] [TIFF OMITTED] TR18JY97.163

    (b) The number of method CVs produced for a reporting organization 
will equal the number of different method designations having more than 
one primary monitor employed by the organization during the quarter. 
(When exactly one monitor of a specified designation is used by a 
reporting organization, it will be collocated with an FRM sampler.)
    5.5.2.6 Precision for Each Method Designation Employed by Each 
Reporting Organization - Annual Basis (CVk). For each method 
designation k used by the reporting organization, the quarterly 
estimated coefficients of variation, CVk,q, are pooled using 
equation 25, where nk,q is the number of collocated primary 
monitors for the designated method during the qth quarter and also the 
number of degrees of freedom associated with the quarter's precision 
estimate for the method designation, CVk,q, as follows:
                               Equation 25
[GRAPHIC] [TIFF OMITTED] TR18JY97.164

    5.5.3 Collocated Samplers, Where the Duplicate Sampler is an FRM 
Device. At low concentrations, agreement between the measurements of 
collocated samplers may be relatively poor. For this reason, collocated 
measurement pairs are selected for use in the precision calculations 
only when both measurements are above the following limits: 
PM2.5: 6 [mu]g/m3. These duplicate sampler results 
are used to assess measurement system bias. Quarterly bias estimates are 
calculated by EPA for each primary sampler and for each method 
designation employed by each reporting organization. Annual precision 
estimates are calculated by EPA for each primary monitor, for each 
method designation employed by each reporting organization, and 
nationally for each method designation.
    5.5.3.1 Accuracy for a Single Check (d'i). The percentage 
difference, d'i, for each check is calculated by EPA using 
equation 26, where Xi represents the concentration produced 
from the FRM sampler taken as the true value and Yi 
represents concentration reported for the primary sampler, as follows:
                               Equation 26
[GRAPHIC] [TIFF OMITTED] TR18JY97.165

    5.5.3.2 Bias of a Single Sampler - Quarterly Basis 
(D'j,q).
    (a) For particulate sampler j, the average of the individual 
percentage differences during the quarter q is calculated by EPA using 
equation 27, where nj,q is the number of checks made for 
sampler j during the calendar quarter, as follows:
                               Equation 27
[GRAPHIC] [TIFF OMITTED] TR18JY97.166

    (b) The standard error, s'j,q, of sampler j's percentage 
differences for quarter q is calculated using equation 28, as follows:

[[Page 232]]

                               Equation 28
[GRAPHIC] [TIFF OMITTED] TR17FE98.007

    (c) The 95 Percent Confidence Limits for the single sampler's bias 
are calculated using equations 29 and 30 where t0.975,df is 
the 0.975 quantile of Student's t distribution with df = 
nj,q-1 degrees of freedom, as follows:
                               Equation 29
[GRAPHIC] [TIFF OMITTED] TR18JY97.168

                               Equation 30
[GRAPHIC] [TIFF OMITTED] TR18JY97.169

    5.5.3.3 Bias of a Single Sampler - Annual Basis (D'j).
    (a) For particulate sampler j, the mean bias for the year is derived 
from the quarterly bias estimates, D'j,q, using equation 31, 
where the variables are as defined for equations 27 and 28, as follows:
                               Equation 31
[GRAPHIC] [TIFF OMITTED] TR18JY97.170

    (b) The standard error of the above estimate, sej' is 
calculated using equation 32, as follows:
                               Equation 32
[GRAPHIC] [TIFF OMITTED] TR18JY97.171

    (c) The 95 Percent Confidence Limits for the single sampler's bias 
are calculated using equations 33 and 34, where t0.975,df is 
the 0.975 quantile of Student's t distribution with df = 
(nj,1 + nj,2 + nj,3 + nj,4-
4) degrees of freedom, as follows:
                               Equation 33
[GRAPHIC] [TIFF OMITTED] TR18JY97.172

                               Equation 34
[GRAPHIC] [TIFF OMITTED] TR18JY97.173

    5.5.3.4 Bias for a Single Reporting Organization (D') - Annual 
Basis. The reporting organizations mean bias is calculated using 
equation 35, where variables are as defined in equations 31 and 32, as 
follows:
                               Equation 35
[GRAPHIC] [TIFF OMITTED] TR18JY97.174

    5.5.4 FRM Audits. FRM Audits are performed once per quarter for 
selected samplers. The reporting organization reports concentration data 
from the primary sampler. Calculations for FRM Audits are similar to 
those for collocated samplers having FRM samplers as duplicates. The 
calculations differ because only one check is performed per quarter.
    5.5.4.1 Accuracy for a Single Sampler, Quarterly Basis 
(di). The percentage difference, di, for each 
check is calculated using equation 26, where Xi represents 
the concentration produced from the FRM sampler and Yi 
represents the concentration reported for the primary sampler. For 
quarter q, the bias estimate for sampler j is denoted Dj,q.
    5.5.4.2 Bias of a Single Sampler - Annual Basis (D'j). 
For particulate sampler j, the mean bias for the year is derived from 
the quarterly bias estimates, Dj,q, using equation 31, where 
nj,q equals 1 because one FRM audit is performed per quarter.
    5.5.4.3. Bias for a Single Reporting Organization - Annual Basis 
(D'). The reporting organizations mean bias is calculated using equation 
35, where variables are as defined in equations 31 and 32.

                   References in Appendix A of Part 58

    (1) Rhodes, R.C. Guideline on the Meaning and Use of Precision and 
Accuracy Data Required by 40 CFR part 58, Appendices A and

[[Page 233]]

B. EPA-600/4-83/023. U.S. Environmental Protection Agency, Research 
Triangle Park, NC 27711, June, 1983.
    (2) American National Standard--Specifications and Guidelines for 
Quality Systems for Environmental Data Collection and Environmental 
Technology Programs. ANSI/ASQC E4-1994. January 1995. Available from 
American Society for Quality Control, 611 East Wisconsin Avenue, 
Milwaukee, WI 53202.
    (3) EPA Requirements for Quality Management Plans. EPA QA/R-2. 
August 1994. Available from U.S. Environmental Protection Agency, ORD 
Publications Office, Center for Environmental Research Information 
(CERI), 26 W. Martin Luther King Drive, Cincinnati, OH 45268.
    (4) EPA Requirements for Quality Assurance Project Plans for 
Environmental Data Operations. EPA QA/R-5. August 1994. Available from 
U.S. Environmental Protection Agency, ORD Publications Office, Center 
for Environmental Research Information (CERI), 26 W. Martin Luther King 
Drive, Cincinnati, OH 45268.
    (5) Guidance for the Data Quality Objectives Process. EPA QA/G-4. 
September 1994. Available from U.S. Environmental Protection Agency, ORD 
Publications Office, Center for Environmental Research Information 
(CERI), 26 W. Martin Luther King Drive, Cincinnati, OH 45268.
    (6) Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume 1--A Field Guide to Environmental Quality Assurance. 
EPA-600/R-94/038a. April 1994. Available from U.S. Environmental 
Protection Agency, ORD Publications Office, Center for Environmental 
Research Information (CERI), 26 W. Martin Luther King Drive, Cincinnati, 
OH 45268.
    (7) Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume II--Ambient Air Specific Methods EPA-600/R-94/038b. 
Available from U.S. Environmental Protection Agency, ORD Publications 
Office, Center for Environmental Research Information (CERI), 26 W. 
Martin Luther King Drive, Cincinnati, OH 45268.
    (7a) Copies of section 2.12 of the Quality Assurance Handbook for 
Air Pollution Measurement Systems, are available from Department E (MD-
77B), U.S. EPA, Research Triangle Park, NC 27711.
    (8) List of Designated Reference and Equivalent Methods. Available 
from U.S. Environmental Protection Agency, National Exposure Research 
Laboratory, Quality Assurance Branch, MD-77B, Research Triangle Park, NC 
27711.
    (9) Technical Assistance Document for Sampling and Analysis of Ozone 
Precursors. Atmospheric Research and Exposure Assessment Laboratory, 
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711. 
EPA 600/8-91-215. October 1991.
    (10) EPA Traceability Protocol for Assay and Certification of 
Gaseous Calibration Standards. EPA-600/R-93/224. September 1993. 
Available from U.S. Environmental Protection Agency, ORD Publications 
Office, Center for Environmental Research Information (CERI), 26 W. 
Martin Luther King Drive, Cincinnati, OH 45268.
    (11) Paur, R.J. and F.F. McElroy. Technical Assistance Document for 
the Calibration of Ambient Ozone Monitors. EPA-600/4-79-057. U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711, 
September, 1979.
    (12) McElroy, F.F. Transfer Standards for the Calibration of Ambient 
Air Monitoring Analyzers for Ozone. EPA-600/4-79-056. U.S. Environmental 
Protection Agency, Research Triangle Park, NC 27711, September, 1979.
    (13) Musick, D.R. The Ambient Air Precision and Accuracy Program: 
1995 Annual Report. EPA-454/R97001. U.S. Environmental Protection 
Agency, Research Triangle Park, NC 27711, February 1997.
    (14) Papp, M.L., J,B., Elkins, D.R., Musick and M.J., Messner, Data 
Quality Objectives for the PM2.5. Monitoring Data, U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711. In 
preparation.
    (15) Photochemical Assessment Monitoring Stations Implementation 
Manual. EPA-454/B-93-051, U.S. Environmental Protection Agency, Research 
Triangle Park, NC 27711, March 1994.

                          Table A-1 to Appendix A--Minimum Data Assessment Requirements
----------------------------------------------------------------------------------------------------------------
        Method           Assessment Method           Coverage          Minimum Frequency     Parameters Reported
----------------------------------------------------------------------------------------------------------------
Precision:
    Automated Methods  Response check at      Each analyzer          Once per 2 weeks       Actual concentration
     for SO2, NO2,      concentration                                                        \2\ and measured
     O3, and CO         between .08 and .10                                                  concentration \3\
                        ppm (8 & 10 ppm for
                        CO) \2\
 
    Manual Methods:    Collocated samplers    1 site for 1-5 sites   Once every six days    Particle mass
     All methods                              2 sites for 6-20                               concentration
     except PM2.5                              sites                                         indicated by
                                              3 sites 20                          sampler and by
                                               sites (sites with                             collocated sampler
                                               highest conc.)
Accuracy:

[[Page 234]]

 
    Automated Methods  Response check at      1. Each analyzer       1. Once per year       Actual concentration
     for SO2, NO2,     .03-.08 ppm1,2         2. 25% of analyzers    2. Each calendar        \2\ and measured
     O3, and CO        .15-.20 ppm1,2          (at least 1)           quarter                (indicated)
                       .35-.45 ppm1,2                                                        concentration \3\
                       80-.90 ppm1,2 (if                                                     for each level
                        applicable)
 
    Manual Methods     Check of analytical    Analytical system      Each day samples are   Actual concentration
     for SO2, and NO2   procedure with audit                          analyzed, at least     and measured
                        standard solutions                            twice per quarter      (indicated)
                                                                                             concentration for
                                                                                             each audit solution
 
    TSP, PM10          Check of sampler flow  1. Each sampler        1. Once per year       Actual flow rate and
                        rate                  2. 25% of samplers     2. Each calendar        flow rate indicated
                                               (at least 1)           quarter                by the sampler
 
    Lead               1. Check of sample     1. Each sampler        1. Include with TSP    1. Same as for TSP
                        flow rate as for TSP
                       2. Check of            2. Analytical system   2. Each quarter        2. Actual
                        analytical system                                                    concentration and
                        with Pb audit strips                                                 measured
                                                                                             (indicated)
                                                                                             concentration of
                                                                                             audit samples
                                                                                             ([mu]g Pb/strip)
PM2.5
    Manual and         Collocated samplers    25% of SLAMS           Once every six days    1. Particle mass
     Automated                                 (monitors with Conc                           concentration
     Methods-                                  affecting NAAQS                               indicated by
     Precision                                 violation status)                             sampler and by
                                                                                             collocated sampler
                                                                                            2. 24-hour value for
                                                                                             automated methods
    Manual and         1. Check of sampler    Every SLAMS monitor    1. Automated--once     1. Actual flow rate
     Automated          flow rate                                     every 2 weeks;         and flow rate
     Methods-Accuracy                                                 Manual--each           indicated by
     and Bias                                                         calendar quarter (4/   sampler
                                                                      year)
                       2. Audit with          .....................  2. Minimum 4           2. Particle mass
                        reference method                              measurements per       concentration
                                                                      year                   indicated by
                                                                                             sampler and by
                                                                                             audit reference
                                                                                             sampler
----------------------------------------------------------------------------------------------------------------
\1\ Concentration times 100 for CO.
\2\ Effective concentration for open path analyzers.
\3\ Corrected concentration, if applicable, for open path analyzers.


Table A-2 to Appendix A--Summary of PM2.5 Collocation and Audits Procedures As an Example of a Typical Reporting
         Organization Needing 43 Monitors, Having Procured FRMs and Three Other Equivalent Method Types
----------------------------------------------------------------------------------------------------------------
                                                                                 of
                         Total    Total      of       Collocated        of
  Method Designation       of Monitors       Collocated      Collocated FRMs  Monitors of Same   Independent FRM
                                                                                    Type             Audits
----------------------------------------------------------------------------------------------------------------
FRM                            25                 6                 6                n/a                6
Type A                         10                 3                 2                 1                 3
Type C                          2                 1                 1                 0                 1
Type D                          6                 2                 1                 1                 2
----------------------------------------------------------------------------------------------------------------


[62 FR 38833, July 18, 1997; 63 FR 7714, 7715, Feb. 17, 1998; 68 FR 
80328, Dec. 31, 2002]

Appendix B to Part 58--Quality Assurance Requirements for Prevention of 
             Significant Deterioration (PSD) Air Monitoring

1. General Information
    This appendix specifies the minimum quality assurance requirements 
for the control and assessment of the quality of the PSD ambient air 
monitoring data submitted to EPA by an organization operating a network 
of PSD stations. Such organizations are encouraged to develop and 
maintain quality assurance programs more extensive than the required 
minimum.
    Quality assurance of air monitoring systems includes two distinct 
and important interrelated functions. One function is the

[[Page 235]]

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

2. Quality Assurance Requirements

    2.1 Each organization must develop and implement a quality assurance 
program consisting of policies, procedures, specifications, standards 
and documentation necessary to:
    (1) Provide data of adequate quality to meet monitoring objectives 
and quality assurance requirements of the permit-granting authority, and
    (2) Minimize loss of air quality data due to malfunctions or out-of-
control conditions.
    This quality assurance program must be described in detail, suitably 
documented, and approved by the permit-granting authority. The Quality 
Assurance Program will be reviewed during the system audits described in 
section 2.4.
    2.2 Primary guidance for developing the Quality Assurance Program is 
contained in References 2 and 3, which also contain many suggested 
procedures, checks, and control specifications. Section 2.0.9 of 
Reference 3 describes specific guidance for the development of a Quality 
Assurance Program for automated analyzers. Many specific quality control 
checks and specifications for manual methods are included in the 
respective reference methods described in part 50 of this chapter or in 
the respective equivalent method descriptions available from EPA (see 
Reference 4). Similarly, quality control procedures related to 
specifically designated reference and equivalent analyzers are contained 
in their respective operation and instruction manuals. This guidance, 
and any other pertinent information from appropriate sources, should be 
used by the organization in developing its quality assurance program.
    As a minimum, each quality assurance program must include 
operational procedures for each of the following activities:
    (1) Selection of methods, analyzers, or samplers;
    (2) Training;
    (3) Installation of equipment;
    (4) Selection and control of calibration standards;
    (5) Calibration;
    (6) Zero/span checks and adjustments of automated analyzers;
    (7) Control checks and their frequency;
    (8) Control limits for zero, span and other control checks, and 
respective corrective actions when such limits are surpassed;
    (9) Calibration and zero/span checks for multiple range analyzers 
(see section 2.6 of appendix C of this part);
    (10) Preventive and remedial maintenance;
    (11) Recording and validating data;
    (12) Date quality assessment (precision and accuracy);
    (13) Documentation of quality control information.
    2.3 Pollutant Standards.
    2.3.1 Gaseous standards (permeation tubes, permeation devices or 
cylinders of compressed gas) used to obtain test concentrations for CO, 
SO2, and NO2 must be traceable to either a 
National Institute of Standards and Technology (NIST) gaseous Standard 
Reference Material (SRM) or an NIST/EPA-approved commercially available 
Certified Reference Material (CRM). CRM's are described in Reference 5, 
and a list of CRM sources is available from Quality Assurance Division 
(MD-77), Atmospheric Research and Exposure Assessment Laboratory, U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711. A 
recommended protocol for certifying gaseous standards against an SRM or 
CRM is given in section

[[Page 236]]

2.0.7 of Reference 3. Direct use of a CRM as a working standard is 
acceptable, but direct use of an NIST SRM as a working standard is 
discouraged because of the limited supply and expense of SRM's.
    2.3.2 Test concentrations for ozone must be obtained in accordance 
with the UV photometric calibration procedure specified in appendix D of 
part 50 of this chapter, or by means of a certified ozone transfer 
standard. Consult References 6 and 7 for guidance on primary and 
transfer standards for ozone.
    2.3.3. Flow measurement must be made by a flow measuring instrument 
that is traceable to an authoritative volume or other standard. Guidance 
for certifying various types of flowmeters is provided in Reference 3.
    2.4 Performance and System Audit Programs. The organization 
operating a PSD monitoring network must participate in EPA's national 
performance audit program. The permit granting authority, or EPA, may 
conduct system audits of the ambient air monitoring programs of 
organizations operating PSD networks. See section 1.4.16 of reference 2 
and section 2.0.11 of reference 3 for additional information about these 
programs. Organizations should contact either the appropriate EPA 
Regional Quality Control Coordinator or the Quality Assurance Branch, 
AREAL/RTP, at the address given in reference 3 for instructions for 
participation.

3. Data Quality Assessment Requirements

    All ambient monitoring methods or analyzers used in PSD monitoring 
shall be tested periodically, as described in this section 3, to 
quantitatively assess the quality of the data being routinely collected. 
The results of these tests shall be reported as specified in section 6. 
Concentration standards used for the tests must be as specified in 
section 2.3. Additional information and guidance in the technical 
aspects of conducting these tests may be found in Reference 3 or in the 
operation or instruction manual associated with the analyzer or sampler. 
Concentration measurements reported from analyzers or analytical systems 
must be derived by means of the same calibration curve and data 
processing system used to obtain the routine air monitoring data. Table 
B-1 provides a summary of the minimum data quality assessment 
requirements, which are described in more detail in the following 
sections.
    3.1 Precision of Automated Methods. A one-point precision check must 
be carried out at least once every two weeks on each automated analyzer 
used to measure SO2, NO2, O2, and CO. 
The precision check is made by challenging the analyzer with a precision 
check gas of known concentration (effective concentration for open path 
analyzers) between 0.08 and 0.10 ppm for SO2, NO2, 
and O3 analyzers, and between 8 and 10 ppm for CO analyzers. 
The standards from which precision check test concentrations are 
obtained must meet the specifications of section 2.3. Except for certain 
CO analyzers described below, point analyzers must operate in their 
normal sampling mode during the precision check, and the test atmosphere 
must pass through all filters, scrubbers, conditioners and other 
components used during normal ambient sampling and as much of the 
ambient air inlet system as is practicable. If permitted by the 
associated operation or instruction manual, a CO point analyzer may be 
temporarily modified during the precision check to reduce vent or purge 
flows, or the test atmosphere may enter the analyzer at a point other 
than the normal sample inlet, provided that the analyzer's response is 
not likely to be altered by these deviations from the normal operational 
mode.
    Open path analyzers are tested by inserting a test cell containing a 
precision check gas concentration into the optical measurement beam of 
the instrument. If possible, the normally used transmitter, receiver, 
and, as appropriate, reflecting devices should be used during the test, 
and the normal monitoring configuration of the instrument should be 
altered as little as possible to accommodate the test cell for the test. 
However, if permitted by the associated operation or instruction manual, 
an alternate local light source or an alternate optical path that does 
not include the normal atmospheric monitoring path may be used. The 
actual concentration of the precision check gas in the test cell must be 
selected to produce an ``effective concentration'' in the range 
specified above. Generally, the precision test concentration measurement 
will be the sum of the atmospheric pollutant concentration and the 
precision test concentration. If so, the result must be corrected to 
remove the atmospheric concentration contribution. The ``corrected 
concentration'' is obtained by subtracting the average of the 
atmospheric concentrations measured by the open path instrument under 
test immediately before and immediately after the precision check test 
from the precision test concentration measurement. If the difference 
between these before and after measurements is greater than 20 percent 
of the effective concentration of the test gas, discard the test result 
and repeat the test. If possible, open path analyzers should be tested 
during periods when the atmospheric pollutant concentrations are 
relatively low and steady.
    If a precision check is made in conjunction with a zero or span 
adjustment, it must be made prior to such zero or span adjustment. The 
difference between the actual concentration (effective concentration for 
open path analyzers) of the precision check gas and the corresponding 
concentration measurement (corrected concentration, if applicable, for

[[Page 237]]

open path analyzers) indicated by the analyzer is used to assess the 
precision of the monitoring data as described in section 4.1. Report 
data only from automated analyzers that are approved for use in the PSD 
network.
    3.2 Accuracy of Automated Methods. Each sampling quarter, audit each 
analyzer that monitors for SO2, NO2, 
O3, or CO at least once. The audit is made by challenging the 
analyzer with at least one audit gas of known concentration (effective 
concentration for open path analyzers) from each of the following ranges 
that fall within the measurement range of the analyzer being audited:

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

NO2 audit gas for chemiluminescence-type NO2 
analyzers must also contain at least 0.08 ppm NO.

    Note: NO concentrations substantially higher than 0.08 ppm, as may 
occur when using some gas phase titration (GPT) techniques, may lead to 
audit errors in chemiluminescence analyzers due to inevitable minor NO-
NOX channel imbalance. Such errors may be atypical of routine 
monitoring errors to the extent that such NO concentrations exceed 
typical ambient NO concentrations. These errors may be minimized by 
modifying the GPT technique to lower the NO concentrations remaining in 
the NO2 audit gas to levels closer to typical ambient NO 
concentrations at the site.

    The standards from which audit gas test concentrations are obtained 
must meet the specifications of section 2.3. Working and transfer 
standards and equipment used for auditing must be different from the 
standards and equipment used for calibration and spanning. The auditing 
standards and calibration standards may be referenced to the same NIST, 
SRM, CRM, or primary UV photometer. The auditor must not be the 
operator/analyst who conducts the routine monitoring, calibration and 
analysis.
    For point analyzers, the audit shall be carried out by allowing the 
analyzer to analyze the audit test atmosphere in the same manner as 
described for precision checks in section 3.1. The exception given in 
section 3.1 for certain CO analyzers does not apply for audits.
    Open path analyzers are audited by inserting a test cell containing 
an audit gas concentration into the optical measurement beam of the 
instrument. If possible, the normally used transmitter, receiver, and, 
as appropriate, reflecting devices should be used during the audit, and 
the normal monitoring configuration of the instrument should be modified 
as little as possible to accommodate the test cell for the audit. 
However, if permitted by the associated operation or instruction manual, 
an alternate local light source or an alternate optical path that does 
not include the normal atmospheric monitoring path may be used. The 
actual concentrations of the audit gas in the test cell must be selected 
to produce ``effective concentrations'' in the range specified in this 
section 3.2. Generally, each audit concentration measurement result will 
be the sum of the atmospheric pollutant concentration and the audit test 
concentration. If so, the result must be corrected to remove the 
atmospheric concentration contribution. The ``corrected concentration'' 
is obtained by subtracting the average of the atmospheric concentrations 
measured by the open path instrument under test immediately before and 
immediately after the audit test (or preferably before and after each 
audit concentration level) from the audit concentration measurement. If 
the difference between these before and after measurements is greater 
than 20 percent of the effective concentration of the test gas 
standards, discard the test result for that concentration level and 
repeat the test for that level. If possible, open path analyzers should 
be audited during periods when the atmospheric pollutant concentrations 
are relatively low and steady. Also, the monitoring path length must be 
reverified to within 3 percent to validate the 
audit, since the monitoring path length is critical to the determination 
of the effective concentration.
    The differences between the actual concentrations (effective 
concentrations for open path analyzers) of the audit test gas and the 
corresponding concentration measurements (corrected concentrations, if 
applicable, for open path analyzers) indicated by the analyzer are used 
to assess the accuracy of the monitoring data as described in section 
4.2. Report data only from automated analyzers that are approved for use 
in the PSD network.
    3.3 Precision of Manual Methods.
    3.3.1 TSP and PM10 Methods. For a given organization's 
monitoring network, one sampling site must have collocated samplers. A 
site with the highest expected 24-hour pollutant concentration must be 
selected. The two samplers must be within 4 meters of each other but at 
least 2 meters apart to preclude airflow interference. Calibration, 
sampling and analysis must be the same for both collocated samplers as 
well as for all other samplers in the network. The collocated samplers 
must be operated as a minimum every third day when continuous sampling 
is used. When a less frequent sample schedule is

[[Page 238]]

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

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

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

4. Calculations for Automated Methods

    4.1 Single Analyzer Precision. Each organization, at the end of each 
sampling quarter, shall calculate and report a precision probability 
interval for each analyzer. Directions for calculations are given below 
and directions for reporting are given in section 6. If monitoring data 
are invalidated during the period represented by a given precision 
check, the results of that precision check shall be excluded from the 
calculations. Calculate the percentage difference (di) for 
each precision check using equation 1.
[GRAPHIC] [TIFF OMITTED] TC09NO91.023

where:

Yi = analyzer's indicated concentration from the i-th 
precision check
Xi = known concentration of the test gas used for the i-th 
precision check.

For each instrument, calculate the quarterly average (dj), 
equation 2, and the standard deviation (Sj), equation 3.
[GRAPHIC] [TIFF OMITTED] TC09NO91.024

[GRAPHIC] [TIFF OMITTED] TC09NO91.025

where n is the number of precision checks on the instrument made during 
ther sampling quarter. For example, n should be 6 or 7 if span checks 
are made biweekly during a quarter.

[[Page 239]]

    Calculate the 95 percent probability limits for precision using 
equation 4 and 5.

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

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

5. Calculations for Manual Methods

    5.1 Single Instrument Precision for TSP, Pb and PM10. 
Estimates of precision for ambient air quality particulate measurements 
are calculated from results obtained from collocated samplers as 
described in section 3.3. At the end of each sampling quarter, calculate 
and report a precision probability interval, using weekly result from 
the collecated samplers. Directions for calculations are given below, 
and directions for reporting are given in section 6.
    For the paired measurements obtained as described in sections 3.3.1 
and 3.3.2, calculate the percent difference (di) using 
equation 1a, where Yi is the concentration of pollutant 
measured by the duplicate sampler, and Xi is the 
concentration measured by the sampler reporting air quality for the 
site. Calculate the quarterly average percent difference 
(dj), equation 2; standard deviation (Sj), 
equation 3; and upper and lower 95 percent probability limits for 
precision, equations 6 and 7.
[GRAPHIC] [TIFF OMITTED] TC09NO91.026

                                                                    (1a)

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

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

6. Organization Reporting Requirements.

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

                               Table B-1--Minimum PSD Data Assessment Requirements
----------------------------------------------------------------------------------------------------------------
                                                                                                  Parameters
             Method                Assessment method       Coverage            Frequency           reported
----------------------------------------------------------------------------------------------------------------
Precision:
  Automated Methods for SO2,      Response check at   Each analyzer.....  Once per 2 weeks..  Actual
   NO2, O3, and CO.                concentration                                               concentration 2 &
                                   between .08 & .10                                           measured
                                   ppm (8 & 10 ppm                                             concentration.3
                                   for CO) 2.

[[Page 240]]

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

References

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

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

    Appendix C to Part 58--Ambient Air Quality Monitoring Methodology

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

2.0 State and Local Air Monitoring Stations (SLAMS)

    2.1 Except as otherwise provided in this appendix, a monitoring 
method used in a SLAMS must be a reference or equivalent method as 
defined in Sec. 50.1 of this chapter.
    2.2 Substitute PM10 samplers.
    2.2.1 For purposes of showing compliance with the NAAQS for 
particulate matter, a high volume TSP sampler described in 40 CFR part 
50, appendix B, may be used in a SLAMS in lieu of a PM10 
monitor as long as the ambient concentrations of particles measured by 
the TSP sampler are below the PM10 NAAQS. If the TSP sampler 
measures a single value that is higher than the PM10 24-hour 
standard, or if the annual average of its measurements is greater than 
the PM10 annual standard, the TSP sampler operating as a 
substitute PM10 sampler must be replaced

[[Page 241]]

with a PM10 monitor. For a TSP measurement above the 24-hour 
standard, the TSP sampler should be replaced with a PM10 
monitor before the end of the calendar quarter following the quarter in 
which the high concentration occurred. For a TSP annual average above 
the annual standard, the PM10 monitor should be operating by 
June 30 of the year following the exceedance.
    2.2.2 In order to maintain historical continuity of ambient 
particulate matter trends and patterns for PM10 NAMS that 
were previously TSP NAMS, the TSP high volume sampler must be operated 
concurrently with the PM10 monitor for a one-year period 
beginning with the PM10 NAMS start-up date. The operating 
schedule for the TSP sampler must be at least once every 6 days 
regardless of the PM10 sampling frequency.
    2.3 Any manual method or analyzer purchased prior to cancellation of 
its reference or equivalent method designation under Sec. 53.11 or 
Sec. 53.16 of this chapter may be used in a SLAMS following 
cancellation for a reasonable period of time to be determined by the 
Administrator.
    2.4 Approval of non-designated PM2.5 methods operated at 
specific individual sites. A method for PM2.5 that has not 
been designated as a reference or equivalent method as defined in Sec. 
50.1 of this chapter may be approved for use for purposes of section 2.1 
of this appendix at a particular SLAMS under the following stipulations.
    2.4.1 The method must be demonstrated to meet the comparability 
requirements (except as provided in this section 2.4.1) set forth in 
Sec. 53.34 of this chapter in each of the four seasons at the site at 
which it is intended to be used. For purposes of this section 2.4.1, the 
requirements of Sec. 53.34 of this chapter shall apply except as 
follows:
    2.4.1.1 The method shall be tested at the site at which it is 
intended to be used, and there shall be no requirement for tests at any 
other test site.
    2.4.1.2 For purposes of this section 2.4, the seasons shall be 
defined as follows: Spring shall be the months of March, April, and May; 
summer shall be the months of June, July, and August; fall shall be the 
months of September, October, and November; and winter shall be the 
months of December, January, and February; when alternate seasons are 
approved by the Administrator.
    2.4.1.3 No PM10 samplers shall be required for the test, 
as determination of the PM2.5/PM10 ratio at the 
test site shall not be required.
    2.4.1.4 The specifications given in table C-4 of part 53 of this 
chapter for Class I methods shall apply, except that there shall be no 
requirement for any minimum number of sample sets with Rj greater than 
40 [mu]g/m3 for 24-hour samples or greater than 15 [mu]g/
m3 average concentration collected over a 48-hour period.
    2.4.2 The monitoring agency wishing to use the method must develop 
and implement appropriate quality assurance procedures for the method.
    2.4.3 The monitoring agency wishing to use the method must develop 
and implement appropriate procedures for assessing and reporting the 
precision and accuracy of the method comparable to the procedures set 
forth in appendix A of this part for designated reference and equivalent 
methods.
    2.4.4 The assessment of network operating precision using collocated 
measurements with reference method ``audit'' samplers required under 
section 3 of appendix A of this part shall be carried out semi-annually 
rather than annually (i.e., monthly audits with assessment 
determinations each 6 months).
    2.4.5 Requests for approval under this section 2.4 must meet the 
general submittal requirements of sections 2.7.1 and 2.7.2.1 of this 
appendix and must include the requirements in sections 2.4.5.1 through 
2.4.5.7 of this appendix.
    2.4.5.1 A clear and unique description of the site at which the 
method or sampler will be used and tested, and a description of the 
nature or character of the site and the particulate matter that is 
expected to occur there.
    2.4.5.2 A detailed description of the method and the nature of the 
sampler or analyzer upon which it is based.
    2.4.5.3 A brief statement of the reason or rationale for requesting 
the approval.
    2.4.5.4 A detailed description of the quality assurance procedures 
that have been developed and that will be implemented for the method.
    2.4.5.5 A detailed description of the procedures for assessing the 
precision and accuracy of the method that will be implemented for 
reporting to AIRS.
    2.4.5.6 Test results from the comparability tests as required in 
section 2.4.1 through 2.4.1.4 of this appendix.
    2.4.5.7 Such further supplemental information as may be necessary or 
helpful to support the required statements and test results.
    2.4.6 Within 120 days after receiving a request for approval of the 
use of a method at a particular site under this section 2.4 and such 
further information as may be requested for purposes of the decision, 
the Administrator will approve or disapprove the method by letter to the 
person or agency requesting such approval.
    2.5 Approval of non-designated methods under Sec. 58.13(f). An 
automated (continuous) method for PM2.5 that is not 
designated as either a reference or equivalent method as defined in 
Sec. 50.1 of this chapter may be approved under Sec. 58.13(f) for use 
at a SLAMS for the limited purposes of Sec. 58.13(f). Such an analyzer 
that is approved for use at a SLAMS under Sec. 58.13(f), identified as 
correlated acceptable continuous (CAC) monitors, shall

[[Page 242]]

not be considered a reference or equivalent method as defined in Sec. 
50.1 of this chapter by virtue of its approval for use under Sec. 
58.13(f), and the PM2.5 monitoring data obtained from such a 
monitor shall not be otherwise used for purposes of part 50 of this 
chapter.
    2.6 Use of Methods With Higher, Nonconforming Ranges in Certain 
Geographical Areas.
    2.6.1 [Reserved]
    2.6.2 Nonconforming Ranges. An analyzer may be used (indefinitely) 
on a range which extends to concentrations higher than two times the 
upper limit specified in table B-1 of part 53 of this chapter if:
    2.6.2.1 The analyzer has more than one selectable range and has been 
designated as a reference or equivalent method on at least one of its 
ranges, or has been approved for use under section 2.5 (which applies to 
analyzers purchased before February 18, 1975);
    2.6.2.2 The pollutant intended to be measured with the analyzer is 
likely to occur in concentrations more than two times the upper range 
limit specified in table B-1 of part 53 of this chapter in the 
geographical area in which use of the analyzer is proposed; and
    2.6.2.3 The Administrator determines that the resolution of the 
range or ranges for which approval is sought is adequate for its 
intended use. For purposes of this section (2.6), ``resolution'' means 
the ability of the analyzer to detect small changes in concentration.
    2.6.3 Requests for approval under section 2.6.2 must meet the 
submittal requirements of section 2.7. Except as provided in subsection 
2.7.3, each request must contain the information specified in subsection 
2.7.2 in addition to the following:
    2.6.3.1 The range or ranges proposed to be used;
    2.6.3.2 Test data, records, calculations, and test results as 
specified in subsection 2.7.2.2 for each range proposed to be used;
    2.6.3.3 An identification and description of the geographical area 
in which use of the analyzer is proposed;
    2.6.3.4 Data or other information demonstrating that the pollutant 
intended to be measured with the analyzer is likely to occur in 
concentrations more than two times the upper range limit specified in 
table B-1 of part 53 of this chapter in the geographical area in which 
use of the analyzer is proposed; and
    2.6.3.5 Test data or other information demonstrating the resolution 
of each proposed range that is broader than that permitted by section 
2.5.
    2.6.4 Any person who has obtained approval of a request under this 
section (2.6.2) shall assure that the analyzer for which approval was 
obtained is used only in the geographical area identified in the request 
and only while operated in the range or ranges specified in the request.
    2.7 Requests for Approval; Withdrawal of Approval.
    2.7.1 Requests for approval under sections 2.4, 2.6.2, or 2.8 of 
this appendix must be submitted to: Director, National Exposure 
Assessment Laboratory, Department E, (MD-77B), U.S. Environmental 
Protection Agency, Research Triangle Park, North Carolina 27711.
    2.7.2 Except as provided in section 2.7.3, each request must 
contain:
    2.7.2.1 A statement identifying the analyzer (e.g., by serial 
number) and the method of which the analyzer is representative (e.g., by 
manufacturer and model number); and
    2.7.2.2 Test data, records, calculations, and test results for the 
analyzer (or the method of which the analyzer is representative) as 
specified in subpart B, subpart C, or both (as applicable) of part 53 of 
this chapter.
    2.7.3 A request may concern more than one analyzer or geographical 
area and may incorporate by reference any data or other information 
known to EPA from one or more of the following:
    2.7.3.1 An application for a reference or equivalent method 
determination submitted to EPA for the method of which the analyzer is 
representative, or testing conducted by the applicant or by EPA in 
connection with such an application;
    2.7.3.2 Testing of the method of which the analyzer is 
representative at the initiative of the Administrator under Sec. 53.7 
of this chapter; or
    2.7.3.3 A previous or concurrent request for approval submitted to 
EPA under this section (2.7).
    2.7.4 To the extent that such incorporation by reference provides 
data or information required by this section (2.7) or by sections 2.4, 
2.5, or 2.6, independent data or duplicative information need not be 
submitted.
    2.7.5 After receiving a request under this section (2.7), the 
Administrator may request such additional testing or information or 
conduct such tests as may be necessary in his judgment for a decision on 
the request.
    2.7.6 If the Administrator determines, on the basis of any 
information available to him, that any of the determinations or 
statements on which approval of a request under this section (2.7) was 
based are invalid or no longer valid, or that the requirements of 
section 2.4, 2.5, or 2.6, as applicable, have not been met, he may 
withdraw the approval after affording the person who obtained the 
approval an opportunity to submit information and arguments opposing 
such action.
    2.8 Modifications of Methods by Users.
    2.8.1 Except as otherwise provided in this section (2.8), no 
reference method, equivalent method, or alternative method may be used 
in a SLAMS if it has been modified in a manner that will, or might, 
significantly alter

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the performance characteristics of the method without prior approval by 
the Administrator. For purposes of this section (2.8), ``alternative 
method'' means an analyzer the use of which has been approved under 
section 2.4, 2.5, or 2.6 of this appendix or some combination thereof.
    2.8.2 Requests for approval under this section (2.8) must meet the 
submittal requirements of sections 2.7.1 and 2.7.2.1 of this appendix.
    2.8.3 Each request submitted under this section (2.8) must include:
    2.8.3.1 A description, in such detail as may be appropriate, of the 
desired modification;
    2.8.3.2 A brief statement of the purpose(s) of the modification, 
including any reasons for considering it necessary or advantageous;
    2.8.3.3 A brief statement of belief concerning the extent to which 
the modification will or may affect the performance characteristics of 
the method; and
    2.8.3.4 Such further information as may be necessary to explain and 
support the statements required by sections 2.8.3.2 and 2.8.3.3.
    2.8.4 Within 75 days after receiving a request for approval under 
this section (2.8) and such further information as he may request for 
purposes of his decision, the Administrator will approve or disapprove 
the modification in question by letter to the person or agency 
requesting such approval.
    2.8.5 A temporary modification that will or might alter the 
performance characteristics of a reference, equivalent, or alternative 
method may be made without prior approval under this section (2.8) if 
the method is not functioning or is malfunctioning, provided that parts 
necessary for repair in accordance with the applicable operation manual 
cannot be obtained within 45 days. Unless such temporary modification is 
later approved under section 2.8.4, the temporarily modified method 
shall be repaired in accordance with the applicable operation manual as 
quickly as practicable but in no event later than 4 months after the 
temporary modification was made, unless an extension of time is granted 
by the Administrator. Unless and until the temporary modification is 
approved, air quality data obtained with the method as temporarily 
modified must be clearly identified as such when submitted in accordance 
with Sec. 58.28 or Sec. 58.35 of this chapter and must be accompanied 
by a report containing the information specified in section 2.8.3. A 
request that the Administrator approve a temporary modification may be 
submitted in accordance with sections 2.8.1 through 2.8.4. In such cases 
the request will be considered as if a request for prior approval had 
been made.
    2.9 Use of IMPROVE Samplers at a SLAMS. ``IMPROVE'' samplers may be 
used in SLAMS for monitoring of regional background and regional 
transport concentrations of fine particulate matter. The IMPROVE 
samplers were developed for use in the Interagency Monitoring of 
Protected Visual Environments (IMPROVE) network to characterize all of 
the major components and many trace constituents of the particulate 
matter that impair visibility in Federal Class I Areas. These samplers 
are routinely operated at about 70 locations in the United States. 
IMPROVE samplers consist of four sampling modules that are used to 
collect twice weekly 24-hour duration simultaneous samples. Modules A, 
B, and C collect PM2.5 on three different filter substrates 
that are compatible with a variety of analytical techniques, and module 
D collects a PM10 sample. PM2.5 mass and elemental 
concentrations are determined by analysis of the 25mm diameter stretched 
Teflon filters from module A. More complete descriptions of the IMPROVE 
samplers and the data they collect are available elsewhere (references 
4, 5, and 6 of this appendix).

3.0 National Air Monitoring Stations (NAMS)

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

4.0 Photochemical Assessment Monitoring Stations (PAMS)

    4.1 Methods used for O3 monitoring at PAMS must be 
automated reference or equivalent methods as defined in Sec. 50.1 of 
this chapter.
    4.2 Methods used for NO, NO2 and NOX 
monitoring at PAMS should be automated reference or equivalent methods 
as defined for NO2 in Sec. 50.1 of this chapter. If 
alternative NO, NO2 or NOX monitoring 
methodologies are proposed, such techniques must be detailed in the 
network description required by Sec. 58.40 and subsequently approved by 
the Administrator.
    4.3 Methods for meteorological measurements and speciated VOC 
monitoring are included in the guidance provided in references 2 and 3. 
If alternative VOC monitoring methodology (including the use of new or 
innovative technologies), which is not included in the guidance, is 
proposed, it must be detailed in the network description required by 
Sec. 58.40 and subsequently approved by the Administrator.

    5.0 Particulate Matter Episode Monitoring

    5.1 For short-term measurements of PM10 during air 
pollution episodes (see Sec. 51.152 of this chapter) the measurement 
method must be:
    5.1.1 Either the ``Staggered PM10'' method or the 
``PM10 Sampling Over Short Sampling Times'' method, both of 
which are based on the reference method for PM10 and are 
described in reference 1: or
    5.1.2 Any other method for measuring PM10:

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

6.0 References

    1. Pelton, D. J. Guideline for Particulate Episode Monitoring 
Methods, GEOMET Technologies, Inc., Rockville, MD. Prepared for U.S. 
Environmental Protection Agency, Research Triangle Park, NC. EPA 
Contract No. 68-02-3584. EPA 450/4-83-005. February 1983.
    2. Technical Assistance Document For Sampling and Analysis of Ozone 
Precursors. Atmospheric Research and Exposure Assessment Laboratory, 
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711. 
EPA 600/8-91-215. October 1991.
    3. Quality Assurance Handbook for Air Pollution Measurement Systems: 
Volume IV. Meteorological Measurements. Atmospheric Research and 
Exposure Assessment Laboratory, U.S. Environmental Protection Agency, 
Research Triangle Park, NC 27711. EPA 600/4-90-0003. August 1989.
    (4) Eldred, R.A., Cahill, T.A., Wilkenson, L.K., et al., 
Measurements of fine particles and their chemical components in the 
IMPROVE/NPS networks, in Transactions of the International Specialty 
Conference on Visibility and Fine Particles, Air and Waste Management 
Association: Pittsburgh, PA, 1990; pp 187-196.
    (5) Sisler, J.F., Huffman, D., and Latimer, D.A.; Spatial and 
temporal patterns and the chemical composition of the haze in the United 
States: An analysis of data from the IMPROVE network, 1988-1991, ISSN 
No. 0737-5253-26, National Park Service, Ft. Collins, CO, 1993.
    (6) Eldred, R.A., Cahill, T.A., Pitchford, M., and Malm, W.C.; 
IMPROVE--a new remote area particulate monitoring system for visibility 
studies, Proceedings of the 81st Annual Meeting of the Air Pollution 
Control Association, Dallas, Paper 88-54.3, 1988.

[44 FR 27571, May 10, 1979, as amended at 44 FR 37918, June 29, 1979; 44 
FR 65070, Nov. 9, 1979; 51 FR 9597, Mar. 19, 1986; 52 FR 24741, 24742, 
July 1, 1987; 58 FR 8469, Feb. 12, 1993; 59 FR 41628, Aug. 12, 1994; 62 
FR 38843, July 18, 1997]

Appendix D to Part 58--Network Design for State and Local Air Monitoring 
     Stations (SLAMS), National Air Monitoring Stations (NAMS), and 
           Photochemical Assessment Monitoring Stations (PAMS)

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

    1. SLAMS Monitoring Objectives and Spatial Scales

    The purpose of this appendix is to describe monitoring objectives 
and general criteria to be applied in establishing the State and Local 
Air Monitoring Stations (SLAMS) networks and for choosing general 
locations for new monitoring stations. It also describes criteria for 
determining the number and location of National Air Monitoring Stations 
(NAMS), Photochemical Assessment Monitoring Stations (PAMS), and core 
Stations for PM2.5. These criteria will also be used by EPA 
in evaluating the adequacy of the

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SLAMS/NAMS/PAMS and core PM2.5 networks.
    The network of stations that comprise SLAMS should be designed to 
meet a minimum of six basic monitoring objectives. These basic 
monitoring objectives are:
    (1) To determine highest concentrations expected to occur in the 
area covered by the network.
    (2) To determine representative concentrations in areas of high 
population density.
    (3) To determine the impact on ambient pollution levels of 
significant sources or source categories.
    (4) To determine general background concentration levels.
    (5) To determine the extent of Regional pollutant transport among 
populated areas; and in support of secondary standards.
    (6) To determine the welfare-related impacts in more rural and 
remote areas (such as visibility impairment and effects on vegetation).
    It should be noted that this appendix contains no criteria for 
determining the total number of stations in SLAMS networks, except in 
areas where Pb concentrations currently exceed or have exceeded the Pb 
NAAQS during any one quarter of the most recent eight quarters. The 
optimum size of a particular SLAMS network involves trade offs among 
data needs and available resources that EPA believes can best be 
resolved during the network design process.
    This appendix focuses on the relationship between monitoring 
objectives and the geographical location of monitoring stations. 
Included are a rationale and set of general criteria for identifying 
candidate station locations in terms of physical characteristics which 
most closely match a specific monitoring objective. The criteria for 
more specifically siting the monitoring station, including spacing from 
roadways and vertical and horizontal probe and path placement, are 
described in appendix E of this part.
    To clarify the nature of the link between general monitoring 
objectives and the physical location of a particular monitoring station, 
the concept of spatial scale of representativeness of a monitoring 
station is defined. The goal in siting stations is to correctly match 
the spatial scale represented by the sample of monitored air with the 
spatial scale most appropriate for the monitoring objective of the 
station.
    Thus, spatial scale of representativeness is described in terms of 
the physical dimensions of the air parcel nearest to a monitoring 
station throughout which actual pollutant concentrations are reasonably 
similar. The scale of representativeness of most interest for the 
monitoring objectives defined above are as follows:
    Microscale--defines the concentrations in air volumes associated 
with area dimensions ranging from several meters up to about 100 meters.
    Middle Scale--defines the concentration typical of areas up to 
several city blocks in size with dimensions ranging from about 100 
meters to 0.5 kilometer.
    Neighborhood Scale--defines concentrations within some extended area 
of the city that has relatively uniform land use with dimensions in the 
0.5 to 4.0 kilometers range.
    Urban Scale--defines the overall, citywide conditions with 
dimensions on the order of 4 to 50 kilometers. This scale would usually 
require more than one site for definition.
    Regional Scale--defines usually a rural area of reasonably 
homogeneous geography and extends from tens to hundreds of kilometers.
    National and Global Scales--these measurement scales represent 
concentrations characterizing the nation and the globe as a whole.
    Proper siting of a monitoring station requires precise specification 
of the monitoring objective which usually includes a desired spatial 
scale of representativeness. For example, consider the case where the 
objective is to determine maximum CO concentrations in areas where 
pedestrians may reasonably be exposed. Such areas would most likely be 
located within major street canyons of large urban areas and near 
traffic corridors. Stations located in these areas are most likely to 
have a microscale of representativeness since CO concentrations 
typically peak nearest roadways and decrease rapidly as the monitor is 
moved from the roadway. In this example, physical location was 
determined by consideration of CO emission patterns, pedestrian 
activity, and physical characteristics affecting pollutant dispersion. 
Thus, spatial scale of representativeness was not used in the selection 
process but was a result of station location.
    In some cases, the physical location of a station is determined from 
joint consideration of both the basic monitoring objective, and a 
desired spatial scale of representativeness. For example, to determine 
CO concentrations which are typical over a reasonably broad geographic 
area having relatively high CO concentrations, a neighborhood scale 
station is more appropriate. Such a station would likely be located in a 
residential or commercial area having a high overall CO emission density 
but not in the immediate vicinity of any single roadway. Note that in 
this example, the desired scale of representativeness was an important 
factor in determining the physical location of the monitoring station.
    In either case, classification of the station by its intended 
objective and spatial scale of representativeness is necessary and will 
aid in interpretation of the monitoring data.
    Table 1 illustrates the relationship between the four basic 
monitoring objectives and the scales of representativeness that are

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generally most appropriate for that objective.

     Table 1--Relationship Among Monitoring Objectives and Scale of
                           Representativeness
------------------------------------------------------------------------
           Monitoring Objective               Appropriate Siting Scales
------------------------------------------------------------------------
Highest concentration.....................  Micro, Middle, neighborhood
                                             (sometimes urban \1\)
Population................................  Neighborhood, urban
Source impact.............................  Micro, middle, neighborhood
General/background........................  Neighborhood, urban,
                                             regional
Regional transport........................  Urban/regional
Welfare-related impacts...................  Urban/regional
------------------------------------------------------------------------
\1\ Urban denotes a geographic scale applicable to both cities and rural
  areas

    Open path analyzers can often be used effectively and advantageously 
to provide better monitoring representation for population exposure 
monitoring and general or background monitoring in urban and 
neighborhood scales of representation. Such analyzers may also be able 
to provide better area coverage or operational advantages in high 
concentration and source-impact monitoring in middle scale and possibly 
microscale areas. However, siting of open path analyzers for the latter 
applications must be carried out with proper regard for the specific 
monitoring objectives and for the path-averaging nature of these 
analyzers. Monitoring path lengths need to be commensurate with the 
intended scale of representativeness and located carefully with respect 
to local sources or potential obstructions. For short-term/high-
concentration or source-oriented monitoring, the monitoring path may 
need to be further restricted in length and be oriented approximately 
radially with respect to the source in the downwind direction, to 
provide adequate peak concentration sensitivity. Alternatively, multiple 
(e.g., orthogonal) paths may be used advantageously to obtain both wider 
area coverage and peak concentration sensitivity. Further discussion on 
this topic is included in section 2.2 of this appendix.
    Subsequent sections of this appendix describe in greater detail the 
most appropriate scales of representativeness and general monitoring 
locations for each pollutant.

2. SLAMS Network Design Procedures

    The preceding section of this appendix has stressed the importance 
of defining the objectives for monitoring a particular pollutant. Since 
monitoring data are collected to ``represent'' the conditions in a 
section or subregion of a geographical area, the previous section 
included a discussion of the scale of representativeness of a monitoring 
station. The use of this physical basis for locating stations allows for 
an objective approach to network design.
    The discussion of scales in sections 2.3 through 2.8 of this 
appendix does not include all of the possible scales for each pollutant. 
The scales that are discussed are those that are felt to be most 
pertinent for SLAMS network design.
    In order to evaluate a monitoring network and to determine the 
adequacy of particular monitoring stations, it is necessary to examine 
each pollutant monitoring station individually by stating its monitoring 
objective and determining its spatial scale of representativeness. This 
will do more than insure compatibility among stations of the same type. 
It will also provide a physical basis for the interpretation and 
application of the data. This will help to prevent mismatches between 
what the data actually represent and what the data are interpreted to 
represent. It is important to note that SLAMS are not necessarily 
sufficient for completely describing air quality. In many situations, 
diffusion models must be applied to complement ambient monitoring, e.g., 
determining the impact of point sources or defining boundaries of 
nonattainment areas.
    Information such as emissions density, housing density, 
climatological data, geographic information, traffic counts, and the 
results of modeling will be useful in designing regulatory networks. Air 
pollution control agencies have shown the value of screening studies, 
such as intensive studies conducted with portable samplers, in designing 
networks. In many cases, in selecting sites for core PM2.5 or 
carbon monoxide SLAMS, and for defining the boundaries of 
PM2.5 optional community monitoring zones, air pollution 
control agencies will benefit from using such studies to evaluate the 
spatial distribution of pollutants.
    2.1 Background Information for Establishing SLAMS. Background 
information that must be considered in the process of selecting SLAMS 
from the existing network and in establishing new SLAMS includes 
emission inventories, climatological summaries, and local geographical 
characteristics. Such information is to be used as a basis for the 
judgmental decisions that are required during the station selection 
process. For new stations, the background information should be used to 
decide on the actual location considering the monitoring objective and 
spatial scale while following the detailed procedures in References 1 
through 4.
    Emission inventories are generally the most important type of 
background information needed to design the SLAMS network. The emission 
data provide valuable information concerning the size and distribution 
of large point sources. Area source emissions are usually available for 
counties but should be subdivided into smaller areas or grids where 
possible, especially if diffusion modeling is to be used as a basis for 
determining where stations should be located. Sometimes

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this must be done rather crudely, for example, on the basis of 
population or housing units. In general, the grids should be smaller in 
areas of dense population than in less densely populated regions.
    Emission inventory information for point sources should be generally 
available for any area of the country for annual and seasonal averaging 
times. Specific information characterizing the emissions from large 
point sources for the shorter averaging times (diurnal variations, load 
curves, etc.) can often be obtained from the source. Area source 
emission data by season, although not available from the EPA, can be 
generated by apportioning annual totals according to degree days.
    Detailed area source data are also valuable in evaluating the 
adequacy of an existing station in terms of whether the station has been 
located in the desired spatial scale of representativeness. For example, 
it may be the desire of an agency to have an existing CO station 
measuring in the neighborhood scale.
    By examining the traffic data for the area and examining the 
physical location of the station with respect to the roadways, a 
determination can be made as to whether or not the station is indeed 
measuring the air quality on the desired scale.
    The climatological summaries of greatest use are the frequency 
distributions of wind speed and direction. The wind rose is an easily 
interpreted graphical presentation of the directional frequencies. Other 
types of useful climatological data are also available, but generally 
are not as directly applicable to the site selection process as are the 
wind statistics.
    In many cases, the meteorological data originating from the most 
appropriate (not necessarily the nearest) national weather service (NWS) 
airport station in the vicinity of the prospective siting area will 
adequately reflect conditions over the area of interest, at least for 
annual and seasonal averaging times. In developing data in complex 
meteorological and terrain situations, diffusion meteorologists should 
be consulted. NWS stations can usually provide most of the relevant 
weather information in support of network design activities anywhere in 
the country. Such information includes joint frequency distributions of 
winds and atmospheric stability (stability-wind roses).
    The geographical material is used to determine the distribution of 
natural features, such as forests, rivers, lakes, and manmade features. 
Useful sources of such information may include road and topographical 
maps, aerial photographs, and even satellite photographs. This 
information may include the terrain and land-use setting of the 
prospective monitor siting area, the proximity of larger water bodies, 
the distribution of pollutant sources in the area, the location of NWS 
airport stations from which weather data may be obtained, etc. Land use 
and topographical characteristics of specific areas of interest can be 
determined from U.S. Geological Survey (USGS) maps and land use maps. 
Detailed information on urban physiography (building/street dimensions, 
etc.) can be obtained by visual observations, aerial photography, and 
also surveys to supplement the information available from those sources. 
Such information could be used in determining the location of local 
pollutant sources in and around the prospective station locations.
    2.2 Substantive Changes in SLAMS/NAMS Network Design Elements. Two 
important purposes of the SLAMS monitoring data are to examine and 
evaluate overall air quality within a certain region, and to assess the 
trends in air pollutant levels over several years. The EPA believes that 
one of the primary tools for providing these characterizations is an 
ambient air monitoring program which implements technically 
representative networks. The design of these networks must be carefully 
evaluated not only at their outset, but at relatively frequent intervals 
thereafter, using an appropriate combination of other important 
technical tools, including: dispersion and receptor modeling, saturation 
studies, point and area source emissions analyses, and meteorological 
assessments. The impetus for these subsequent reexaminations of 
monitoring network adequacy stems not only from the need to evaluate the 
effect that changes in the environment may pose, but also from the 
recognition that new and/or refined tools and techniques for use in 
impact assessments are continually emerging and available for 
application.
    Substantiative changes to an ambient air monitoring network are both 
inevitable and necessary; however, any changes in any substantive aspect 
of an existing SLAMS network or monitoring site that might affect the 
continuity or comparability of pollutant measurements over time must be 
carefully and thoroughly considered. Such substantive changes would 
include cessation of monitoring at an existing site, relocation of an 
existing site, a change in the type of monitoring method used, any 
change in the probe or path height or orientation that might affect 
pollutant measurements, any significant changes in calibration 
procedures or standards, any significant change in operational or 
quality assurance procedures, any significant change in the sources or 
the character of the area in the vicinity of a monitoring site, or any 
other change that could potentially affect the continuity or 
comparability of monitoring data obtained before and after the change.
    In general, these types of changes should be made cautiously with 
due consideration given to the impact of such changes on the

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network/site's ability to meet its intended goals. Some of these changes 
will be inevitable (such as when a monitoring site will no longer be 
available and the monitor must be relocated, for example). Other changes 
may be deemed necessary and advantageous, after due consideration of 
their impact, even though they may have a deleterious effect on the 
long-term comparability of the monitoring data. In these cases, an 
effort should be made to quantify, if possible, or at least 
characterize, the nature or extent of the effects of the change on the 
monitoring data. In all cases, the changes and all information pertinent 
to the effect of the change should be properly and completely documented 
for evaluation by trends analysts.
    The introduction of open path methods to the SLAMS monitoring 
network may seem relatively straightforward, given the kinds of 
technical analyses required in this appendix. However, given the 
uncertainties attendant to these analyses and the critical nature and 
far-reaching regulatory implications of some sites in the current SLAMS 
network composed of point monitors, there is a need to `bridge' between 
databases generated by these different candidate methods to evaluate and 
promote continuity in understanding of the historical representativeness 
of the database.
    Concurrent, nominally collocated monitoring must be conducted in all 
instances where an open path analyzer is effectively intended to replace 
a criteria pollutant point monitor which meets either of the following:
    1. Data collected at the site represents the maximum concentration 
for a particular nonattainment area; or
    2. Data collected at the site is currently used to characterize the 
development of a nonattainment area State implementation plan.
    The Regional Administrator, the Administrator, or their appropriate 
designee may also require collocated monitoring at other sites which 
are, based on historical technical data, significant in assessing air 
quality in a particular area. The term of this requirement is determined 
by the Regional Administrator (for SLAMS), Administrator (for NAMS), or 
their appropriate designee. The recommended minimum term consists of one 
year (or one season of maximum pollutant concentration) with a maximum 
term indexed to the subject pollutant NAAQS compliance interval (e.g., 
three calendar years for ozone). The requirement involves concurrent 
monitoring with both the open path analyzer and the existing point 
monitor during this term. Concurrent monitoring with more than one point 
analyzer with an open path analyzer using one or more measurement paths 
may also be advantageous to confirm adequate peak concentration 
sensitivity or to optimize the location and length of the monitoring 
path or paths.
    All or some portion of the above requirement may be waived by the 
Regional Administrator (for SLAMS), the Administrator (for NAMS), or 
their designee in response to a request, based on accompanying technical 
information and analyses, or in certain unavoidable instances caused by 
logistical circumstances.
    These requirements for concurrent monitoring also generally apply to 
situations where the relocation of any SLAMS site, using either a point 
monitor or an open path analyzer, within an area is being contemplated.
    2.3 Sulfur Dioxide (SO2) Design Criteria for SLAMS. The 
spatial scales for SO2 SLAMS monitoring are the middle, 
neighborhood, urban, and regional scales. Because of the nature of 
SO2 distributions over urban areas, the middle scale is the 
most likely scale to be represented by a single measurement in an urban 
area, but only if the undue effects from local sources (minor or major 
point sources) can be eliminated. Neighborhood scales would be those 
most likely to be represented by single measurements in suburban areas 
where the concentration gradients are less steep. Urban scales would 
represent areas where the concentrations are uniform over a larger 
geographical area. Regional scale measurements would be associated with 
rural areas.
    Middle Scale--Some data uses associated with middle scale 
measurements for SO2 include assessing the effects of control 
strategies to reduce urban concentrations (especially for the 3-hour and 
24-hour averaging times) and monitoring air pollution episodes.
    Neighborhood Scale--This scale applies in areas where the 
SO2 concentration gradient is relatively flat (mainly 
suburban areas surrounding the urban center) or in large sections of 
small cities and towns. In general, these areas are quite homogeneous in 
terms of SO2 emission rates and population density. Thus, 
neighborhood scale measurements may be associated with baseline 
concentrations in areas of projected growth and in studies of population 
responses to exposure to SO2. Also concentration maxima 
associated with air pollution episodes may be uniformly distributed over 
areas of neighborhood scale, and measurements taken within such an area 
would represent neighborhood, and to a limited extent, middle scale 
concentrations.
    Urban Scale--Data from this scale could be used for the assessment 
of air quality trends and the effect of control strategies on urban 
scale air quality.
    Regional Scale--These measurements would be applicable to large 
homogeneous areas, particularly those which are sparsely populated. Such 
measurements could provide information on background air quality and 
interregional pollutant transport.

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    After the spatial scale has been selected to meet the monitoring 
objectives for each station location, the procedures found in reference 
2 should be used to evaluate the adequacy of each existing 
SO2 station and must be used to relocate an existing station 
or to locate any new SLAMS stations. The background material for these 
procedures should consist of emission inventories, meteorological data, 
wind roses, and maps for population and topographical characteristics of 
specific areas of interest. Isopleth maps of SO2 air quality 
as generated by diffusion models\5\ are useful for the general 
determination of a prospective area within which the station is 
eventually placed.
    2.4 Carbon Monoxide (CO) Design Criteria for SLAMS. Micro, middle, 
and neighborhood scale measurements are necessary station 
classifications for SLAMS since most people are exposed to CO 
concentrations in these scales. Carbon monoxide maxima occur primarily 
in areas near major roadways and intersections with high traffic density 
and poor atmospheric ventilation. As these maxima can be predicted by 
ambient air quality modeling, a large fixed network of CO monitors is 
not required. Long-term CO monitoring should be confined to a limited 
number of micro and neighborhood scale stations in large metropolitan 
areas to measure maximum pollution levels and to determine the 
effectiveness of control strategies.
    Microscale--Measurements on this scale would represent distributions 
within street canyons, over sidewalks, and near major roadways. The 
measurements at a particular location in a street canyon would be 
typical of one high concentration area which can be shown to be a 
representation of many more areas throughout the street canyon or other 
similar locations in a city. This is a scale of measurement that would 
provide valuable information for devising and evaluating ``hot spot'' 
control measures.
    Middle Scale--This category covers dimensions from 100 meters to 0.5 
kilometer. In certain cases discussed below, it may apply to regions 
that have a total length of several kilometers. In many cases of 
interest, sources and land use may be reasonably homogeneous for long 
distances along a street, but very inhomogeneous normal to the street. 
This is the case with strip development and freeway corridors. Included 
in this category are measurements to characterize the CO concentrations 
along the urban features just enumerated. When a location is chosen to 
represent conditions in a block of street development, then the 
characteristic dimensions of this scale are tens of meters by hundreds 
of meters. If an attempt is made to characterize street-side conditions 
throughout the downtown area or along an extended stretch of freeway, 
the dimensions may be tens of meters by kilometer.
    The middle scale would also include the parking lots and feeder 
streets associated with indirect sources which attract significant 
numbers of pollutant emitters, particularly autos. Shopping centers, 
stadia, and office buildings are examples of indirect sources.
    Neighborhood Scale--Measurements in this category would represent 
conditions throughout some reasonably homogeneous urban subregions, with 
dimensions of a few kilometers and generally more regularly shaped than 
the middle scale. Homogeneity refers to CO concentration, but it 
probably also applies to land use. In some cases, a location carefully 
chosen to provide neighborhood scale data, might represent not only the 
immediate neighborhood, but also neighborhoods of the same type in other 
parts of the city. These kinds of stations would provide information 
relating to health effects because they would represent conditions in 
areas where people live and work. Neighborhood scale data would provide 
valuable information for developing, testing, and revising concepts and 
models that describe the larger scale concentration patterns, especially 
those models relying on spatially smoothed emission fields for inputs. 
These types of measurements could also be used for interneighborhood 
comparisons within or between cities.
    After the spatial scale has been determined to meet the monitoring 
objectives for each location, the location selection procedures, as 
shown in reference 3 should be used to evaluate the adequacy of each 
existing CO station and must be used to relocate an existing station or 
to locate any new SLAMS stations. The background material necessary for 
these procedures may include the average daily traffic on all streets in 
the area, wind roses for different hours of the day, and maps showing 
one-way streets, street widths, and building heights. If the station is 
to typify the area with the highest concentrations, the streets with the 
greatest daily traffic should be identified. If some streets are one-
way, those streets that have the greatest traffic during the afternoon 
and evening hours should be selected as tentative locations, because the 
periods of high traffic volume are usually of greatest duration through 
the evening hours. However, the strength of the morning inversion has to 
be considered along with the traffic volume and pattern when seeking 
areas with the highest concentrations. Traffic counters near the 
stations will provide valuable data for interpreting the observed CO 
Concentrations.
    Monitors should not be placed in the vicinity of possible anomalous 
source areas. Examples of such areas include toll gates on turnpikes, 
metered freeway ramps, and drawbridge approaches. Additional information 
on network design may be found in reference 3.

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    2.5 Ozone (O3) Design Criteria for SLAMS. Ozone is not 
directly emitted into the atmosphere but results from complex 
photochemical reactions involving organic compounds, oxides of nitrogen, 
and solar radiation.
    The relationships between primary emissions (precursors) and 
secondary pollutants (O3) tend to produce large separations 
spatially and temporally between the major sources and the areas of high 
oxidant pollution. This suggests that the meteorological transport 
process and the relationships between sources and sinks need to be 
considered in the development of the network design criteria and 
placement of monitoring stations, especially in measuring peak 
concentration levels.
    The principal spatial scales for SLAMS purposes based on the 
monitoring objectives are neighborhood, urban, regional, and to a lesser 
extent, middle scale. Since ozone requires appreciable formation time, 
the mixing of reactants and products occurs over large volumes of air, 
and this reduces the importance of monitoring small scale spatial 
variability.
    Middle Scale--Measurement in this scale would represent conditions 
close to sources of NOX such as roads where it would be 
expected that suppression of O3 concentrations would occur. 
Trees also may have a strong scavenging effect on O3 and may 
tend to suppress O3 concentrations in their immediate 
vicinity. Measurements at these stations would represent conditions over 
relatively small portions of the urban area.
    Neighborhood Scale--Measurements in this category represent 
conditions throughout some reasonably homogeneous urban subregion, with 
dimensions of a few kilometers. Homogeneity refers to pollutant 
concentrations. Neighborhood scale data will provide valuable 
information for developing, testing, and revising concepts and models 
that describe urban/regional concentration patterns. They will be useful 
to the understanding and definition of processes that take periods of 
hours to occur and hence involve considerable mixing and transport. 
Under stagnation conditions, a station located in the neighborhood scale 
may also experience peak concentration levels within the urban areas.
    Urban Scale--Measurement in this scale will be used to estimate 
concentrations over large portions of an urban area with dimensions of 
several kilometers to 50 or more kilometers. Such measurements will be 
used for determining trends, and designing area-wide control strategies. 
The urban scale stations would also be used to measure high 
concentrations downwind of the area having the highest precursor 
emissions.
    Regional Scale--This scale of measurement will be used to typify 
concentrations over large portions of a metropolitan area and even 
larger areas with dimensions of as much as hundreds of kilometers. Such 
measurements will be useful for assessing the ozone that is transported 
into an urban area. Data from such stations may be useful in accounting 
for the ozone that cannot be reduced by control strategies in that urban 
area.
    The location selection procedure continues after the spatial scale 
is selected based on the monitoring objectives. The appropriate network 
design procedures as found in reference 4, should be used to evaluate 
the adequacy of each existing O3 monitor and must be used to 
relocate an existing station or to locate any new O3 SLAMS 
stations. The first step in the siting procedure would be to collect the 
necessary background material, which may consist of maps, emission 
inventories for nonmethane hydrocarbons and oxides of nitrogen 
(NOX), climatological data, and existing air quality data for 
ozone, nonmethane hydrocarbons, and NO2/NO.
    For locating a neighborhood scale station to measure typical city 
concentrations, a reasonably homogeneous geographical area near the 
center of the region should be selected which is also removed from the 
influence of major NOX sources. For an urban scale station to 
measure the high concentration areas, the emission inventories should be 
used to define the extent of the area of important nonmethane 
hydrocarbons and NOX emissions. The most frequent wind speed 
and direction for periods of important photochemical activity should be 
determined. Then the prospective monitoring area should be selected in a 
direction from the city that is most frequently downwind during periods 
of photochemical activity. The distance from the station to the upwind 
edge of the city should be about equal to the distance traveled by air 
moving for 5 to 7 hours at wind speeds prevailing during periods of 
photochemical activity. Prospective areas for locating O3 
monitors should always be outside the area of major NOX.
    In locating a neighborhood scale station which is to measure high 
concentrations, the same procedures used for the urban scale are 
followed except that the station should be located closer to the areas 
bordering on the center city or slightly further downwind in an area of 
high density population.
    For regional scale background monitoring stations, the most frequent 
wind associated with important photochemical activity should be 
determined. The prospective monitoring area should be upwind for the 
most frequent direction and outside the area of city influence.
    Since ozone levels decrease significantly in the colder parts of the 
year in many areas, ozone is required to be monitored at NAMS and SLAMS 
monitoring sites only during the ``ozone season'' as designated in the 
AIRS

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files on a State by State basis and described below:

                    Ozone Monitoring Season By State
------------------------------------------------------------------------
              State                   Begin month          End month
------------------------------------------------------------------------
Alabama.........................  March.............  October.
Alaska..........................  April.............  October.
Arizona.........................  January...........  December.
Arkansas........................  March.............  November.
California......................  January...........  December.
Colorado........................  March.............  September.
Connecticut.....................  April.............  September.
Delaware........................  April.............  October.
District of Columbia............  April.............  October.
Florida.........................  March.............  October.
Georgia.........................  March.............  October.
Hawaii..........................  January...........  December.
Idaho...........................  April.............  October.
Illinois........................  April.............  October.
Indiana.........................  April.............  September.
Iowa............................  April.............  October.
Kansas..........................  April.............  October.
Kentucky........................  March.............  October.
Louisiana AQCRs 019, 022........  March.............  October.
Louisiana AQCR 106..............  January...........  December.
Maine...........................  April.............  September.
Maryland........................  April.............  October.
Massachusetts...................  April.............  September.
Michigan........................  April.............  September.
Minnesota.......................  April.............  October.
Mississippi.....................  March.............  October.
Missouri........................  April.............  October.
Montana.........................  June..............  September.
Nebraska........................  April.............  October.
Nevada..........................  January...........  December.
New Hampshire...................  April.............  September.
New Jersey......................  April.............  October.
New Mexico......................  January...........  December.
New York........................  April.............  October.
North Carolina..................  April.............  October.
North Dakota....................  May...............  September.
Ohio............................  April.............  October.
Oklahoma........................  March.............  November.
Oregon..........................  May...............  September.
Pennsylvania....................  April.............  October.
Puerto Rico.....................  January...........  December.
Rhode Island....................  April.............  September.
South Carolina..................  April.............  October.
South Dakota....................  June..............  September.
Tennessee.......................  March.............  October.
Texas AQCR 4,5,7,10,11..........  January...........  December
Texas AQCR 1, 2, 3, 6, 8, 9, 12.  March.............  October
Utah............................  May...............  September.
Vermont.........................  April.............  September.
Virginia........................  April.............  October.
Washington......................  May...............  September.
West Virginia...................  April.............  October.
Wisconsin.......................  April 15..........  October 15.
Wyoming.........................  April.............  October.
American Samoa..................  January...........  December.
Guam............................  January...........  December.
Virgin Islands..................  January...........  December.
------------------------------------------------------------------------

Additional discussion on the procedures for siting ozone stations may be 
found in reference 4.
    2.6 Nitrogen Dioxide (NO2) Design Criteria for SLAMS. The 
typical spatial scales of representativeness associated with nitrogen 
dioxide monitoring based on monitoring objectives are middle, 
neighborhood, and urban. Since nitrogen dioxide is primarily formed in 
the atmosphere from the oxidation of NO, large volumes of air and mixing 
times usually reduce the importance of monitoring on small scale spatial 
variability especially for long averaging times. However, there may be 
some situations where NO2 measurements would be made on the 
middle scale for both long- and short-term averages.
    Middle Scale--Measurements on this scale would cover dimensions from 
about 100 meters to 0.5 kilometer. These measurements would characterize 
the public exposure to NO2 in populated areas. Also monitors 
that are located closer to roadways than the minimum distances specified 
in table 3 of appendix E of this part, would be represented by 
measurements on this scale.
    Neighborhood and Urban Scales--The same considerations as discussed 
in section 2.5 for O3 would also apply to NO2.
    After the spatial scale is selected based on the monitoring 
objectives, then the siting procedures as found in reference 4 should be 
used to evaluate the adequacy of each existing NO2 station 
and must be used to relocate an existing station or to locate any new 
NO2 SLAMS stations. The siting procedures begin with 
collecting the background material. This background information may 
include the characteristics of the area and its sources under study, 
climatological data to determine where concentration maxima are most 
likely to be found, and any existing monitoring data for NO2.
    For neighborhood or urban scales, the emphasis in site selection 
will be in finding those areas where long-term averages are expected to 
be the highest. Nevertheless, it should be expected that the maximum 
NO2 concentrations will occur in approximately the same 
locations as the maximum total oxides of nitrogen concentrations. The 
best course would be to locate the station somewhat further downwind 
beyond the expected point of maximum total oxides of nitrogen to allow 
more time for the formation of NO2. The dilution of the 
emissions further downwind from the source should be considered along 
with the need for reaction time for NO2 formation in locating 
stations to measure peak concentration. If dispersion is favorable, 
maximum concentrations may occur closer to the emission sources than the 
locations predicted from oxidation of NO to NO2 alone. This 
will occur downwind of sources based on winter wind direction or in 
areas where there are high ozone concentrations and high density 
NO2 emissions such as on the fringe of the central business 
district or further downwind. The distance and direction downwind would 
be based on ozone season wind patterns.

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    Once the major emissions areas and wind patterns are known, areas of 
potential maximum NO2 levels can be determined. Nitrogen 
dioxide concentrations are likely to decline rather rapidly outside the 
urban area. Therefore, the best location for measuring NO2 
concentrations will be in neighborhoods near the edge of the city.
    2.7 Lead (Pb) Design Criteria for SLAMS. Presently, less than 1 
percent of the Nation's Pb air pollution emissions originate from on-
road mobile source exhaust. The majority of Pb emissions come from point 
sources, such as metals processing facilities, waste disposal and 
recycling, and fuel combustion (reference 19 of this appendix). The 
SLAMS networks are used to assess the air quality impacts of Pb point 
sources, and to determine the broad population exposure from any Pb 
source. The most important spatial scales to effectively characterize 
the emissions from point sources are the micro, middle, and neighborhood 
scales. For purposes of establishing monitoring stations to represent 
large homogeneous areas other than the above scales of 
representativeness, urban or regional scale stations may also be needed.
    Microscale--This scale would typify areas in close proximity to lead 
point sources. Emissions from point sources such as primary and 
secondary lead smelters, and primary copper smelters may under 
fumigation conditions likewise result in high ground level 
concentrations at the microscale. In the latter case, the microscale 
would represent an area impacted by the plume with dimensions extending 
up to approximately 100 meters. Data collected at microscale stations 
provide information for evaluating and developing ``hot-spot'' control 
measures.
    Middle Scale--This scale generally represents Pb air quality levels 
in areas up to several city blocks in size with dimensions on the order 
of approximately 100 meters to 500 meters. The middle scale may for 
example, include schools and playgrounds in center city areas which are 
close to major Pb point sources. Pb monitors in such areas are desirable 
because of the higher sensitivity of children to exposures of elevated 
Pb concentrations (reference 7 of this appendix). Emissions from point 
sources frequently impact on areas at which single sites may be located 
to measure concentrations representing middle spatial scales.
    Neighborhood Scale--The neighborhood scale would characterize air 
quality conditions throughout some relatively uniform land use areas 
with dimensions in the 0.5 to 4.0 kilometer range. Stations of this 
scale would provide monitoring data in areas representing conditions 
where children live and play. Monitoring in such areas is important 
since this segment of the population is more susceptible to the effects 
of Pb. Where a neighborhood site is located away from immediate Pb 
sources, the site may be very useful in representing typical air quality 
values for a larger residential area, and therefore suitable for 
population exposure and trends analyses.
    Urban Scale--Such stations would be used to present ambient Pb 
concentrations over an entire metropolitan area with dimensions in the 4 
to 50 kilometer range. An urban scale station would be useful for 
assessing trends in citywide air quality and the effectiveness of larger 
scale air pollution control strategies.
    Regional Scale--Measurements from these stations would characterize 
air quality levels over areas having dimensions of 50 to hundreds of 
kilometers. This large scale of representativeness, rarely used in Pb 
monitoring, would be most applicable to sparsely populated areas and 
could provide information on background air quality and inter-regional 
pollutant transport.
    Monitoring for ambient Pb levels is required for all major urbanized 
areas where Pb levels have been shown or are expected to be of concern 
due to the proximity of Pb point source emissions. Sources emitting five 
tons per year or more of actual point and fugitive Pb emissions would 
generally be candidates for lead ambient air monitoring. Modeling may be 
needed to determine if a source has the potential to exceed the 
quarterly lead National Ambient Air Quality Standards (NAAQS). The total 
number and type of stations for SLAMS are not prescribed but must be 
determined on a case-by-case basis. As a minimum, there must be two 
stations in any area where Pb concentrations currently exceed or have 
exceeded the Pb NAAQS during any one quarter of the most recent eight 
quarters. Where the Pb air quality violations are widespread or the 
emissions density, topography, or population locations are complex and 
varied, there may be a need to establish more than two Pb ambient air 
monitoring stations. The EPA Regional Administrator may specify more 
than two monitoring stations if it is found that two stations are 
insufficient to adequately determine if the Pb standard is being 
attained and maintained. The Regional Administrator may also specify 
that stations be located in areas outside the boundaries of the 
urbanized areas.
    Concerning the previously discussed required minimum of two 
stations, at least one of the stations must be a category (a) type 
station and the second may be either category (a) or (b) depending upon 
the extent of the point source's impact and the existence of residential 
neighborhoods surrounding the source. When the source is located in an 
area that is subject to NAMS requirements as in Section 3 of this 
Appendix, it is preferred that the NAMS site be used to describe the 
population's exposure and the second SLAMS site be used as a category 
(a) site.

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Both of these categories of stations are defined in section 3.
    To locate monitoring stations, it will be necessary to obtain 
background information such as point source emissions inventories, 
climatological summaries, and local geographical characteristics. Such 
information should be used to identify areas that are most suitable to 
the particular monitoring objective and spatial scale of 
representativeness desired. References 9 & 10 of this appendix provide 
additional guidance on locating sites to meet specific urban area 
monitoring objectives and should be used in locating new stations or 
evaluating the adequacy of existing stations.
    After locating each Pb station and, to the extent practicable, 
taking into consideration the collective impact of all Pb sources and 
surrounding physical characteristics of the siting area, a spatial scale 
of representativeness must be assigned to each station.
    2.8 Particulate Matter Design Criteria for SLAMS.
    As with other pollutants measured in the SLAMS network, the first 
step in designing the particulate matter network is to collect the 
necessary background information. Various studies in references 11, 12, 
13, 14, 15, and 16 of section 6 of this appendix have documented the 
major source categories of particulate matter and their contribution to 
ambient levels in various locations throughout the country.
    2.8.0.1 Sources of background information would be regional and 
traffic maps, and aerial photographs showing topography, settlements, 
major industries and highways. These maps and photographs would be used 
to identify areas of the type that are of concern to the particular 
monitoring objective. After potentially suitable monitoring areas for 
particulate matter have been identified on a map, modeling may be used 
to provide an estimate of particulate matter concentrations throughout 
the area of interest. After completing the first step, existing 
particulate matter stations should be evaluated to determine their 
potential as candidates for SLAMS designation. Stations meeting one or 
more of the six basic monitoring objectives described in section 1 of 
this appendix must be classified into one of the five scales of 
representativeness (micro, middle, neighborhood, urban and regional) if 
the stations are to become SLAMS. In siting and classifying particulate 
matter stations, the procedures in references 17 and 18 of section 6 of 
this appendix should be used.
    2.8.0.2 The most important spatial scales to effectively 
characterize the emissions of particulate matter from both mobile and 
stationary sources are the middle scales for PM10 and 
neighborhood scales for both PM10 and PM2.5. For 
purposes of establishing monitoring stations to represent large 
homogenous areas other than the above scales of representativeness and 
to characterize regional transport, urban or regional scale stations 
would also be needed. Most PM2.5 monitoring in urban areas 
should be representative of a neighborhood scale.
    2.8.0.3 Microscale--This scale would typify areas such as downtown 
street canyons and traffic corridors where the general public would be 
exposed to maximum concentrations from mobile sources. In some 
circumstances, the microscale is appropriate for particulate stations; 
core SLAMS on the microscale should, however, be limited to urban sites 
that are representative of long-term human exposure and of many such 
microenvironments in the area. In general, microscale particulate matter 
sites should be located near inhabited buildings or locations where the 
general public can be expected to be exposed to the concentration 
measured. Emissions from stationary sources such as primary and 
secondary smelters, power plants, and other large industrial processes 
may, under certain plume conditions, likewise result in high ground 
level concentrations at the microscale. In the latter case, the 
microscale would represent an area impacted by the plume with dimensions 
extending up to approximately 100 meters. Data collected at microscale 
stations provide information for evaluating and developing hot spot 
control measures. Unless these sites are indicative of population-
oriented monitoring, they may be more appropriately classified as SPMs.
    2.8.0.4 Middle Scale--Much of the measurement of short-term public 
exposure to coarse fraction particles (PM10) is on this scale 
and on the neighborhood scale; for fine particulate, much of the 
measurement is on the neighborhood scale. People moving through downtown 
areas, or living near major roadways, encounter particles that would be 
adequately characterized by measurements of this spatial scale. Thus, 
measurements of this type would be appropriate for the evaluation of 
possible short-term exposure public health effects of particulate matter 
pollution. In many situations, monitoring sites that are representative 
of micro-scale or middle-scale impacts are not unique and are 
representative of many similar situations. This can occur along traffic 
corridors or other locations in a residential district. In this case, 
one location is representative of a neighborhood of small scale sites 
and is appropriate for evaluation of long-term or chronic effects. This 
scale also includes the characteristic concentrations for other areas 
with dimensions of a few hundred meters such as the parking lot and 
feeder streets associated with shopping centers, stadia, and office 
buildings. In the case of PM10, unpaved or seldom swept 
parking lots associated with these sources could be an important source 
in addition to the vehicular emissions themselves.

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    2.8.0.5 Neighborhood Scale--Measurements in this category would 
represent conditions throughout some reasonably homogeneous urban 
subregion with dimensions of a few kilometers and of generally more 
regular shape than the middle scale. Homogeneity refers to the 
particulate matter concentrations, as well as the land use and land 
surface characteristics. Much of the PM2.5 exposures are 
expected to be associated with this scale of measurement. In some cases, 
a location carefully chosen to provide neighborhood scale data would 
represent not only the immediate neighborhood but also neighborhoods of 
the same type in other parts of the city. Stations of this kind provide 
good information about trends and compliance with standards because they 
often represent conditions in areas where people commonly live and work 
for periods comparable to those specified in the NAAQS. In general, most 
PM2.5 monitoring in urban areas should have this scale. A 
PM2.5 monitoring location is assumed to be representative of 
a neighborhood scale unless the monitor is adjacent to a recognized 
PM2.5 emissions source or is otherwise demonstrated to be 
representative of a smaller spatial scale by an intensive monitoring 
study. This category also may include industrial and commercial 
neighborhoods especially in districts of diverse land use where 
residences are interspersed.
    2.8.0.6 Neighborhood scale data could provide valuable information 
for developing, testing, and revising models that describe the larger-
scale concentration patterns, especially those models relying on 
spatially smoothed emission fields for inputs. The neighborhood scale 
measurements could also be used for neighborhood comparisons within or 
between cities. This is the most likely scale of measurements to meet 
the needs of planners.
    2.8.0.7 Urban Scale--This class of measurement would be made to 
characterize the particulate matter concentration over an entire 
metropolitan or rural area ranging in size from 4 to 50 km. Such 
measurements would be useful for assessing trends in area-wide air 
quality, and hence, the effectiveness of large scale air pollution 
control strategies. Core PM2.5 SLAMS may have this scale.
    2.8.0.8 Regional Scale--These measurements would characterize 
conditions over areas with dimensions of as much as hundreds of 
kilometers. As noted earlier, using representative conditions for an 
area implies some degree of homogeneity in that area. For this reason, 
regional scale measurements would be most applicable to sparsely 
populated areas with reasonably uniform ground cover. Data 
characteristics of this scale would provide information about larger 
scale processes of particulate matter emissions, losses and transport. 
Especially in the case of PM2.5, transport contributes to 
particulate concentrations and may affect multiple urban and State 
entities with large populations such as in the Eastern United States. 
Development of effective pollution control strategies requires an 
understanding at regional geographical scales of the emission sources 
and atmospheric processes that are responsible for elevated 
PM2.5 levels and may also be associated with elevated ozone 
and regional haze.
    2.8.1 Specific Design Criteria for PM2.5.
    2.8.1.1 Monitoring Planning Areas.
    Monitoring planning areas (MPAs) shall be used to conform to the 
community-oriented monitoring approach used for the PM2.5 
NAAQS given in part 50 of this chapter. MPAs are required to correspond 
to all metropolitan statistical areas (MSAs) with population greater 
than 200,000, and all other areas determined to be in violation of the 
PM2.5 NAAQS.1 MPAs for other designated parts of 
the State are optional. All MPAs shall be defined on the basis of 
existing, delineated mapping data such as State boundaries, county 
boundaries, zip codes, census blocks, or census block groups.
---------------------------------------------------------------------------

    \1\The boundaries of MPAs do not have to necessarily correspond to 
those of MSAs and existing intra or interstate air pollution planning 
districts may be utilized.
---------------------------------------------------------------------------

    2.8.1.2 PM2.5 Monitoring Sites within the State's PM 
Monitoring Network Description.
    2.8.1.2.1 The minimum required number, type of monitoring sites, and 
sampling requirements for PM2.5 are based on monitoring 
planning areas described in the PM monitoring network description and 
proposed by the State in accordance with Sec. 58.20.
    2.8.1.2.2 Comparisons to the PM2.5 NAAQS may be based on 
data from SPMs in addition to SLAMS (including NAMS, core SLAMS and 
collocated PM2.5 sites at PAMS), that meet the requirements 
of Sec. 58.13 and Appendices A, C and E of this part, that are included 
in the PM monitoring network description. For comparison to the annual 
NAAQS, the monitors should be neighborhood scale community-oriented 
locations. Special purpose monitors that meet part 58 requirements will 
be exempt from NAAQS comparisons with the PM2.5 NAAQS for the 
first 2 calendar years of their operation to encourage PM2.5 
monitoring initially. After this time, however, any SPM that records a 
violation of the PM2.5 NAAQS must be seriously considered as 
a potential SLAMS site during the annual SLAMS network review in 
accordance with Sec. 58.25. If such SPMs are not established as a 
SLAMS, the agency must document in its annual report the technical basis 
for excluding it as a SLAMS.
    2.8.1.2.3 The health-effects data base that served as the basis for 
selecting the new PM2.5 standards relied on a spatial average 
approach that reflects average community-oriented area-wide PM exposure 
levels.

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Under this approach, the most effective way to reduce total population 
risk is by lowering the annual distributions of ambient 24-hour 
PM2.5 concentrations, as opposed to controlling peak 24-hour 
concentrations on individual days. The annual standard selected by EPA 
will generally be the controlling standard for lowering both short- and 
long-term PM2.5 concentrations on an area-wide basis and will 
achieve this result. In order to be consistent with this rationale, 
therefore, PM2.5 data collected from SLAMS and special 
purpose monitors that are representative, not of area-wide but rather, 
of relatively unique population-oriented microscale, or localized hot 
spot, or unique population-oriented middle-scale impact sites are only 
eligible for comparison only to the 24-hour PM2.5 NAAQS. 
However, in instances where certain population-oriented micro- or 
middle-scale PM2.5 monitoring sites are determined by the EPA 
Regional Administrator to collectively identify a larger region of 
localized high ambient PM2.5 concentrations, data from these 
population-oriented sites would be eligible for comparison to the annual 
NAAQS.
    2.8.1.2.4 Within each MPA, the responsible air pollution control 
agency shall install core SLAMS, other required SLAMS and as many 
PM2.5 stations judged necessary to satisfy the SLAMS 
requirements and monitoring objectives of this appendix.
    2.8.1.3 Core Monitoring Stations for PM2.5.
    Core monitoring stations or sites are a subset of the SLAMS network 
for PM2.5 that are sited to represent community-wide air 
quality. These core sites include sites to be collocated at PAMS.
    2.8.1.3.1 Within each monitoring planning area, the responsible air 
pollution control agency shall install the following core 
PM2.5 SLAMS:
    (a) At least two core PM2.5 SLAMS per MSA with population 
greater than 500,000 sampling everyday, unless exempted by the Regional 
Administrator, including at least one station in a population-oriented 
area of expected maximum concentration and at least one station in an 
area of poor air quality and at least one additional core monitor 
collocated at a PAMS site in each PAMS area2.
---------------------------------------------------------------------------

    \2\The core monitor to be collocated at a PAMS site shall not be 
considered a part of the PAMS as described in section 4 of this 
appendix, but shall instead be considered to be a component of the 
particular MPA PM2.5 network.
---------------------------------------------------------------------------

    (b) At least one core PM2.5 SLAMS per MSA with population 
greater than 200,000 and less than or equal to 500,000 sampling every 
third day.
    (c) Additional core PM2.5 SLAMS per MSA with population 
greater than 1 million, sampling every third day, as specified in the 
following table:

   Table 1--Required Number of Core SLAMS According to MSA Population
------------------------------------------------------------------------
                                      Minimum Required No. of Core Sites
           MSA Population                            \1\
------------------------------------------------------------------------
1 M                       3
------------------------------------------------------------------------
2 M                       4
------------------------------------------------------------------------
4 M                       6
------------------------------------------------------------------------
6 M                       8
------------------------------------------------------------------------
8 M                       10
------------------------------------------------------------------------
\1\Core SLAMS at PAMS are in addition to these numbers.

    2.8.1.3.2 The site situated in the area of expected maximum 
concentration is analogous to NAMS ``category a.'' \3\ This will 
henceforth be termed a category a core SLAMS site. The site located in 
the area of poor air quality with high population density or 
representative of maximum population impact is analogous to NAMS, 
``category b.'' This second site will be called a category b core SLAMS 
site.
---------------------------------------------------------------------------

    \3\The measured maximum concentrations at core population-oriented 
sites should be consistent with the averaging time of the NAAQS. 
Therefore, sites only with high concentrations for shorter averaging 
times (say 1-hour) should not be category ``a'' core SLAMS monitors.
---------------------------------------------------------------------------

    2.8.1.3.3 Those MPAs that are substantially impacted by several 
different and geographically disjoint local sources of fine particulate 
should have separate core sites to monitor each influencing source 
region.
    2.8.1.3.4 Within each monitoring planning area, one or more required 
core SLAMS may be exempted by the Regional Administrator. This may be 
appropriate in areas where the highest concentration is expected to 
occur at the same location as the area of maximum or sensitive 
population impact, or areas with low concentrations (e.g., highest 
concentrations are less than 80 percent of the NAAQS). When only one 
core monitor for PM2.5 is included in a MPA or optional CMZ, 
however, a ``category a'' core site is strongly preferred to determine 
community-oriented PM2.5 concentrations in areas of high 
average PM2.5 concentration.
    2.8.1.3.5 More than the minimum number of core SLAMS should be 
deployed as necessary in all MPAs. Except for the core SLAMS described 
in section 2.8.1.3.1 of this appendix, the additional core SLAMS must 
only comply with the minimum sampling frequency for SLAMS specified in 
Sec. 58.13(e).
    2.8.1.3.6 A subset of the core PM2.5 SLAMS shall be 
designated NAMS as discussed in section 3.7 of this appendix. The 
selection of

[[Page 256]]

core monitoring sites in relation to MPAs and CMZs is discussed further 
in section 2.8.3 of this appendix.
    2.8.1.3.7 Core monitoring sites shall represent neighborhood or 
larger spatial scales. A monitor that is established in the ambient air 
that is in or near a populated area, and meets appropriate 40 CFR part 
58 criteria (i.e., meets the requirements of Sec. 58.13 and Sec. 
58.14, Appendices A, C, and E of this part) can be presumed to be 
representative of at least a neighborhood scale, is eligible to be 
called a core site and shall produce data that are eligible for 
comparison to both the 24-hour and annual PM2.5 NAAQS. If the 
site is adjacent to a dominating local source or can be shown to have 
average 24-hour concentrations representative of a smaller spatial 
scale, then the site would only be compared to the 24-hour 
PM2.5 NAAQS.
    2.8.1.3.8 Continuous fine particulate monitoring at core SLAMS. At 
least one continuous fine particulate analyzer (e.g., beta attenuation 
analyzer; tapered-element, oscillating microbalance (TEOM); 
transmissometer; nephelometer; or other acceptable continuous fine 
particulate monitor) shall be located at a core monitoring 
PM2.5 site in each metropolitan area with a population 
greater than 1 million. These analyzers shall be used to provide 
improved temporal resolution to better understand the processes and 
causes of elevated PM2.5 concentrations and to facilitate 
public reporting of PM2.5 air quality and will be in 
accordance with appropriate methodologies and QA/QC procedures approved 
by the Regional Administrator.
    2.8.1.4 Other PM2.5 SLAMS Locations.
    In addition to the required core sites described in section 2.8.1.3 
of this appendix, the State shall also install and operate on an every 
third day sampling schedule at least one SLAMS to monitor for regional 
background and at least one SLAMS to monitor regional transport. These 
monitoring stations may be at a community-oriented site and their 
requirement may be satisfied by a corresponding SLAMS monitor in an area 
having similar air quality in another State. The State shall also be 
required to establish additional SLAMS sites based on the total 
population outside the MSA(s) associated with monitoring planning areas 
that contain required core SLAMS. There shall be one such additional 
SLAMS for each 200,000 people. The minimum number of SLAMS may be 
deployed anywhere in the State to satisfy the SLAMS monitoring 
objectives including monitoring of small scale impacts which may not be 
community-oriented or for regional transport as described in section 1 
of this appendix. Other SLAMS may also be established and are encouraged 
in a State PM2.5 network.
    2.8.1.5 Additional PM2.5 Analysis Requirements.
    (a) Within 1 year after September 16, 1997, chemical speciation will 
be required at approximately 25 PM2.5 core sites collocated 
at PAMS sites (1 type 2 site per PAMS area) and at approximately 25 
other core sites for a total of approximately 50 sites. The selection of 
these sites will be performed by the Administrator in consultation with 
the Regional Administrator and the States. Chemical speciation is 
encouraged at additional sites. At a minimum, chemical speciation to be 
conducted will include analysis for elements, selected anions and 
cations, and carbon. Samples for required speciation will be collected 
using appropriate monitoring methods and sampling schedule in accordance 
with procedures approved by the Administrator.
    (b) Air pollution control agencies shall archive PM2.5 
filters from all other SLAMS sites for a minimum of one year after 
collection. These filters shall be made available for supplemental 
analyses at the request of EPA or to provide information to State and 
local agencies on the composition for PM2.5. The filters 
shall be archived in accordance with procedures approved by the 
Administrator.
    2.8.1.6 Community Monitoring Zones.
    2.8.1.6.1 The CMZs describe areas within which two or more core 
monitors may be averaged for comparison with the annual PM2.5 
NAAQS. This averaging approach as specified in 40 CFR part 50, appendix 
N, is directly related to epidemiological studies used as the basis for 
the PM2.5 NAAQS. A CMZ should characterize an area of 
relatively similar annual average air quality (i.e., the average 
concentrations at individual sites shall not exceed the spatial average 
by more than 20 percent) and exhibit similar day to day variability 
(e.g., the monitoring sites should not have low correlations, say less 
than 0.6). Moreover, the entire CMZ should principally be affected by 
the same major emission sources of PM2.5 .
    2.8.1.6.2 Each monitoring planning area may have at least one CMZ, 
that may or may not cover the entire MPA. In metropolitan statistical 
areas (MSAs) for which MPAs are required, the CMZs may completely cover 
the entire MSA. When more than one CMZ is described within an MPA, CMZs 
shall not overlap in their geographical coverage. All areas in the 
ambient air may become a CMZ.
    2.8.1.6.3. As PM2.5 networks are first established, core 
sites would be used individually for making comparisons to the annual 
PM2.5 NAAQS. As these networks evolve, individual monitors 
may not be adequate by themselves to characterize the annual average 
community wide air quality. This is especially true for areas with sharp 
gradients in annual average air quality. Therefore, CMZs with multiple 
core SLAMS or other eligible sites as described in accordance with

[[Page 257]]

section 2.8.1.2 to this appendix, may be established for the purposes of 
providing improved estimates of community wide air quality and for 
making comparisons to the annual NAAQS. This CMZ approach is subject to 
the constraints of section 2.8.1.6.1 to this appendix.
    2.8.1.6.4 The spatial representativeness of individual monitoring 
sites should be considered in the design of the network and in 
establishing the boundaries of CMZs. Communities within the MPA with the 
highest PM2.5 concentrations must have a high priority for 
PM2.5 monitoring. Until a sufficient number of monitoring 
stations or CMZs are established, however, the monitored air quality in 
all parts of the MPA may not be precisely known. It would be desirable, 
however, to design the placement of monitors so that those portions of 
the MPAs without monitors could be characterized as having average 
concentrations less than the monitored portions of the network.
    2.8.1.7 Selection of Monitoring Locations Within MPAs or CMZs.
    2.8.1.7.1 Figure 1 of this appendix illustrates a hypothetical 
monitoring planning area and shows the location of monitors in relation 
to population and areas of poor air quality. Figure 2 of this appendix 
shows the same hypothetical MPA as Figure 1 of this appendix and 
illustrates potential community monitoring zones and the location of 
core monitoring sites within them.
    2.8.1.7.2 In Figure 1 of this appendix, a hypothetical monitoring 
planning area is shown representing a typical Eastern US urban areas. 
The ellipses represent zones with relatively high population and poor 
air quality, respectively. Concentration isopleths are also depicted. 
The highest population density is indicated by the urban icons, while 
the area of worst air quality is presumed to be near the industrial 
symbols. The monitoring area should have at least one core monitor to 
represent community wide air quality in each sub-area affected by 
different emission sources. Each monitoring planning area with 
population greater than 500,000 is required to have at least two core 
population-oriented monitors that will sample everyday (with PAMS areas 
requiring three) and may have as many other core SLAMS, other SLAMS, and 
SPMs as necessary. All SLAMS should generally be population-oriented, 
while the SPMs can focus more on other monitoring objectives, e.g., 
identifying source impacts and the area boundaries with maximum 
concentration. Ca denotes ``category a'' core SLAMS site 
(community-oriented site in area of expected maximum concentration); it 
is shown within the populated area and closest to the area with highest 
concentration. Cb denotes a ``category b'' core SLAMS site 
(area of poor air quality with high population density or representative 
of maximum population impact); it is shown in the area of poor air 
quality, closest to highest population density. All other core SLAMS in 
this MPA are denoted by ``C.'' S denotes other SLAMS sites (monitoring 
for any objective: Max concentration, population exposure, source-
oriented, background, or regional transport or in support of secondary 
NAAQS). P denotes a Special Purpose Monitor (a specialized monitor that, 
for example, may use a non-reference sampler). Finally, note that all 
SPMs would be subject to the 2-year moratorium against data comparison 
to the NAAQS for the first 2 complete calendar years of its operation.
    2.8.1.7.3 A Monitoring Planning Area may have one or more community 
monitoring zones (CMZ) for aggregation of data from eligible SLAMS and 
SPM sites for comparison to the annual NAAQS. The planning area has 
large gradients of average air quality and, as shown in Figure 2 may be 
assigned three CMZs: An industrial zone, a downtown central business 
district (CBD), and a residential area. (If there is not a large 
difference between downtown concentrations and other residential areas, 
a separate CBD zone would not be appropriate).

[[Page 258]]

[GRAPHIC] [TIFF OMITTED] TR17FE98.008


[[Page 259]]


[GRAPHIC] [TIFF OMITTED] TR17FE98.009

    2.8.1.7.4 Figure 3 of this appendix illustrates how CMZs and 
PM2.5 monitors might be located in a hypothetical MPA typical 
of a Western State. Western States with more localized sources of PM and 
larger geographic area could require a different mix of SLAMS and SPM 
monitors and may need

[[Page 260]]

more total monitors. As the networks are deployed, the available 
monitors may not be sufficient to completely represent all geographic 
portions of the Monitoring Planning Area. Due to the distribution of 
pollution and population and because of the number and spatial 
representativeness of monitors, the MPAs and CMZs may not cover the 
entire State.
[GRAPHIC] [TIFF OMITTED] TR18JY97.176

    2.8.1.7.5 Figure 4 of this appendix shows how the MPAs, CMZs, and 
PM2.5 monitors might be distributed within a hypothetical 
State. Areas of the State included within MPAs are shown within heavy 
solid lines. Two MPAs are illustrated. Areas in the State outside the 
MPAs will also include monitors, but this monitoring coverage may be 
limited. This portion of the State may also be represented by CMZs 
(shown by areas enclosed within dotted lines). The monitors that are 
intended for comparison to the NAAQS are indicated by X. Furthermore, 
eligible monitors within a CMZ could be averaged for comparison to the 
annual NAAQS or examined individually for comparison to both NAAQS. Both 
within the MPAs and in the remainder of the State, some special study 
monitors might not satisfy applicable 40 CFR part 58 requirements and 
will not be eligible for comparison to the NAAQS.

[[Page 261]]

[GRAPHIC] [TIFF OMITTED] TR18JY97.177

    2.8.2 Substitute PM Monitoring Sites.
    2.8.2.1 Section 2.2 of appendix C of this part describes conditions 
under which TSP samplers can be used as substitutes for PM10. 
This provision is intended to be used when PM10 
concentrations are expected to be very low and substitute TSP samplers 
can be used to satisfy the minimum number of PM10 samplers 
needed for an adequate PM10 network.
    2.8.2.2 If data produced by substitute PM samplers exceed the 
concentration levels described in appendix C of this part, then the need 
for this sampler to be converted to a PM10 or 
PM2.5 sampler, shall be considered in the PM monitoring 
network review. If the State does not believe that a PM10 or 
PM2.5 sampler should be sited, the State shall submit 
documentation to EPA as part of its annual PM report to justify this 
decision. If a PM site is not designated as a substitute site in the PM 
monitoring network description, then high concentrations at this site 
would not necessarily cause this site to become a PM2.5 or 
PM10 site, whichever is indicated.
    2.8.2.3 Consistent with Sec. 58.1, combinations of SLAMS 
PM10 or PM2.5 monitors and other monitors may 
occupy the same structure without any mutual effect on the regulatory 
definition of the monitors.

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

    The NAMS must be stations selected from the SLAMS network with 
emphasis given to urban and multisource areas. Areas to be monitored 
must be selected based on urbanized population and pollutant 
concentration levels. Generally, a larger number of NAMS are needed in 
more polluted urban and multisource areas. The network design criteria 
discussed below reflect these concepts. However, it should be emphasized 
that deviations from the NAMS network design criteria may be necessary 
in a few cases. Thus, these design criteria are not a set of rigid rules 
but rather a guide for achieving a proper distribution of monitoring 
sites on a national scale.
    The primary objective for NAMS is to monitor in the areas where the 
pollutant concentration and the population exposure are expected to be 
the highest consistent with the averaging time of the NAAQS. 
Accordingly, the NAMS fall into two categories:
    Category (a): Stations located in area(s) of expected maximum 
concentrations, generally microscale for CO, microscale or middle scale 
for Pb, middle scale or neighborhood scale for population-oriented 
particulate matter, urban or regional scale for Regional transport 
PM2.5, neighborhood scale for SO2, and NO2, and urban scale 
for O3.

[[Page 262]]

    Category (b): Stations which combine poor air quality with a high 
population density but not necessarily located in an area of expected 
maximum concentrations (neighborhood scale, except urban scale for 
NO2). Category (b) monitors would generally be representative 
of larger spatial scales than category (a) monitors.
    For each urban area where NAMS are required, both categories of 
monitoring stations must be established. In the case of Pb and 
SO2 if only one NAMS is needed, then category (a) must be 
used. The analysis and interpretation of data from NAMS should consider 
the distinction between these types of stations as appropriate.
    For each MSA where NAMS are required, both categories of monitoring 
stations must be established. In the case of SO2 if only one 
NAMS is needed, then category (a) must be used. The analysis and 
interpretation of data from NAMS should consider the distinction between 
these types of stations as appropriate.
    The concept of NAMS is designed to provide data for national policy 
analyses/trends and for reporting to the public on major metropolitan 
areas. It is not the intent to monitor in every area where the NAAQS are 
violated. On the other hand, the data from SLAMS should be used 
primarily for nonattainment decisions/ analyses in specific geographical 
areas. Since the NAMS are stations from the SLAMS network, station 
locating procedures for NAMS are part of the SLAMS network design 
process.
    3.1 [Reserved]
    3.2 Sulfur Dioxide (SO2) Design Criteria for NAMS. It is 
desirable to have a greater number of NAMS in the more polluted and 
densely populated urban and multisource areas. The data in table 3 show 
the approximate number of permanent stations needed in urban areas to 
characterize the national and regional SO2 air quality trends 
and geographical patterns. These criteria require that the number of 
NAMS in areas where urban populations exceed 1,000,000 and 
concentrations also exceed the primary NAAQS may range from 6 to 10 and 
that in areas where the SO2 problem is minor, only one or two 
(or no) monitors are required. For those cases where more than one 
station is required for an urban area, there should be at least one 
station for category (a) and category (b) objectives as discussed in 
section 3. Where three or more stations are required, the mix of 
category (a) and (b) stations is determined on a case-by-case basis. The 
actual number and location of the NAMS must be determined by EPA 
Regional Offices and the State Agency, subject to the approval of EPA 
Headquarters, Office of Air Quality Planning and Standards (OAQPS).

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

    The estimated number of SO2 NAMS which would be required 
nationwide ranges from approximately 200 to 300. This number of NAMS 
SO2 monitors is sufficient for national trend purposes due to 
the low background SO2 levels, and the fact that air quality 
is very sensitive to SO2 emission changes. The actual number 
of stations in any specific area depends on local factors such as 
meteorology, topography, urban and regional air quality gradients, and 
the potential for significant air quality improvements or degradation. 
The greatest density of stations should be where urban populations are 
large and where pollution levels are high. Fewer NAMS are necessary in 
the western States since concentrations are seldom above the NAAQS in 
their urban areas. Exceptions to this are in the areas where an expected 
shortage of clean fuels indicates that ambient air quality may be 
degraded by increased SO2 emissions. In such cases, a minimum 
number of NAMS is required to provide EPA with a proper national 
perspective on significant changes in air quality.
    Like TSP, the worst air quality in an urban area is to be used as 
the basis for determining the required number of SO2 NAMS 
(see table 3). This includes SO2 air quality levels within 
populated parts of urbanized areas, that are affected by one or two 
point sources of SO2 if the impact of the source(s) extends 
over a reasonably broad geographic scale (neighborhood or larger). 
Maximum SO2 air quality levels in remote unpopulated areas 
should be excluded as a basis for selecting NAMS regardless of the 
sources affecting the concentration levels. Such remote areas are more 
appropriately monitored by SLAMS or SPM networks and/or characterized by 
diffusion model calculations as necessary.
    3.3 Carbon Monoxide (CO) Design Criteria for NAMS. Information is 
needed on ambient CO levels in major urbanized areas where CO levels 
have been shown or inferred to be a

[[Page 263]]

significant concern. At the national level, EPA will not routinely 
require data from as many stations as are required for PM-10, and 
perhaps SO2, since CO trend stations are principally needed 
to assess the overall air quality progress resulting from the emission 
controls required by the Federal motor vehicle control program (FMVCP) 
and other local controls.
    Although State and local air programs may require extensive 
monitoring to document and measure the local impacts of CO emissions and 
emission controls, an adequate national perspective is possible with as 
few as two stations per major urban area. The two categories for which 
CO NAMS would be required are: (a) Peak concentration areas such as are 
found around major traffic arteries and near heavily traveled streets in 
downtown areas (micro scale); and (b) neighborhoods where concentration 
exposures are significant (middle scale, neighborhood scale).
    The peak concentration station (micro scale) is usually found near 
heavily traveled downtown streets (street canyons), but could be found 
along major arterials (corridors), either near intersections or at low 
elevations which are influenced by downslope drainage patterns under low 
inversion conditions. The peak concentration station should be located 
so that it is representative of several similar source configurations in 
the urban area, where the general population has access. Thus, it should 
reflect one of many potential peak situations which occur throughout the 
urban area. It is recognized that this does not measure air quality 
which represents large geographical areas. Thus, a second type of 
station on the neighborhood scale is necessary to provide data 
representative of the high concentration levels which exist over large 
geographical areas.
    The category (b) (middle scale or neighborhood scale) should be 
located in areas with a stable, high population density, projected 
continuity of neighborhood character, and high traffic density. The 
stations should be located where no major zoning changes, new highways, 
or new shopping centers are being considered. The station should be 
where a significant CO pollution problem exists, but not be unduly 
influenced by any one line source. Rather, it should be more 
representative of the overall effect of the sources in a significant 
portion of the urban area.
    Because CO is generally associated with heavy traffic and population 
clusters, an urbanized area with a population greater than 500,000 is 
the principal critertion for identifying the urban areas for which pairs 
of NAMS for this pollutant will be required. The criterion is based on 
judgment that stations in urban areas with greater than 500,000 
population would provide sufficient data for national analysis and 
national reporting to Congress and the public. Also, it has generally 
been shown that major CO problems are found in areas greater than 
500,000 population.
    3.4 Ozone (O3) Design Criteria for NAMS. The criterion 
for selecting locations for ozone NAMS is any urbanized area having a 
population of more than 200,000. This population cut off is used since 
the sources of hydrocarbons are both mobile and stationary and are more 
diverse. Also, because of local and national control strategies and the 
complex chemical process of ozone formation and transport, more sampling 
stations than for CO are needed on a national scale to better understand 
the ozone problem. This selection criterion is based entirely on 
population and will include those relatively highly populated areas 
where most of the oxidant precursors originate.
    Each urban area will generally require only two ozone NAMS, One 
station would be representative of maximum ozone concentrations 
(category (a), urban scale) under the wind transport conditions as 
discussed in section 2.5. The exact location should balance local 
factors affecting transport and buildup of peak O3 levels 
with the need to represent population exposure. The second station 
(category (b), neighborhood scale), should be representative of high 
density population areas on the fringes of the central business district 
along the predominant summer/fall daytime wind direction. This latter 
station should measure peak O3 levels under light and 
variable or stagnant wind conditions. Two ozone NAMS stations will be 
sufficient in most urban areas since spatial gradients for ozone 
generally are not as sharp as for other criteria pollutants.
    3.5 Nitrogen Dioxide (NO2) Criteria for NAMS. Nitrogen 
dioxide NAMS will be required in those areas of the country which have a 
population greater than 1,000,000. These areas will have two 
NO2 NAMS. It is felt that stations in these major 
metropolitan areas would provide sufficient data for a national analysis 
of the data, and also because NO2 problems occur in areas of 
greater than 1,000,000 population.
    Within urban areas requiring NAMS, two permanent monitors are 
sufficient. The first station (category (a), middle scale or 
neighborhood scale) would be to measure the photochemical production of 
NO2 and would best be located in that part of the urban area 
where the emission density of NOX is the highest. The second 
station (category (b) urban scale), would be to measure the 
NO2 produced from the reaction of NO with O3 and 
should be downwind of the area of peak NOX emission areas.
    3.6 Lead (Pb) Design Criteria for NAMS. In order to achieve the 
national monitoring objective, one NAMS site must be located in one of 
the two cities with the greatest population in the following ten regions 
of the

[[Page 264]]

country (the choice of which of the two metropolitan areas should have 
the lead NAMS requirement is made by the Administrator or the 
Administrator's designee using the recommendation of the Regional 
Administrators or the Regional Administrators' designee):

 Table 1--EPA Regions & Two Current Largest MSA/CMSAs (Using 1995 Census
                                  Data)
------------------------------------------------------------------------
            Region (States)                   Two Largest MSA/CMSAs
------------------------------------------------------------------------
I (Connecticut, Massachusetts, Maine,    Boston-Worcester-Lawrence CMSA,
 New Hampshire, Rhode Island, Vermont).   Hartford, CT MSA.
II (New Jersey, New York, Puerto Rico,   New York-Northern New Jersey-
 U.S. Virgin Islands).                    Long Island, CMSA, San Juan-
                                          Caguas-Arecibo, PR CMSA.
III (Delaware, Maryland, Pennsylvania,   Washington-Baltimore CMSA,
 Virginia, West Virginia, Washington,     Philadelphia-Wilmington-
 DC).                                     Atlantic City CMSA.
IV (Alabama, Florida, Georgia,           Miami-Fort Lauderdale CMSA,
 Kentucky, Mississippi, North Carolina,   Atlanta, GA MSA.
 South Carolina, Tennessee).
V (Illinois, Indiana, Michigan,          Chicago-Gary-Kenosha CMSA,
 Minnesota, Ohio, Wisconsin).             Detroit-Ann Arbor-Flint CMSA.
VI (Arkansas, Louisiana, New Mexico,     Dallas-Fort Worth CMSA, Houston-
 Oklahoma, Texas).                        Galveston-Brazoria CMSA.
VII (Iowa, Kansas, Missouri, Nebraska).  St. Louis MSA, Kansas City MSA.
VIII (Colorado, Montana, North Dakota,   Denver-Boulder-Greeley CMSA,
 South Dakota, Utah, Wyoming).            Salt Lake City-Ogden MSA.
IX (American Samoa, Arizona,             Los Angeles-Riverside-Orange
 California, Guam, Hawaii, Nevada).       County CMSA, San Francisco-
                                          Oakland-San Jose CMSA.
X (Alaska, Idaho, Oregon, Washington)..  Seattle-Tacoma-Bremerton CMSA,
                                          Portland-Salem CMSA.
------------------------------------------------------------------------

    In addition, one NAMS site must be located in each of the MSA/CMSAs 
where one or more violations of the quarterly Pb NAAQS have been 
recorded over the previous eight quarters. If a violation of the 
quarterly Pb NAAQS is measured at a monitoring site outside of a MSA/
CMSA, one NAMS site must be located within the county in a populated 
area, apart from the Pb source, to assess area wide Pb air pollution 
levels. These NAMS sites should represent the maximum Pb concentrations 
measured within the MSA/CMSA, city, or county that is not directly 
affected from a single Pb point source. Further, in order that on-road 
mobile source emissions may continue to be verified as not contributing 
to lead NAAQS violations, roadside ambient lead monitors should be 
considered as viable NAMS site candidates. A NAMS site may be a 
microscale or middle scale category (a) station, located adjacent to a 
major roadway (e.g., 30,000 ADT), or a neighborhood scale 
category (b) station that is located in a highly populated residential 
section of the MSA/CMSA or county where the traffic density is high. 
Data from these sites will be used to assess general conditions for 
large MSA/CMSAs and other populated areas as a marker for national 
trends, and to confirm continued attainment of the Pb NAAQS. In some 
cases, the MSA/CMSA subject to the latter lead NAMS requirement due to a 
violating point source will be the same MSA/CMSA subject to the lead 
NAMS requirement based upon its population. For these situations, the 
total minimum number of required lead NAMS is one.
    3.7 Particulate Matter Design Criteria for NAMS.
    3.7.1 Table 4 indicates the approximate number of permanent stations 
required in MSAs to characterize national and regional PM10 
air quality trends and geographical patterns. The number of 
PM10 stations in areas where MSA populations exceed 1,000,000 
must be in the range from 2 to 10 stations, while in low population 
urban areas, no more than two stations are required. A range of 
monitoring stations is specified in table 4 because sources of 
pollutants and local control efforts can vary from one part of the 
country to another and therefore, some flexibility is allowed in 
selecting the actual number of stations in any one locale.
    3.7.2 Through promulgation of the NAAQS for PM2.5, the 
number of PM10 SLAMS is expected to decrease, but 
requirements to maintain PM10 NAMS remain in effect. The 
PM10 NAMS are retained to provide trends data, to support 
national assessments and decisions, and in some cases to continue 
demonstration that a NAAQS for PM10 is maintained as a 
requirement under a State Implementation Plan.
    3.7.3 The PM2.5 NAMS shall be a subset of the core 
PM2.5 SLAMS and other SLAMS intended to monitor for regional 
transport. The PM2.5 NAMS are planned as long-term monitoring 
stations concentrated in metropolitan areas. A target range of 200 to 
300 stations shall be designated nationwide. The largest metropolitan 
areas (those with a population greater than approximately one million) 
shall have at least one PM2.5 NAMS stations.
    3.7.4 The number of total PM2.5 NAMS per Region will be 
based on recommendations of the EPA Regional Offices, in concert with 
their State and local agencies, in accordance with the network design 
goals described in sections 3.7.5 through 3.7.7 of this appendix. The 
selected stations should represent the

[[Page 265]]

range of conditions occurring in the Regions and will consider factors 
such as total number or type of sources, ambient concentrations of 
particulate matter, and regional transport.
    3.7.5 The approach for PM2.5 NAMS is intended to give 
State and local agencies maximum flexibility while apportioning a 
limited national network. By advancing a range of monitors per Region, 
EPA intends to balance the national network with respect to geographic 
area and population. Table 5 presents the target number of 
PM2.5 NAMS per Region to meet the national goal of 200 to 300 
stations. These numbers consider a variety of factors such as Regional 
differences in metropolitan population, population density, land area, 
sources of particulate emissions, and the numbers of PM10 
NAMS.
    3.7.6 States will be required to establish approximately 50 NAMS 
sites for routine chemical speciation of PM2.5. These sites 
will include those collocated at approximately 25 PAMS sites and 
approximately 25 other core SLAMS sites to be selected by the 
Administrator. After 5 years of data collection, the Administrator may 
exempt some sites from collecting speciated data. The number of NAMS 
sites at which speciation will be performed each year and the number of 
samples per year will be determined by the Administrator.
    3.7.7 Since emissions associated with the operation of motor 
vehicles contribute to urban area particulate matter levels, 
consideration of the impact of these sources must be included in the 
design of the NAMS network, particularly in MSAs greater than 500,000 
population. In certain urban areas particulate emissions from motor 
vehicle diesel exhaust currently is or is expected to be a significant 
source of particulate matter ambient levels. The actual number of NAMS 
and their locations must be determined by EPA Regional Offices and the 
State agencies, subject to the approval of the Administrator as required 
by Sec. 58.32. The Administrator's approval is necessary to ensure that 
individual stations conform to the NAMS selection criteria and that the 
network as a whole is sufficient in terms of number and location for 
purposes of national analyses.

                             Table 4--PM10 National Air Monitoring Station Criteria
                                  [Approximate Number of Stations per MSA] \1\
----------------------------------------------------------------------------------------------------------------
                                                                          High          Medium          Low
                        Population Category                          Concentration  Concentration  Concentration
                                                                          \2\            \3\            \4\
----------------------------------------------------------------------------------------------------------------
1,000,000...............................................         6-10            4-8            2-4
500,000-1,000,000..................................................         4-8             2-4            1-2
250,000-500,000....................................................         3-4             1-2            0-1
100,000-250,000....................................................         1-2             0-1            0
----------------------------------------------------------------------------------------------------------------
1 Selection of urban areas and actual number of stations per area will be jointly determined by EPA and the
  State agency.
2 High concentration areas are those for which ambient PM10 data show ambient concentrations exceeding either
  PM10 NAAQS by 20 percent or more.
3 Medium concentration areas are those for which ambient PM10 data show ambient concentrations exceeding 80
  percent of the PM10 NAAQS.
4 Low concentration areas are those for which ambient PM10 data show ambient concentrations less than 80 percent
  of the PM10 NAAQS.

    3.7.7.1 Selection of urban areas and actual number of stations per 
area will be jointly determined by EPA and the State agency.
    3.7.7.2 High concentration areas are those for which: Ambient 
PM10 data show ambient concentrations exceeding either 
PM10 NAAQS by 20 percent or more.
    3.7.7.3 Medium concentration areas are those for which: Ambient 
PM10 data show ambient concentrations exceeding either 80 
percent of the PM10 NAAQS.
    3.7.7.4 Low concentration areas are those for which: Ambient 
PM10 data show ambient concentrations less than 80 percent of 
the PM10 NAAQS.

            Table 5--Goals for Number of PM2.5 NAMS by Region
------------------------------------------------------------------------
                                                   Percent of National
      EPA Region           Number of NAMS \1\             Total
------------------------------------------------------------------------
1                       15 to 20                 6 to 8
2                       20 to 30                 8 to 12
3                       20 to 25                 8 to 10
4                       35 to 50                 14 to 20
5                       35 to 50                 14 to 20
6                       25 to 35                 10 to 14
7                       10 to 15                 4 to 6
8                       10 to 15                 4 to 6
9                       25 to 40                 10 to 16
10                      10 to 15                 4 to 6
                       --------------------------
    Total               205-295                  100
------------------------------------------------------------------------
\1\ Each region will have one to three NAMS having the monitoring of
  regional transport as a primary objective.

4. Network Design for Photochemical Assessment Monitoring Stations 
(PAMS)

    In order to obtain more comprehensive and representative data on 
O3 air pollution, the 1990 Clean Air Act Amendments require 
enhanced monitoring for ozone (O3), oxides of nitrogen (NO, 
NO2, and NOX), and monitoring for VOC in 
O3 nonattainment areas classified as serious, severe, or 
extreme. This will be accomplished through the establishment of a 
network of Photochemical Assessment Monitoring Stations (PAMS).

[[Page 266]]

    4.1 PAMS Data Uses. Data from the PAMS are intended to satisfy 
several coincident needs related to attainment of the National Ambient 
Air Quality Standards (NAAQS), SIP control strategy development and 
evaluation, corroboration of emissions tracking, preparation of trends 
appraisals, and exposure assessment.
    (a) NAAQS attainment and control strategy development. Like SLAMS 
and NAMS data, PAMS data will be used for monitoring O3 
exceedances and providing input for attainment/nonattainment decisions. 
In addition, PAMS data will help resolve the roles of transported and 
locally emitted O3 precursors in producing an observed 
exceedance and may be utilized to identify specific sources emitting 
excessive concentrations of O3 precursors and potentially 
contributing to observed exceedances of the O3 NAAQS. The 
PAMS data will enhance the characterization of O3 
concentrations and provide critical information on the precursors which 
cause O3, therefore extending the database available for 
future attainment demonstrations. These demonstrations will be based on 
photochemical grid modeling and other approved analytical methods and 
will provide a basis for prospective mid-course control strategy 
corrections. PAMS data will provide information concerning (1) which 
areas and episodes to model to develop appropriate control strategies; 
(2) boundary conditions required by the models to produce quantifiable 
estimates of needed emissions reductions; and (3) the evaluation of the 
predictive capability of the models used.
    (b) SIP control strategy evaluation. The PAMS will provide data for 
SIP control strategy evaluation. Long-term PAMS data will be used to 
evaluate the effectiveness of these control strategies. Data may be used 
to evaluate the impact of VOC and NOX emission reductions on 
air quality levels for O3 if data is reviewed following the 
time period during which control measures were implemented. Speciation 
of measured VOC data will allow determination of which organic species 
are most affected by the emissions reductions and assist in developing 
cost-effective, selective VOC reductions and control strategies. A State 
or local air pollution control agency can therefore ensure that 
strategies which are implemented in their particular nonattainment area 
are those which are best suited for that area and achieve the most 
effective emissions reductions (and therefore largest impact) at the 
least cost.
    (c) Emissions tracking. PAMS data will be used to corroborate the 
quality of VOC and NOX emission inventories. Although a 
perfect mathematical relationship between emission inventories and 
ambient measurements does not yet exist, a qualitative assessment of the 
relative contributions of various compounds to the ambient air can be 
roughly compared to current emission inventory estimates to evaluate the 
accuracy of the emission inventories. In addition, PAMS data which are 
gathered year round will allow tracking of VOC and NOX 
emission reductions, provide additional information necessary to support 
Reasonable Further Progress (RFP) calculations, and corroborate 
emissions trends analyses. While the regulatory assessments of progress 
will be made in terms of emission inventory estimates, the ambient data 
can provide independent trends analyses and corroboration of these 
assessments which either verify or highlight possible errors in 
emissions trends indicated by inventories. The ambient assessments, 
using speciated data, can gauge the accuracy of estimated changes in 
emissions. The speciated data can also be used to assess the quality of 
the VOC speciated and NOX emission inventories for input 
during photochemical grid modeling exercises and identify potential 
urban air toxic pollutant problems which deserve closer scrutiny.
    The speciated VOC data will be used to determine changes in the 
species profile, resulting from the emission control program, 
particularly those resulting from the reformulation of fuels.
    (d) Trends. Long-term PAMS data will be used to establish speciated 
VOC, NOX, and limited toxic air pollutant trends, and 
supplement the O3 trends database. Multiple statistical 
indicators will be tracked, including O3 and its precursors 
during the events encompassing the days during each year with the 
highest O3 concentrations, the seasonal means for these 
pollutants, and the annual means at representative locations.
    The more PAMS that are established in and near nonattainment areas, 
the more effective the trends data will become. As the spatial 
distribution and number of O3 and O3 precursor 
monitors improves, trends analyses will be less influenced by instrument 
or site location anomalies. The requirement that surface meteorological 
monitoring be established at each PAMS will help maximize the utility of 
these trends analyses by comparisons with meteorological trends, and 
transport influences. The meteorological data can also help interpret 
the ambient air pollution trends by taking meteorological factors into 
account.
    (e) Exposure assessment. PAMS data will be used to better 
characterize O3 and toxic air pollutant exposure to 
populations living in serious, severe, or extreme areas. Annual mean 
toxic air pollutant concentrations will be calculated to help estimate 
the average risk to the population associated with individual VOC 
species, which are considered toxic, in urban environments.
    4.2 PAMS Monitoring Objectives. Unlike the SLAMS and NAMS design 
criteria which are pollutant specific, PAMS design criteria are site 
specific. Concurrent measurements of O3, NOX, 
speciated VOC, and meteorology

[[Page 267]]

are obtained at PAMS. Design criteria for the PAMS network are based on 
selection of an array of site locations relative to O3 
precursor source areas and predominant wind directions associated with 
high O3 events. Specific monitoring objectives are associated 
with each location. The overall design should enable characterization of 
precursor emission sources within the area, transport of O3 
and its precursors into and out of the area, and the photochemical 
processes related to O3 nonattainment, as well as developing 
an initial, though limited, urban air toxic pollutant database. Specific 
objectives that must be addressed include assessing ambient trends in 
O3, NO, NO2, NOX, VOC (including 
carbonyls), and VOC species, determining spatial and diurnal variability 
of O3, NO, NO2, NOX, and VOC species 
and assessing changes in the VOC species profiles that occur over time, 
particularly those occurring due to the reformulation of fuels. A 
maximum of five PAMS sites are required in an affected nonattainment 
area depending on the population of the Metropolitan Statistical Area/
Consolidated Metropolitan Statistical Area (MSA/CMSA) or nonattainment 
area, whichever is larger. Specific monitoring objectives associated 
with each of these sites result in four distinct site types. Note that 
detailed guidance for the locating of these sites may be found in 
reference 19.
    Type (1) sites are established to characterize upwind background and 
transported O3 and its precursor concentrations entering the 
area and will identify those areas which are subjected to overwhelming 
transport. Type (1) sites are located in the predominant morning upwind 
direction from the local area of maximum precursor emissions during the 
O3 season and at a distance sufficient to obtain urban scale 
measurements as defined in section 1 of this appendix. Typically, type 
(1) sites will be located near the edge of the photochemical grid model 
domain in the predominant morning upwind direction from the city limits 
or fringe of the urbanized area. Depending on the boundaries and size of 
the nonattainment area and the orientation of the grid, this site may be 
located outside of the nonattainment area. The appropriate predominant 
morning wind direction should be determined from historical wind data 
occurring during the period 7 a.m. to 10 a.m. on high O3 days 
or on those days which exhibit the potential for producing high 
O3 levels, i.e., O3-conducive days as described in 
reference 25. Alternate schemes for specifying this morning wind 
direction may be submitted as a part of the network description required 
by Sec. Sec. 58.40 and 58.41. Data measured at type (1) sites will be 
used principally for the following purposes:
     Future development and evaluation of control 
strategies,
     Identification of incoming pollutants,
     Corroboration of NOX and VOC emission 
inventories,
     Establishment of boundary conditions for future 
photochemical grid modeling and mid-course control strategy changes, and
     Development of incoming pollutant trends.
    Type (2) sites are established to monitor the magnitude and type of 
precursor emissions in the area where maximum precursor emissions are 
expected to impact and are suited for the monitoring of urban air toxic 
pollutants. Type (2) sites are located immediately downwind of the area 
of maximum precursor emissions and are typically placed near the 
downwind boundary of the central business district to obtain 
neighborhood scale measurements. The appropriate downwind direction 
should be obtained similarly to that for type (1) sites. Additionally, a 
second type (2) site may be required depending on the size of the area, 
and should be placed in the second-most predominant morning wind 
direction as noted previously. Data measured at type (2) sites will be 
used principally for the following purposes:
     Development and evaluation of imminent and future 
control strategies,
     Corroboration of NOX and VOC emission 
inventories,
     Augmentation of RFP tracking,
     Verification of photochemical grid model 
performance,
     Characterization of O3 and toxic air 
pollutant exposures (appropriate site for measuring toxic emissions 
impact),
     Development of pollutant trends, particularly 
toxic air pollutants and annual ambient speciated VOC trends to compare 
with trends in annual VOC emission estimates, and
     Determination of attainment with the NAAQS for 
NO2 and O3.
    Type (3) sites are intended to monitor maximum O3 
concentrations occurring downwind from the area of maximum precursor 
emissions. Locations for type (3) sites should be chosen so that urban 
scale measurements are obtained. Typically, type (3) sites will be 
located 10 to 30 miles downwind from the fringe of the urban area. The 
downwind direction should also be determined from historical wind data, 
but should be identified as those afternoon winds occurring during the 
period 1 p.m. to 4 p.m. on high O3 days or on those days 
which exhibit the potential for producing high O3 levels. 
Alternate schemes for specifying this afternoon wind direction may also 
be submitted as a part of the network description required by Sec. Sec. 
58.40 and 58.41. Data measured at type (3) sites will be used 
principally for the following purposes:
     Determination of attainment with the NAAQS for 
O3 (this site may coincide with an existing maximum 
concentration O3 monitoring site),

[[Page 268]]

     Evaluation of future photochemical grid modeling 
applications,
     Future development and evaluation of control 
strategies,
     Development of pollutant trends, and
     Characterization of O3 pollutant 
exposures.
    Type (4) sites are established to characterize the extreme downwind 
transported O3 and its precursor concentrations exiting the 
area and will identify those areas which are potentially contributing to 
overwhelming transport in other areas. Type (4) sites are located in the 
predominant afternoon downwind direction, as determined for the type (3) 
site, from the local area of maximum precursor emissions during the 
O3 season and at a distance sufficient to obtain urban scale 
measurements as defined elsewhere in this appendix. Typically, type (4) 
sites will be located near the downwind edge of the photochemical grid 
model domain. Alternate schemes for specifying the location of this site 
may be submitted as a part of the network description required by 
Sec. Sec. 58.40 and 58.41. Data measured at type (4) sites will be used 
principally for the following purposes:
     Development and evaluation of O3 
control strategies,
     Identification of emissions and photochemical 
products leaving the area,
     Establishment of boundary conditions for 
photochemical grid modeling,
     Development of pollutant trends,
     Background and upwind information for other 
downwind areas, and
     Evaluation of photochemical grid model 
performance.
    States choosing to submit an individual network description for each 
affected nonattainment area, irrespective of its proximity to other 
affected areas, must fulfill the requirements for isolated areas as 
described in section 4 of this appendix, as an example, and illustrated 
by Figure 5. States containing areas which experience significant impact 
from long-range transport or are proximate to other nonattainment areas 
(even in other States) should collectively submit a network description 
which contains alternative sites to those that would be required for an 
isolated area. Such a submittal should, as a guide, be based on the 
example provided in Figure 6, but must include a demonstration that the 
design satisfies the monitoring data uses and fulfills the PAMS 
monitoring objectives described in sections 4.1 and 4.2 of this 
appendix.

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[GRAPHIC] [TIFF OMITTED] TR18JY97.178


[[Page 270]]


[GRAPHIC] [TIFF OMITTED] TR18JY97.179

    Alternative PAMS network designs should, on a site-by-site basis, 
provide those data necessary to enhance the attainment/nonattainment 
database for criteria pollutants and explain the origins of overwhelming 
O3 transport. The alternative PAMS data should be usable for 
the corroboration and verification of O3 precursor emissions 
inventories and should comprise a qualitative (if not quantitative) 
measure of the accuracy of RFP calculations. The data should be 
sufficient to evaluate the effectiveness of the implemented 
O3 control strategies and should provide data necessary to 
establish photochemical grid modeling boundary conditions and necessary 
inputs including appropriate meteorological parameters, and provide 
measurements which can serve as model evaluation tools. Further, 
utilizing its PAMS database (alternative or not), a State should be able 
to draw conclusions regarding population exposure and conduct trends 
analyses for both criteria and non-criteria pollutants. Overall, the 
PAMS network should serve as one of several complementary means, 
together with modeling and analysis of other data bases (e.g., 
inventories) and availability of control technology, etc., for States to 
justify the modification of existing control programs, design

[[Page 271]]

new programs, and evaluate future courses of actions for O3 
control.
    4.3 Monitoring Period. PAMS precursor monitoring will be conducted 
annually throughout the months of June, July and August (as a minimum) 
when peak O3 values are expected in each area; however, 
precursor monitoring during the entire O3 season for the area 
is preferred. Alternate precursor monitoring periods may be submitted 
for approval as a part of the PAMS network description required by Sec. 
58.40. Changes to the PAMS monitoring period must be identified during 
the annual SLAMS Network Review specified in Sec. 58.20. PAMS 
O3 monitors must adhere to the O3 monitoring 
season specified in section 2.5 of appendix D. To ensure a degree of 
national consistency, monitoring for the 1993 season should commence as 
follows:
    One in 3-day sampling--June 3, 1993.
    One in 6-day sampling--June 6, 1993.
    These monitoring dates will thereby be coincident with the 
previously-established, intermittent schedule for particulate matter. 
States initiating sampling earlier (or later) than June 3, 1993 should 
adjust their schedules to coincide with this national schedule.
    4.4 Minimum Monitoring Network Requirements. The minimum required 
number and type of monitoring sites and sampling requirements are based 
on the population of the affected MSA/CMSA or nonattainment area 
(whichever is larger). The MSA/CMSA basis for monitoring network 
requirements was chosen because it typically is the most representative 
of the area which encompasses the emissions sources contributing to 
nonattainment. The MSA/CMSA emissions density can also be effectively 
and conveniently portrayed by the surrogate of population. Additionally, 
a network which is adequate to characterize the ambient air of an MSA/
CMSA often must extend beyond the boundaries of such an area (especially 
for O3 and its precursors); therefore, the use of smaller 
geographical units (such as counties or nonattainment areas which are 
smaller than the MSA/CMSA) for monitoring network design purposes is 
inappropriate. Various sampling requirements are imposed according to 
the size of the area to accommodate the impact of transport on the 
smaller MSAs/CMSAs, to account for the spatial variations inherent in 
large areas, to satisfy the differing data needs of large versus small 
areas due to the intractability of the O3 nonattainment 
problem, and to recognize the potential economic impact of 
implementation on State and local government. Population figures must 
reflect the most recent decennial U.S. census population report. 
Specific guidance on determining network requirements is provided in 
reference 19. Minimum network requirements are outlined in table 2.

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

    For purposes of network implementation and transition, EPA 
recommends the following priority order for the establishment of sites:
     The type (2) site which provides the most 
comprehensive data concerning O3 precursor emissions and 
toxic air pollutants,
     The type (3) site which provides a maximum 
O3 measurement and total conversion of O3 
precursors,
     The type (1) site which delineates the effect of 
incoming precursor emissions and concentrations of O3 and 
provides upwind boundary conditions,
     The type (4) site which provides extreme downwind 
boundary conditions, and
     The second type (2) site which provides 
comprehensive data concerning O3 precursor emissions and 
toxic air pollutants in the second-most predominant morning wind 
direction on high O3 days.
    Note also that O3 event (peak day) monitoring will 
require the development of a scheme for forecasting such high 
O3 days or will necessitate the stipulation of what 
meteorological conditions constitute a potential high O3 day; 
monitoring could then be

[[Page 272]]

triggered only via meteorological projections. The O3 event 
forecasting and monitoring scheme should be submitted as a part of the 
network description required by Sec. Sec. 58.40 and 58.41 and should be 
reviewed during each annual SLAMS Network Review specified in Sec. 
58.20.
    4.5 Transition Period. A variable period of time is proposed for 
phasing in the operation of all required PAMS. Within 1 year after (1) 
February 12, 1993, (2) or date of redesignation or reclassification of 
any existing O3 nonattainment area to serious, severe, or 
extreme, or (3) the designation of a new area and classification to 
serious, severe, or extreme O3 nonattainment, a minimum of 
one type (2) site must be operating. Operation of the remaining sites 
must, at a minimum, be phased in at the rate of one site per year during 
subsequent years as outlined in the approved PAMS network description 
provided by the State.
    4.6 Meteorological Monitoring. In order to support monitoring 
objectives associated with the need for various air quality analyses, 
model inputs and performance evaluations, meteorological monitoring 
including wind measurements at 10 meters above ground is required at 
each PAMS site. Monitoring should begin with site establishment. In 
addition, upper air meteorological monitoring is required for each PAMS 
area. Upper air monitoring should be initiated as soon as possible, but 
no later than 2 years after (1) February 12, 1993, (2) or date of 
redesignation or reclassification of any existing O3 
nonattainment area to serious, severe, or extreme, or (3) the 
designation of a new area and classification to serious, severe, or 
extreme O3 nonattainment. The upper air monitoring site may 
be located separately from the type (1) through (4) sites, but the 
location should be representative of the upper air data in the 
nonattainment area. Upper air meteorological data must be collected 
during those days specified for monitoring by the sampling frequencies 
in table 2. of section 4.4 of this appendix D in accordance with current 
EPA guidance.

5. Summary.

    Table 6 of this appendix shows by pollutant, all of the spatial 
scales that are applicable for SLAMS and the required spatial scales for 
NAMS. There may also be some situations, as discussed later in appendix 
E of this part, where additional scales may be allowed for NAMS 
purposes.

                    Table 6--Summary of Spatial Scales for SLAMS and Required Scales for NAMS
----------------------------------------------------------------------------------------------------------------
                                                          Scales Applicable for SLAMS
        Spatial Scale        -----------------------------------------------------------------------------------
                                  SO2         CO          O3          NO2         Pb         PM10        PM2.5
----------------------------------------------------------------------------------------------------------------
Micro.......................  ..........   [bcheck]   ..........  ..........   [bcheck]    [bcheck]    [bcheck]
Middle......................   [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]
Neighborhood................   [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]
Urban.......................   [bcheck]   ..........   [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]
Regional....................   [bcheck]   ..........   [bcheck]   ..........   [bcheck]    [bcheck]    [bcheck]
 
                                                           Scales Required for NAMS
 
Micro.......................  ..........   [bcheck]   ..........  ..........   [bcheck]    [bcheck]   [bcheck]1
Middle......................  ..........  ..........  ..........  ..........   [bcheck]    [bcheck]    [bcheck]1
Neighborhood................   [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]    [bcheck]
Urban.......................  ..........  ..........   [bcheck]    [bcheck]   ..........  ..........  [bcheck]2
Regional....................  ..........  ..........  ..........  ..........  ..........  ..........  [bcheck]2
----------------------------------------------------------------------------------------------------------------
\1\ Only permitted if representative of many such micro-scale environments in a residential district (for middle
  scale, at least two).
\2\ Either urban or regional scale for regional transport sites.

6. References

    1. Ludwig, F. L., J. H. S. Kealoha, and E. Shelar. Selecting Sites 
for Monitoring Total Suspended Particulates. Stanford Research 
Institute, Menlo Park, CA. Prepared for U.S. Environmental Protection 
Agency, Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-
018. June 1977, revised December 1977.
    2. Ball, R. J. and G. E. Anderson. Optimum Site Exposure Criteria 
for SO2 Monitoring. The Center for the Environment and Man, 
Inc., Hartford, CT. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-013. April 
1977.
    3. Ludwig, F. L. and J. H. S. Kealoha. Selecting Sites for Carbon 
Monoxide Monitoring. Stanford Research Institute, Menlo Park, CA. 
Prepared for U.S. Environmental Protection Agency, Research Triangle 
Park, NC. EPA Publication No. EPA-450/3-75-077. September 1975.
    4. Ludwig, F. L. and E. Shelar. Site Selecting for the Monitoring of 
Photochemical Air Pollutants. Stanford Research Institute, Menlo Park, 
CA. Prepared for U.S. Environmental Protection Agency, Research Triangle 
Park, NC. EPA Publication No. EPA-450/3-78-013. April 1978.
    5. Guideline on Air Quality Models. OAQPS, U.S. Environmental 
Protection

[[Page 273]]

Agency, Research Triangle Park, NC. OAQPS No. 1.2-080. April 1978.
    6. Lead Guideline Document, U. S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA-452/R-93-009.
    7. Air Quality Criteria for Lead. Office of Research and 
Development, U.S. Environmental Protection Agency, Washington, DC. EPA-
600/8-83-028 aF-dF, 1986, and supplements EPA-600/8-89/049F, August 
1990. (NTIS document numbers PB87-142378 and PB91-138420.)
    8. Johnson, D. E., et al. Epidemiologic Study of the Effects of 
Automobile Traffic on Blood Lead Levels, Southwest Research Institute, 
Houston, TX. Prepared for U.S. Environmental Protection Agency, Research 
Triangle Park, NC. EPA-600/1-78-055. August 1978.
    9. Optimum Site Exposure Criteria for Lead Monitoring. PEDCo 
Environmental, Inc., Cincinnati, OH. Prepared for U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA Contract No. 68-02-
3013. (May 1981.)
    10. ``Guidance for Conducting Ambient Air Monitoring for Lead Around 
Point Sources,'' Office of Air Quality Planning and Standards, U.S. 
Environmental Protection Agency, Research Triangle Park, NC EPA-454/R-
92-009, May 1997.
    11. Cooper, J.A., et. al. Summary of the Portland Aerosol 
Characterization Study. (Presented at the 1979 Annual Air Pollution 
Association Meeting, Cincinnati, OH. APCA 79-24.4).
    12. Bradway, R.M. and F.A. Record. National Assessment of the Urban 
Particulate Problem. Volume 1. Prepared for U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA-450/3-76-024. July 
1976.
    13. U.S. Environmental Protection Agency, Air Quality Criteria for 
Particulate Matter and Sulfur Oxides, Volume 2. Environmental Criteria 
and Assessment Office, Research Triangle Park, NC. December 1981.
    14. Watson, J.G., et al. Analysis of Inhalable and Fine Particulate 
Matter Measurements. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA-450/4-81-035. December 1981.
    15. Record, F.A. and L.A. Baci. Evaluation on Contribution of Wind 
Blown Dust from the Desert Levels of Particulate Matter in Desert 
Communities. GCA Technology Division, Bedford, MA. Prepared for U.S. 
Environmental Protection Agency, Research Triangle Park, NC. EPA-450/2-
80-078. August 1980.
    16. Goldstein, E.A. and Paly M. The Diesel Problem in New York City. 
Project on the Urban Environment. Natural Resources Defense Council, 
Inc., New York, NY. April 1985.
    17. Koch, R.C. and H.E. Rector. Optimum Network Design and Site 
Exposure Criteria for Particulate Matter. GEOMET Technologies, Inc., 
Rockville, MD. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Contract No. 68-02-3584. EPA 450/4-87-
009. May 1987.
    18. Watson et al. Guidance for Network Design and Optimum Site 
Exposure for PM2.5 and PM10. Prepared for U.S. 
Environmental Protection Agency, Research Triangle Park, NC.
    19. National Air Pollutant Emissions Trends, 1900-1995, Office of 
Air Quality Planning and Standards, U. S. Environmental Protection 
Agency, Research Triangle Park, NC. EPA-454/R96-007, October 1996, 
updated annually.

[44 FR 27571, May 10, 1979]

    Editorial Note: For Federal Register citations affecting appendix D 
to part 58, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.

    Effective Date Note: At 60 FR 52323, October 6, 1995, appendix D to 
part 58 was amended in part by adding Section 2.2. This section contains 
information collection and recordkeeping requirements and will not 
become effective until approval has been given by the Office of 
Management and Budget.

  Appendix E to Part 58--Probe and Monitoring Path Siting Criteria for 
                     Ambient Air Quality Monitoring

    1. Introduction
    2 Sulfur Dioxide (SO2), Ozone (O3), and 
Nitrogen Dioxide (NO2)
    2.1 Horizontal and Vertical Placement
    2.2 Spacing from Minor Sources (Applicable to SO2 and 
O3 Monitoring Only)
    2.3 Spacing From Obstructions
    2.4 Spacing From Trees
    2.5 Spacing From Roadways (Applicable to O3 and 
NO2 Only)
    2.6 Cumulative Interferences on a Monitoring Path
    2.7 Maximum Monitoring Path Length
    3 [Reserved]
    4. Carbon Monoxide (CO)
    4.1 Horizontal and Vertical Placement
    4.2 Spacing From Obstructions
    4.3 Spacing From Roadways
    4.4 Spacing From Trees and Other Considerations
    4.5 Cumulative Interferences on a Monitoring Path
    4.6 Maximum Monitoring Path Length
    5-6 [Reserved]
    7. Lead(Pb)
    7.1 Vertical Placement
    7.2 Spacing From Obstructions
    7.3 Spacing From Roadways
    7.4 Spacing From Trees and Other Considerations.
    8. Particulate Matter (PM10 and PM2.5)

[[Page 274]]

    8.1 Vertical Placement
    8.2 Spacing From Obstructions
    8.3 Spacing From Roadways
    8.4 Other Considerations
    9. Probe Material and Pollutant Sample Residence Time
    10. Photochemical Assessment Monitoring Stations (PAMS)
    10.1 Horizontal and Vertical Placement
    10.2 Spacing From Obstructions
    10.3 Spacing From Roadways
    10.4 Spacing From Trees
    11. Discussion and Summary
    12. Summary
    13. References

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

2. Sulfur Dioxide (SO2), Ozone (O3), and Nitrogen 
Dioxide (NO2)

    Open path analyzers may be used to measure SO2, 
O3, and NO2 at SLAMS/NAMS sites for middle, 
neighborhood, urban, and regional scale measurement applications. 
Additional information on SO2, NO2, and 
O3 monitor siting criteria may be found in references 11 and 
13.
    2.1 Horizontal and Vertical Placement. The probe or at least 80 
percent of the monitoring path must be located between 3 and 15 meters 
above ground level. The probe or at least 90 percent of the monitoring 
path must be at least 1 meter vertically or horizontally away from any 
supporting structure, walls, parapets, penthouses, etc., and away from 
dusty or dirty areas. If the probe or a significant portion of the 
monitoring path is located near the side of a building, then it should 
be located on the windward side of the building relative to the 
prevailing wind direction during the season of highest concentration 
potential for the pollutant being measured.
    2.2 Spacing from Minor Sources (Applicable to SO2 and 
O3 Monitoring Only). Local minor sources of SO2 
can cause inappropriately high concentrations of SO2 in the 
vicinity of probes and monitoring paths for SO2. Similarly, 
local sources of nitric oxide (NO) and ozone-reactive hydrocarbons can 
have a scavenging effect causing unrepresentatively low concentrations 
of O3 in the vicinity of probes and monitoring paths for 
O3. To minimize these potential interferences, the probe or 
at least 90 percent of the monitoring path must be away from furnace or 
incineration flues or other minor sources of SO2 or NO, 
particularly for open path analyzers because of their potential for 
greater exposure over the area covered by the monitoring path. The 
separation distance should take into account the heights of the flues, 
type of waste or fuel burned, and the sulfur content of the fuel. It is 
acceptable, however, to monitor for SO2 near a point source 
of SO2 when the objective is to assess the effect of this 
source on the represented population.
    2.3 Spacing From Obstructions. Buildings and other obstacles may 
possibly scavenge SO2, O3, or NO2. To 
avoid this interference, the probe or at least 90 percent of the 
monitoring path must have unrestricted airflow and be located away from 
obstacles so that the distance from the probe or monitoring path is at 
least twice the height that the obstacle protrudes above the probe or 
monitoring path. Generally, a probe or monitoring path located near or 
along a vertical wall is undesirable because air moving along the wall 
may be subject to possible removal mechanisms. A probe must have 
unrestricted airflow in an arc of at least 270 degrees around the inlet 
probe, or 180 degrees if the probe is on the side of a building. This 
arc must include the predominant wind direction for the season of 
greatest pollutant concentration potential. A sampling station having a 
probe located closer to an obstacle than this criterion allows should be 
classified as middle scale rather than neighborhood or urban scale, 
since the measurements from such a station would more closely represent 
the middle scale. A monitoring path must be clear of all trees, brush, 
buildings, plumes, dust, or other optical obstructions,

[[Page 275]]

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

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

    2.6 Cumulative Interferences on a Monitoring Path. The cumulative 
length or portion of a monitoring path that is affected by minor 
sources, obstructions, trees, or roadways must not exceed 10 percent of 
the total monitoring path length.

[[Page 276]]

    2.7 Maximum Monitoring Path Length. The monitoring path length must 
not exceed 1 kilometer for analyzers in neighborhood, urban, or regional 
scale. For middle scale monitoring sites, the monitoring path length 
must not exceed 300 meters. In areas subject to frequent periods of 
dust, fog, rain, or snow, consideration should be given to a shortened 
monitoring path length to minimize loss of monitoring data due to these 
temporary optical obstructions. For certain ambient air monitoring 
scenarios using open path analyzers, shorter path lengths may be needed 
in order to ensure that the monitoring station meets the objectives and 
spatial scales defined for SLAMS in appendix D. Therefore, the Regional 
Administrator or the Regional Administrator's designee may require 
shorter path lengths, as needed on an individual basis, to ensure that 
the SLAMS meet the appendix D requirements. Likewise, the Administrator 
or the Administrator's designee may specify the maximum path length used 
at monitoring stations designated as NAMS or PAMS as needed on an 
individual basis.
3. [Reserved]
4. Carbon Monoxide (CO)
    Open path analyzers may be used to measure CO at SLAMS/NAMS sites 
for middle or neighborhood scale measurement applications. Additional 
information on CO monitor siting criteria may be found in reference 12.
    4.1 Horizontal and Vertical Placement. Because of the importance of 
measuring population exposure to CO concentrations, air should be 
sampled at average breathing heights. However, practical factors require 
that the inlet probe be higher. The required height of the inlet probe 
for CO monitoring is therefore 3\1/2\ meters for a 
microscale site, which is a compromise between representative breathing 
height and prevention of vandalism. The recommended 1 meter range of 
heights is also a compromise to some extent. For consistency and 
comparability, it would be desirable to have all inlets at exactly the 
same height, but practical considerations often prevent this. Some 
reasonable range must be specified and 1 meter provides adequate leeway 
to meet most requirements.
    For the middle and neighborhood scale stations, the vertical 
concentration gradients are not as great as for the microscale station. 
This is because the diffusion from roads is greater and the 
concentrations would represent larger areas than for the microscale. 
Therefore, the probe or at least 80 percent of the monitoring path must 
be located between 3 and 15 meters above ground level for middle and 
neighborhood scale stations. The probe or at least 90 percent of the 
monitoring path must be at least 1 meter vertically or horizontally away 
from any supporting structure, walls, parapets, penthouses, etc., and 
away from dusty or dirty areas. If the probe or a significant portion of 
the monitoring path is located near the side of a building, then it 
should be located on the windward side of the building relative to both 
the prevailing wind direction during the season of highest concentration 
potential and the location of sources of interest, i.e., roadways.
    4.2 Spacing From Obstructions. Buildings and other obstacles may 
restrict airflow around a probe or monitoring path. To avoid this 
interference, the probe or at least 90 percent of the monitoring path 
must have unrestricted airflow and be located away from obstacles so 
that the distance from the probe or monitoring path is at least twice 
the height that the obstacle protrudes above the probe or monitoring 
path. A probe or monitoring path located near or along a vertical wall 
is undesirable because air moving along the wall may be subject to 
possible removal mechanisms. A probe must have unrestricted airflow in 
an arc of at least 270 degrees around the inlet probe, or 180 degrees if 
the probe is on the side of a building. This arc must include the 
predominant wind direction for the season of greatest pollutant 
concentration potential. A monitoring path must be clear of all trees, 
brush, buildings, plumes, dust, or other optical obstructions, including 
potential obstructions that may move due to wind, human activity, growth 
of vegetation, etc. Temporary optical obstructions, such as rain, 
particles, fog, or snow, should be considered when siting an open path 
analyzer. Any of these temporary obstructions that are of sufficient 
density to obscure the light beam will affect the ability of the open 
path analyzer to continuously measure pollutant concentrations.
    Special consideration must be devoted to the use of open path 
analyzers due to their inherent potential sensitivity to certain types 
of interferences, or optical obstructions. While some of these potential 
interferences are comparable to those to which point monitors are 
subject, there are additional sources of potential interferences which 
are altogether different in character. Transient, but significant 
obscuration of especially longer measurement paths could be expected to 
occur as a result of certain prevailing meteorological conditions (e.g., 
heavy fog, rain, snow) and/or aerosol levels that are of a sufficient 
density to prevent the open path analyzer's light transmission. If 
certain compensating measures are not otherwise implemented at the onset 
of monitoring (e.g., shorter path lengths, higher light source 
intensity), data recovery during periods of greatest primary pollutant 
potential could be compromised. For instance, if heavy fog or high 
particulate levels are coincident with periods of projected NAAQS-
threatening pollutant potential, the representativeness of the resulting 
data record in reflecting maximum pollutant concentrations may be 
substantially impaired despite

[[Page 277]]

the fact that the site may otherwise exhibit an acceptable, even 
exceedingly high overall valid data capture rate.
    In seeking EPA approval for inclusion of a site using an open path 
analyzer into the formal SLAMS/NAMS or PSD network, monitoring agencies 
must submit an analysis which evaluates both obscuration potential for a 
proposed path length for the subject area and the effect this potential 
is projected to have on the representativeness of the data record. This 
analysis should include one or more of the following elements, as 
appropriate for the specific circumstance: climatological information, 
historical pollutant and aerosol information, modeling analysis results, 
and any related special study results.
    4.3 Spacing From Roadways. Street canyon and traffic corridor 
stations (microscale) are intended to provide a measurement of the 
influence of the immediate source on the pollution exposure of the 
population. In order to provide some reasonable consistency and 
comparability in the air quality data from microscale stations, a 
minimum distance of 2 meters and a maximum distance of 10 meters from 
the edge of the nearest traffic lane must be maintained for these CO 
monitoring inlet probes. This should give consistency to the data, yet 
still allow flexibility of finding suitable locations.
    Street canyon/corridor (microscale) inlet probes must be located at 
least 10 meters from an intersection and preferably at a midblock 
location. Midblock locations are preferable to intersection locations 
because intersections represent a much smaller portion of downtown space 
than do the streets between them. Pedestrian exposure is probably also 
greater in street canyon/corridors than at intersections. Also, the 
practical difficulty of positioning sampling inlets is less at midblock 
locations than at the intersection. However, the final siting of the 
monitor must meet the objectives and intent of appendix D, sections 2.4, 
3, 3.3, and appendix E, section 4.
    In determining the minimum separation between a neighborhood scale 
monitoring station and a specific line source, the presumption is made 
that measurements should not be substantially influenced by any one 
roadway. Computations were made to determine the separation distance, 
and table 2 provides the required minimum separation distance between 
roadways and a probe or 90 percent of a monitoring path. Probes or 
monitoring paths that are located closer to roads than this criterion 
allows should not be classified as a neighborhood scale, since the 
measurements from such a station would closely represent the middle 
scale. Therefore, stations not meeting this criterion should be 
classified as middle scale.

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

    4.4 Spacing From Trees and Other Considerations. Since CO is 
relatively nonreactive, the major factor concerning trees is as 
obstructions to normal wind flow patterns. For middle and neighborhood 
scale stations, trees should not be located between the major sources of 
CO, usually vehicles on a heavily traveled road, and the monitor. The 
probe or at least 90 percent of the monitoring path must be 10 meters or 
more from the drip line of trees which are between the probe or the 
monitoring path and the road and which extend at least 5 meters above 
the probe or monitoring path. For microscale stations, no trees or 
shrubs should be located between the probe and the roadway.
    4.5 Cumulative Interferences on a Monitoring Path. The cumulative 
length or portion of a monitoring path that is affected by obstructions, 
trees, or roadways must not exceed 10 percent of the total monitoring 
path length.
    4.6 Maximum Monitoring Path Length. The monitoring path length must 
not exceed 1 kilometer for analyzers used for neighborhood scale 
monitoring applications, or 300 meters for middle scale monitoring 
applications. In areas subject to frequent periods of dust, fog, rain, 
or snow, consideration should be given to a shortened monitoring path 
length to minimize loss of monitoring data due to these temporary 
optical obstructions. For certain ambient air monitoring scenarios using 
open path analyzers, shorter path lengths may be needed in order to 
ensure that the monitoring station meets the objectives and spatial 
scales defined for SLAMS in appendix D. Therefore, the Regional 
Administrator or the Regional Administrator's designee may require 
shorter path lengths, as needed on an individual basis, to ensure that 
the SLAMS meet the appendix D requirements. Likewise, the Administrator 
or the Administrator's designee may specify the maximum path length used

[[Page 278]]

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

 Table 3--Separation Distance Between Pb Stations and Roadways (Edge of
                          Nearest Traffic Lane)
------------------------------------------------------------------------
                                          Separation distance between
                                         roadways and stations, meters
                                      ----------------------------------
    Roadway average daily traffic                           Neighborhood
           vehicles per day             Micro     Middle        urban
                                        scale      scale      regional
                                                                scale
------------------------------------------------------------------------
[lE]10,000...........................     5-15  \1\7
                                                >15-75                5
[gE]40,000...........................     5-15  1
                                                >15-100              00
------------------------------------------------------------------------
\1\ Distances should be interpolated based on traffic flow.

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

8. Particulate Matter (PM10 and PM2.5)

    8.1 Vertical Placement. Although there are limited studies on the 
PM10 concentration gradients around roadways or other ground 
level sources, References 1, 2, 4, 18 and 19 of this appendix show a 
distinct variation in the distribution of TSP and Pb levels near 
roadways, TSP, which is greatly affected by gravity, has large 
concentration gradients, both horizontal and vertical, immediately 
adjacent to roads. Lead, being predominately

[[Page 279]]

sub-micron in size, behaves more like a gas and exhibits smaller 
vertical and horizontal gradients than TSP. PM10, being 
intermediate in size between these two extremes exhibits dispersion 
properties of both gas and settleable particulates and does show 
vertical and horizontal gradients. \30\ Similar to monitoring for other 
pollutants, optimal placement of the sampler inlet for PM10 
monitoring should be at breathing height level. However, practical 
factors such as prevention of vandalism, security, and safety 
precautions must also be considered when siting a PM10 
monitor. Given these considerations, the sampler inlet for microscale 
PM10 monitors must be 2-7 meters above ground level. The 
lower limit was based on a compromise between ease of servicing the 
sampler and the desire to avoid re-entrainment from dusty surfaces. The 
upper limit represents a compromise between the desire to have 
measurements which are most representative of population exposures and a 
consideration of the practical factors noted above. Although microscale 
or middle scale stations are not the preferred spatial scale for 
PM2.5 sites, there are situations where such sites are 
representative of several locations within an area where large segments 
of the population may live or work (e.g., central business district of 
Metropolitan area). In these cases, the sampler inlet for such 
microscale PM2.5 stations must also be 2-7 meters above 
ground level.
    For middle or larger spatial scales, increased diffusion results in 
vertical concentration gradients that are not as great as for the 
microscale. Thus, the required height of the air intake for middle or 
larger scales is 2-15 meters.
    8.2 Spacing From Obstructions. If the sampler is located on a roof 
or other structure, then there must be a minimum of 2 meters separation 
from walls, parapets, penthouses, etc. No furnace or incineration flues 
should be nearby. This separation distance from flues is dependent on 
the height of the flues, type of waste or fuel burned, and quality of 
the fuel (ash content). In the case of emissions from a chimney 
resulting from natural gas combustion, as a precautionary measure, the 
sampler should be placed at least 5 meters from the chimney.
    On the other hand, if fuel oil, coal, or solid waste is burned and 
the stack is sufficiently short so that the plume could reasonably be 
expected to impact on the sampler intake a significant part of the time, 
other buildings/locations in the area that are free from these types of 
sources should be considered for sampling. Trees provide surfaces for 
particulate desposition and also restrict airflow. Therefore, the 
sampler should be placed at least 20 meters from the dripline and must 
be 10 meters from the dripline when the tree(s) acts as an obstruction.
    The sampler must also be located away from obstacles such as 
buildings, so that the distance between obstacles and the sampler is at 
least twice the height that the obstacle protrudes above the sampler 
except for street canyon sites. Sampling stations that are located 
closer to obstacles than this criterion allows should not be classified 
as neighborhood, urban, or regional scale, since the measurements from 
such a station would closely represent middle scale stations. Therefore, 
stations not meeting the criterion should be classified as middle scale.
    There must be unrestricted airflow in an arc of at least 270[deg] 
around the sampler except for street canyon sites. Since the intent of 
the category (a) site is to measure the maximum concentrations from a 
road or point source, there must be no significant obstruction between a 
road or point source and the monitor, even though other spacing from 
obstruction criteria are met. The predominant direction for the season 
with the greatest pollutant concentration potential must be included in 
the 270[deg] arc.
    8.3 Spacing From Roads. Since emissions associated with the 
operation of motor vehicles contribute to urban area particulate matter 
ambient levels, spacing from roadway criteria are necessary for ensuring 
national consistency in PM sampler siting.
    The intent is to locate category (a) NAMS sites in areas of highest 
concentrations whether it be from mobile or multiple stationary sources. 
If the area is primarily affected by mobile sources and the maximum 
concentration area(s) is judged to be a traffic corridor or street 
canyon location, then the monitors should be located near roadways with 
the highest traffic volume and at separation distances most likely to 
produce the highest concentrations. For the microscale traffic corridor 
station, the location must be between 5 and 15 meters from the major 
roadway. For the microscale street canyon site the location must be 
between 2 and 10 meters from the roadway. For the middle scale station, 
a range of acceptable distances from the roadway is shown in Figure 2. 
This figure also includes separation distances between a roadway and 
neighborhood or larger scale stations by default. Any station, 2 to 15 
meters high, and further back than the middle scale requirements will 
generally be neighborhood, urban or regional scale. For example, 
according to Figure 2, if a PM sampler is primarily influenced by 
roadway emissions and that sampler is set back 10 meters from a 30,000 
ADT road, the station should be classified as a micro scale, if the 
sampler height is between 2 and 7 meters. If the sampler height is 
between 7 and 15 meters, the station should be classified as middle 
scale. If the sample is 20 meters from the same road, it will be 
classified as middle scale; if 40 meters, neighborhood scale; and if 110 
meters, an urban scale.

[[Page 280]]

[GRAPHIC] [TIFF OMITTED] TC01JY92.003

    It is important to note that the separation distances shown in 
Figure 2 are measured from the edge of the nearest traffic lane of the 
roadway presumed to have the most influence on the site. In general, 
this presumption is an oversimplification of the usual urban settings 
which normally have several streets that impact a given site. The 
effects

[[Page 281]]

of surrounding streets, wind speed, wind direction and topography should 
be considered along with Figure 2 before a final decision is made on the 
most appropriate spatial scale assigned to the sampling station.
    8.4 Other Considerations. For those areas that are primarily 
influenced by stationary source emissions as opposed to roadway 
emissions, guidance in locating these areas may be found in the 
guideline document Optimum Network Design and Site Exposure Criteria for 
Particulate Matter. \2\\9\
    Stations should not be located in an unpaved area unless there is 
vegetative ground cover year round, so that the impact of wind blown 
dusts will be kept to a minimum.

9. Probe Material and Pollutant Sample Residence Time

    For the reactive gases, SO2, NO2, and 
O3, special probe material must be used for point analyzers. 
Studies 20-24 have been conducted to determine the 
suitability of materials such as polypropylene, polyethylene, polyvinyl 
chloride, Tygon, aluminum, brass, stainless steel, copper, Pyrex glass 
and Teflon for use as intake sampling lines. Of the above materials, 
only Pyrex glass and Teflon have been found to be acceptable for use as 
intake sampling lines for all the reactive gaseous pollutants. 
Furthermore, the EPA\25\ has specified borosilicate glass or FEP Teflon 
as the only acceptable probe materials for delivering test atmospheres 
in the determination of reference or equivalent methods. Therefore, 
borosilicate glass, FEP Teflon, or their equivalent must be used for 
existing and new NAMS or SLAMS.
---------------------------------------------------------------------------

    \20-29\ See References at end of this appendix.
---------------------------------------------------------------------------

    For VOC monitoring at those SLAMS designated as PAMS, FEP teflon is 
unacceptable as the probe material because of VOC adsorption and 
desorption reactions on the FEP teflon. Borosilicate glass, stainless 
steel, or its equivalent are the acceptable probe materials for VOC and 
carbonyl sampling. Care must be taken to ensure that the sample 
residence time is 20 seconds or less.
    No matter how nonreactive the sampling probe material is initially, 
after a period of use reactive particulate matter is deposited on the 
probe walls. Therefore, the time it takes the gas to transfer from the 
probe inlet to the sampling device is also critical. Ozone in the 
presence of NO will show significant losses even in the most inert probe 
material when the residence time exceeds 20 seconds. \26\ Other studies 
\27-28\ indicate that a 10-second or less residence time is easily 
achievable. Therefore, sampling probes for reactive gas monitors at 
SLAMS or NAMS must have a sample residence time less than 20 seconds.

    10. Photochemical Assessment Monitoring Stations (PAMS)

    10.1 Horizontal and Vertical Placement. The probe or at least 80 
percent of the monitoring path must be located 3 to 15 meters above 
ground level. This range provides a practical compromise for finding 
suitable sites for the multipollutant PAMS. The probe or at least 90 
percent of the monitoring path must be at least 1 meter vertically or 
horizontally away from any supporting structure, walls, parapets, 
penthouses, etc., and away from dusty or dirty areas.
    10.2 Spacing From Obstructions. The probe or at least 90 percent of 
the monitoring path must be located away from obstacles and buildings 
such that the distance between the obstacles and the probe or the 
monitoring path is at least twice the height that the obstacle protrudes 
above the probe or monitoring path. There must be unrestricted airflow 
in an arc of at least 270[deg] around the probe inlet. Additionally, the 
predominant wind direction for the period of greatest pollutant 
concentration (as described for each site in section 4.2 of appendix D) 
must be included in the 270[deg] arc. If the probe is located on the 
side of the building, 180[deg] clearance is required. A monitoring path 
must be clear of all trees, brush, buildings, plumes, dust, or other 
optical obstructions, including potential obstructions that may move due 
to wind, human activity, growth of vegetation, etc. Temporary optical 
obstructions, such as rain, particles, fog, or snow, should be 
considered when siting an open path analyzer. Any of these temporary 
obstructions that are of sufficient density to obscure the light beam 
will affect the ability of the open path analyzer to continuously 
measure pollutant concentrations.
    Special consideration must be devoted to the use of open path 
analyzers due to their inherent potential sensitivity to certain types 
of interferences, or optical obstructions. While some of these potential 
interferences are comparable to those to which point monitors are 
subject, there are additional sources of potential interferences which 
are altogether different in character. Transient, but significant 
obscuration of especially longer measurement paths could be expected to 
occur as a result of certain prevailing meteorological conditions (e.g., 
heavy fog, rain, snow) and/or aerosol levels that are of a sufficient 
density to prevent the open path analyzer's light transmission. If 
certain compensating measures are not otherwise implemented at the onset 
of monitoring (e.g., shorter path lengths, higher light source 
intensity), data recovery during periods of greatest primary pollutant 
potential could be compromised. For instance, if heavy fog or high 
particulate levels are coincident with periods of projected NAAQS-
threatening pollutant potential, the representativeness of the resulting 
data record

[[Page 282]]

in reflecting maximum pollutant concentrations may be substantially 
impaired despite the fact that the site may otherwise exhibit an 
acceptable, even exceedingly high overall valid data capture rate.
    In seeking EPA approval for inclusion of a site using an open path 
analyzer into the formal SLAMS/NAMS or PSD network, monitoring agencies 
must submit an analysis which evaluates both obscuration potential for a 
proposed path length for the subject area and the effect this potential 
is projected to have on the representativeness of the data record. This 
analysis should include one or more of the following elements, as 
appropriate for the specific circumstance: climatological information, 
historical pollutant and aerosol information, modeling analysis results, 
and any related special study results.
    10.3 Spacing From Roadways. It is important in the probe and 
monitoring path siting process to minimize destructive interferences 
from sources of NO since NO readily reacts with O3. Table 4 
below provides the required minimum separation distances between 
roadways and PAMS (excluding upper air measuring stations):

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

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

11. Waiver Provisions

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

12. Summary

    Table 5 presents a summary of the general requirements for probe and 
monitoring path siting criteria with respect to distances and heights. 
It is apparent from table 5 that different elevation distances above the 
ground are shown for the various pollutants. The discussion in the text 
for each of the pollutants described reasons for elevating the monitor, 
probe, or monitoring path. The differences in the specified range of 
heights are based on the vertical concentration gradients. For CO, the 
gradients in the vertical direction are very large for the microscale, 
so a small range of heights has been used. The upper limit of 15 meters 
was specified for consistency between pollutants and to allow the use of 
a single manifold or monitoring path for monitoring more than one 
pollutant.

[[Page 283]]



                                              Table 5--Summary of Probe and Monitoring Path Siting Criteria
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Horizontal and
                                                              Height from ground to    vertical distance     Distance from trees       Distance from
                                         Scale [maximum          probe or 80% of        from supporting       to probe or 90% of    roadways to probe or
             Pollutant                   monitoring path        monitoring path A    structures B to probe    monitoring path A      monitoring path A
                                         length, meters]            (meters)          or 90% of monitoring         (meters)               (meters)
                                                                                        path A  (meters)
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2 C,D,E,F........................  Middle [300m]           3-15..................  1.........  10........  N/A.
                                      Neighborhood, Urban,
                                      and Regional [1km].
CO D,E,G...........................  Micro Middle [300m]     31.........  10........  2-10; See table 2 for
                                      Neighborhood [1km].     eq>0.5; 3-15.                                                         middle and
                                                                                                                                    neighborhood scales.
O3 C,D,E...........................  Middle [300m]           3-15..................  1.........  10........  See table 1 for all
                                      Neighborhood, Urban,                                                                          scales.
                                      and Regional [1km].
Ozone precursors (for PAMS) C,D,E..  Neighborhood and Urban  3-15..................  1.........  10........  See table 4 for all
                                     [1 km]................                                                                         scales.
NO2 C,D,E..........................  Middle [300m]           3-15..................  1.........  10........  See table 1 for all
                                      Neighborhood and                                                                              scales.
                                      Urban [1km].
Pb C,D,E,F,H.......................  Micro; Middle,          2-7 (Micro); 2-15 (All  2 (All      10 (All     5-15 (Micro); See
                                      Neighborhood, Urban     other scales).          scales, horizontal     scales).               table 3 for all
                                      and Regional.                                   distance only).                               other scales.
PM-10 C,D,E,F,H....................  Micro; Middle,          2-7 (Micro); 2-15 (All  2 (All      10 (All     2-10 (Micro); See
                                      Neighborhood, Urban     other scales).          scales, horizontal     scales).               Figure 2 for all
                                      and Regional.                                   distance only).                               other scales.
--------------------------------------------------------------------------------------------------------------------------------------------------------
N/A--Not applicable.
A Monitoring path for open path analyzers is applicable only to middle or neighborhood scale CO monitoring and all applicable scales for monitoring SO2,
  O3, O3 precursors, and NO2.
B When probe is located on a rooftop, this separation distance is in reference to walls, parapets, or penthouses located on roof.
C Should be >20 meters from the dripline of tree(s) and must be 10 meters from the dripline when the tree(s) act as an obstruction.
D Distance from sampler, probe, or 90% of monitoring path to obstacle, such as a building, must be at least twice the height the obstacle protrudes
  above the sampler, probe, or monitoring path. Sites not meeting this criterion may be classified as middle scale (see text).
E Must have unrestricted airflow 270[deg] around the probe or sampler; 180[deg] if the probe is on the side of a building.
F The probe, sampler, or monitoring path should be away from minor sources, such as furnace or incineration flues. The separation distance is dependent
  on the height of the minor source's emission point (such as a flue), the type of fuel or waste burned, and the quality of the fuel (sulfur, ash, or
  lead content). This criterion is designed to avoid undue influences from minor sources.
G For microscale CO monitoring sites, the probe must be >10 meters from a street intersection and preferably at a midblock location.
H For collocated Pb and PM-10 samplers, a 2-4 meter separation distance between collocated samplers must be met.

13. References

    1. Bryan, R.J., R.J. Gordon, and H. Menck. Comparison of High Volume 
Air Filter Samples at Varying Distances from Los Angeles Freeway. 
University of Southern California, School of Medicine, Los Angeles, CA. 
(Presented at 66th Annual Meeting of Air Pollution Control Association. 
Chicago, IL., June 24-28, 1973. APCA 73-158.)
    2. Teer, E.H. Atmospheric Lead Concentration Above an Urban Street. 
Master of Science Thesis, Washington University, St. Louis, MO. January 
1971.
    3. Bradway, R.M., F.A. Record, and W.E. Belanger. Monitoring and 
Modeling of Resuspended Roadway Dust Near Urban Arterials. GCA 
Technology Division, Bedford, MA. (Presented at 1978 Annual Meeting of 
Transportation Research Board, Washington, DC. January 1978.)
    4. Pace, T.G., W.P. Freas, and E.M. Afify. Quantification of 
Relationship Between Monitor Height and Measured Particulate Levels in 
Seven U.S. Urban Areas. U.S. Environmental Protection Agency, Research 
Triangle Park, NC. (Presented at 70th Annual Meeting of Air Pollution 
Control Association, Toronto, Canada, June 20-24, 1977. APCA 77-13.4.)
    5. Harrison, P.R. Considerations for Siting Air Quality Monitors in 
Urban Areas. City of Chicago, Department of Environmental Control, 
Chicago, IL. (Presented at 66th Annual Meeting of Air Pollution Control 
Association, Chicago, IL., June 24-28, 1973. APCA 73-161.)
    6. Study of Suspended Particulate Measurements at Varying Heights 
Above Ground.

[[Page 284]]

Texas State Department of Health, Air Control Section, Austin, TX. 1970. 
p.7.
    7. Rodes, C.E. and G.F. Evans. Summary of LACS Integrated Pollutant 
Data. In: Los Angeles Catalyst Study Symposium. U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA Publication No. EPA-
600/4-77-034. June 1977.
    8. Lynn, D.A. et. al. National Assessment of the Urban Particulate 
Problem: Volume 1, National Assessment. GCA Technology Division, 
Bedford, MA. U.S. Environmental Protection Agency, Research Triangle 
Park, NC. EPA Publication No. EPA-450/3-75-024. June 1976.
    9. Pace, T.G. Impact of Vehicle-Related Particulates on TSP 
Concentrations and Rationale for Siting Hi-Vols in the Vicinity of 
Roadways. OAQPS, U.S. Environmental Protection Agency, Research Triangle 
Park, NC. April 1978.
    10. Ludwig, F.L., J.H. Kealoha, and E. Shelar. Selecting Sites for 
Monitoring Total Suspended Particulates. Stanford Research Institute, 
Menlo Park, CA. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-018. June 
1977, revised December 1977.
    11. Ball, R.J. and G.E. Anderson. Optimum Site Exposure Criteria for 
SO2 Monitoring. The Center for the Environment and Man, Inc., 
Hartford, CT. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-013. April 
1977.
    12. Ludwig, F.L. and J.H.S. Kealoha. Selecting Sites for Carbon 
Monoxide Monitoring. Stanford Research Institute, Menlo Park, CA. 
Prepared for U.S. Environmental Protection Agency, Research Park, NC. 
EPA Publication No. EPA-450/3-75-077. September 1975.
    13. Ludwig, F.L. and E. Shelar. Site Selection for the Monitoring of 
Photochemical Air Pollutants. Stanford Research Institute, Menlo Park, 
CA. Prepared for U.S. Environmental Protection Agency, Research Triangle 
Park, NC. EPA Publication No. EPA-450/3-78-013. April 1978.
    14. Lead Analysis for Kansas City and Cincinnati, PEDCo 
Environmental, Inc., Cincinnati, OH. Prepared for U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA Contract No. 66-02-
2515, June 1977.
    15. Barltrap, D. and C. D. Strelow. Westway Nursery Testing Project. 
Report to the Greater London Council. August 1976.
    16. Daines, R. H., H. Moto, and D. M. Chilko. Atmospheric Lead: Its 
Relationship to Traffic Volume and Proximity to Highways. Environ. Sci. 
and Technol., 4:318, 1970.
    17. Johnson, D. E., et al. Epidemiologic Study of the Effects of 
Automobile Traffic on Blood Lead Levels, Southwest Research Institute, 
Houston, TX. Prepared for U.S. Environmental Protection Agency, Research 
Triangle Park, NC. EPA-600/1-78-055, August 1978.
    18. Air Quality Criteria for Lead. Office of Research and 
Development, U.S. Environmental Protection Agency, Washington, DC EPA-
600/8-83-028 aF-dF, 1986, and supplements EPA-600/8-89/049F, August 
1990. (NTIS document numbers PB87-142378 and PB91-138420.)
    19. Lyman, D. R. The Atmospheric Diffusion of Carbon Monoxide and 
Lead from an Expressway, Ph.D. Dissertation, University of Cincinnati, 
Cincinnati, OH. 1972.
    20. Wechter, S.G. Preparation of Stable Pollutant Gas Standards 
Using Treated Aluminum Cylinders. ASTM STP. 598:40-54, 1976.
    21. Wohlers, H.C., H. Newstein and D. Daunis. Carbon Monoxide and 
Sulfur Dioxide Adsorption On and Description From Glass, Plastic and 
Metal Tubings. J. Air Poll. Con. Assoc. 17:753, 1976.
    22. Elfers, L.A. Field Operating Guide for Automated Air Monitoring 
Equipment. U.S. NTIS. p. 202, 249, 1971.
    23. Hughes, E.E. Development of Standard Reference Material for Air 
Quality Measurement. ISA Transactions, 14:281-291, 1975.
    24. Altshuller, A.D. and A.G. Wartburg. The Interaction of Ozone 
with Plastic and Metallic Materials in a Dynamic Flow System. Intern. 
Jour. Air and Water Poll., 4:70-78, 1961.
    25. CFR Title 40 part 53.22, July 1976.
    26. Butcher, S.S. and R.E. Ruff. Effect of Inlet Residence Time on 
Analysis of Atmospheric Nitrogen Oxides and Ozone, Anal. Chem., 43:1890, 
1971.
    27. Slowik, A.A. and E.B. Sansone. Diffusion Losses of Sulfur 
Dioxide in Sampling Manifolds. J. Air. Poll. Con. Assoc., 24:245, 1974.
    28. Yamada, V.M. and R.J. Charlson. Proper Sizing of the Sampling 
Inlet Line for a Continuous Air Monitoring Station. Environ. Sci. and 
Technol., 3:483, 1969.
    29. Koch, R.C. and H.E. Rector. Optimum Network Design and Site 
Exposure Criteria for Particulate Matter, GEOMET Technologies, Inc., 
Rockville, MD. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Contract No. 68-02-3584. EPA 450/4-87-
009. May 1987.
    30. Burton, R.M. and J.C. Suggs. Philadelphia Roadway Study. 
Environmental Monitoring Systems Laboratory, U.S. Environmental 
Protection Agency, Research Triangle Park, N.C. EPA-600/4-84-070 
September 1984.
    31. Technical Assistance Document For Sampling and Analysis of Ozone 
Precursors. Atmospheric Research and Exposure Assessment Laboratory, 
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711. 
EPA 600/8-91-215. October 1991.
    32. Quality Assurance Handbook for Air Pollution Measurement 
Systems: Volume IV. Meteorological Measurements. Atmospheric

[[Page 285]]

Research and Exposure Assessment Laboratory, U.S. Environmental 
Protection Agency, Research Triangle Park, NC 27711. EPA 600/4-90-0003. 
August 1989.
    33. On-Site Meteorological Program Guidance for Regulatory Modeling 
Applications. Office of Air Quality Planning and Standards, U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711. EPA 
450/4-87-013. June 1987.

[44 FR 27571, May 10, 1979; 44 FR 72592, Dec. 14, 1979, as amended at 46 
FR 44170, Sept. 3, 1981; 51 FR 9598, Mar. 19, 1986; 52 FR 24744--24748, 
July 1, 1987; 52 FR 27286, July 20, 1987; 58 FR 8474, 8475, Feb. 12, 
1993; 60 FR 52324, Oct. 6, 1995; 62 FR 38854, July 18, 1997; 64 FR 3036, 
Jan. 20, 1999]

       Appendix F to Part 58--Annual SLAMS Air Quality Information

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

1. General

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

2. Required Information

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

[[Page 286]]

NAAQS. (3) Number of exceedances of the 3-hour secondary NAAQS. (3) 
Number of 24-hour average concentrations (4) in ranges:

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

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

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

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

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

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

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

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

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

    2.6 Lead (Pb).
    2.6.1 Site and Monitoring Information. City name (when applicable), 
county name, and street address of site location, AIRS-AQS site code. 
AIRS-AQS monitoring method code. Sampling interval of submitted data, 
e.g., twenty-four hour or quarterly composites.
    2.6.2 Annual Summary Statistics. The four quarterly arithmetic 
averages given to two decimal places for the year together with the

[[Page 287]]

number of twenty-four hour samples included in the average, as in the 
following format:

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

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

------------------------------------------------------------------------
                       Range                           Number of values
------------------------------------------------------------------------
0 to 25 ([mu]g/m \3\)..............................  ...................
26 to 50...........................................  ...................
51 to 75...........................................  ...................
76 to 100..........................................  ...................
101 to 125.........................................  ...................
126 to 150.........................................  ...................
151 to 175.........................................  ...................
176 to 200.........................................  ...................
Greater than 200...................................  ...................
------------------------------------------------------------------------

    2.7.3 Annual Summary Statistics. Annual arithmetic mean ([mu]g/
m3) as specified in 40 CFR part 50, appendix N. All daily PM-
fine values above the level of the 24-hour PM-fine NAAQS and dates of 
occurrence. Sampling schedule used such as once every 6 days, everyday, 
etc. Number of 24-hour average concentrations in ranges:

------------------------------------------------------------------------
                       Range                           Number of Values
------------------------------------------------------------------------
0 to 15 ([mu]g/m3).................................  ...................
16 to 30...........................................  ...................
31 to 50...........................................  ...................
51 to 70...........................................  ...................
71 to 90...........................................  ...................
91 to 110..........................................  ...................
Greater than 110...................................  ...................
------------------------------------------------------------------------

    2.7.4 Episode and Other Unscheduled Sampling Data. List episode 
measurements, other unscheduled sampling data, and dates of occurrence. 
List the regularly scheduled sample measurements and date of occurrence 
that preceded the episode or unscheduled measurement.

    Footnotes

    1. Continuous methods only.
    2. Manual or intermittent methods only.
    3. Based on nonoverlapping values computed according to procedures 
described in reference (1) or on individual intermittent measurements.
    4. Based on overlapping running averages for continuous measurements 
as described in reference (1) or on individual measurement for 
intermittent methods.

Reference

    1. ``Guidelines for the Interpretation of Air Quality Standards'' 
U.S. Environmental Protection Agency, Office of Air Quality Planning and 
Standards, Research Triangle Park, NC 27711. OAQPS No. 1.2-008, 
February, 1977.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44171, Sept. 3, 1981; 51 
FR 9600, Mar. 19, 1986; 52 FR 24748, 24749, July 1, 1987; 59 FR 41628, 
Aug. 12, 1994; 62 FR 38854, July 18, 1997]

    Appendix G to Part 58--Uniform Air Quality Index (AQI) and Daily 
                                Reporting

                          General Requirements

    1. What is the AQI?
    2. Why report the AQI?
    3. Must I report the AQI?
    4. What goes into my AQI report?
    5. Is my AQI report for my MSA only?
    6. How do I get my AQI report to the public?
    7. How often must I report the AQI?
    8. May I make exceptions to these reporting requirements?

                               Calculation

    9. How does the AQI relate to air pollution levels?
    10. Where do I get the pollutant concentrations to calculate the 
AQI?
    11. Do I have to forecast the AQI?
    12. How do I calculate the AQI?

                   Background and Reference Materials

    13. What additional information should I know?

                          General Requirements

                           1. What Is the AQI?

    The AQI is a tool that simplifies reporting air quality to the 
general public. The AQI incorporates into a single index concentrations 
of 5 criteria pollutants: ozone (O3), particulate matter 
(PM), carbon monoxide (CO), sulfur dioxide (SO2), and 
nitrogen dioxide (NO2). The scale of the index is divided 
into general categories that are associated with health messages.

                         2. Why Report the AQI?

    The AQI offers various advantages:
    a. It is simple to create and understand.
    b. It conveys the health implications of air quality.

[[Page 288]]

    c. It promotes uniform use throughout the country.

                        3. Must I Report the AQI?

    You must report the AQI daily if yours is a metropolitan statistical 
area (MSA) with a population over 350,000.

                    4. What Goes Into My AQI Report?

    i. Your AQI report must contain the following:
    a. The reporting area(s) (the MSA or subdivision of the MSA).
    b. The reporting period (the day for which the AQI is reported).
    c. The critical pollutant (the pollutant with the highest index 
value).
    d. The AQI (the highest index value).
    e. The category descriptor and index value associated with the AQI 
and, if you choose to report in a color format, the associated color. 
Use only the following descriptors and colors for the six AQI 
categories:

                         Table 1--AQI Categories
------------------------------------------------------------------------
                                                          And this color
           For this AQI             Use this descriptor         1
------------------------------------------------------------------------
0 to 50..........................  ``Good''............  Green.
----------------------------------
51 to 100........................  ``Moderate''........  Yellow.
----------------------------------
101 to 150.......................  ``Unhealthy for       Orange.
                                    Sensitive Groups''.
----------------------------------
151 to 200.......................  ``Unhealthy''.......  Red.
----------------------------------
201 to 300.......................  ``Very Unhealthy''..  Purple.
----------------------------------
301 and above....................  ``Hazardous''.......  Maroon.\1\
------------------------------------------------------------------------
1 Specific colors can be found in the most recent reporting guidance
  (Guideline for Public Reporting of Daily Air Quality--Air Quality
  Index (AQI)).

    f. The pollutant specific sensitive groups for any reported index 
value greater than 100. Use the following sensitive groups for each 
pollutant:

------------------------------------------------------------------------
 When this pollutant has an index value    Report these sensitive groups
             above 100 * * *                           * * *
------------------------------------------------------------------------
Ozone...................................  Children and people with
                                           asthma are the groups most at
                                           risk.
-----------------------------------------
PM2.5...................................  People with respiratory or
                                           heart disease, the elderly
                                           and children are the groups
                                           most at risk.
-----------------------------------------
PM10....................................  People with respiratory
                                           disease are the group most at
                                           risk.
-----------------------------------------
CO......................................  People with heart disease are
                                           the group most at risk.
-----------------------------------------
SO2.....................................  People with asthma are the
                                           group most at risk.
-----------------------------------------
NO2.....................................  Children and people with
                                           respiratory disease are the
                                           groups most at risk.
------------------------------------------------------------------------

    ii. When appropriate, your AQI report may also contain the 
following:
    a. Appropriate health and cautionary statements.
    b. The name and index value for other pollutants, particularly those 
with an index value greater than 100.
    c. The index values for sub-areas of your MSA.
    d. Causes for unusual AQI values.
    e. Actual pollutant concentrations.

                  5. Is My AQI Report for My MSA Only?

    Generally, your AQI report applies to your MSA only. However, if a 
significant air quality problem exists (AQI greater than 100) in areas 
significantly impacted by your MSA but not in it (for example, 
O3 concentrations are often highest downwind and outside an 
urban area), you should identify these areas and report the AQI for 
these areas as well.

              6. How Do I Get My AQI Report to the Public?

    You must furnish the daily report to the appropriate news media 
(radio, television, and newspapers). You must make the daily report 
publicly available at one or more places of public access, or by any 
other means, including a recorded phone message, a public Internet site, 
or facsimile transmission. When the AQI value is greater than 100, it is 
particularly critical that the reporting to the various news media be as 
extensive as possible. At a minimum, it should include notification to 
the media with the largest market coverages for the area in question.

                   7. How Often Must I Report the AQI?

    You must report the AQI at least 5 days per week. Exceptions to this 
requirement are in section 8 of this appendix.

        8. May I Make Exceptions to These Reporting Requirements?

    i. If the index value for a particular pollutant remains below 50 
for a season or year, then you may exclude the pollutant from your 
calculation of the AQI in section 12.
    ii. If all index values remain below 50 for a year, then you may 
report the AQI at your discretion. In subsequent years, if pollutant 
levels rise to where the AQI would be above 50, then the AQI must be 
reported as required in sections 3, 4, 6, and 7 of this appendix.

[[Page 289]]

                               Calculation

           9. How Does the AQI Relate to Air Pollution Levels?

    For each pollutant, the AQI transforms ambient concentrations to a 
scale from 0 to 500. The AQI is keyed as appropriate to the national 
ambient air quality standards (NAAQS) for each pollutant. In most cases, 
the index value of 100 is associated with the numerical level of the 
short-term standard (i.e., averaging time of 24-hours or less) for each 
pollutant. Different approaches are taken for NO2, for which 
no short-term standard has been established, and for PM2.5, 
for which the annual standard is the principal vehicle for protecting 
against short-term concentrations. The index value of 50 is associated 
with the numerical level of the annual standard for a pollutant, if 
there is one, at one-half the level of the short-term standard for the 
pollutant, or at the level at which it is appropriate to begin to 
provide guidance on cautionary language. Higher categories of the index 
are based on increasingly serious health effects and increasing 
proportions of the population that are likely to be affected. The index 
is related to other air pollution concentrations through linear 
interpolation based on these levels. The AQI is equal to the highest of 
the numbers corresponding to each pollutant. For the purposes of 
reporting the AQI, the sub-indexes for PM10 and 
PM2.5 are to be considered separately. The pollutant 
responsible for the highest index value (the reported AQI) is called the 
``critical'' pollutant.

  10. Where Do I Get the Pollutant Concentrations To Calculate the AQI?

    You must use concentration data from population-oriented State/Local 
Air Monitoring Station (SLAMS) or parts of the SLAMS required under 40 
CFR 58.20 for each pollutant except PM. For PM, you need only calculate 
and report the AQI on days for which you have measured air quality data 
(e.g., particulate monitors often report values only every sixth day). 
You may use particulate measurements from monitors that are not 
reference or equivalent methods (for example, continuous PM10 
or PM2.5 monitors) if you can relate these measurements by 
statistical linear regression to reference or equivalent method 
measurements.

                   11. Do I Have to Forecast the AQI?

    You should forecast the AQI to provide timely air quality 
information to the public, but this is not required. If you choose to 
forecast the AQI, then you may consider both long-term and short-term 
forecasts. You can forecast the AQI at least 24-hours in advance using 
the most accurate and reasonable procedures considering meteorology, 
topography, availability of data, and forecasting expertise. The 
document ``Guideline for Developing an Ozone Forecasting Program'' (the 
Forecasting Guidance) will help you start a forecasting program. You can 
also issue short-term forecasts by predicting 8-hour ozone values from 
1-hour ozone values using methods suggested in the Reporting Guidance, 
``Guideline for Public Reporting of Daily Air Quality.''

                     12. How Do I Calculate the AQI?

    i. The AQI is the highest value calculated for each pollutant as 
follows:
    a. Identify the highest concentration among all of the monitors 
within each reporting area and truncate the pollutant concentration to 
one more than the significant digits used to express the level of the 
NAAQS for that pollutant. This is equivalent to the rounding conventions 
used in the NAAQS.
    b. Using Table 2, find the two breakpoints that contain the 
concentration.
    c. Using Equation 1, calculate the index.
    d. Round the index to the nearest integer.

[[Page 290]]



                                                            Table 2--Breakpoints for the AQI
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                             These breakpoints                                               Equal these AQIs * *
-----------------------------------------------------------------------------------------------------------           *
                                                                       PM10                                -----------------------        Category
         O3 (ppm)  8-hour           O3 (ppm)  1-  PM2.5  ([mu]g/m3   ([mu]g/m3    CO (ppm)     SO2 (ppm)
                                       hour 1             )              )                                   NO2 (ppm)      AQI
--------------------------------------------------------------------------------------------------------------------------------------------------------
0.000-0.064.......................  ............   0.0-15.4           0-54      0.0-4.4      0.000-0.034     ( 2 )       0-50      Good.
0.065-0.084.......................  ............  15.5-40.4         55-154      4.5-9.4      0.035-0.144     ( 2 )       51-100    Moderate.
0.085-0.104.......................  0.125-0.164   40.5-65.4         155-254     9.5-12.4     0.145-0.224     ( 2 )       101-150   Unhealthy for
                                                                                                                                    sensitive groups.
0.105-0.124.......................  0.165-0.204   \4\ 65.5-150.4    255-354     12.5-15.4    0.225-0.304     ( 2 )       151-200   Unhealthy.
0.125-0.374.......................  0.205-0.404   \4\ 150.5-250.4   355-424     15.5-30.4    0.305-0.604    0.65-1.24    201-300   Very unhealthy.
( 3 ).............................  0.405-0.504   \4\ 250.5-350.4   425-504     30.5-40.4    0.605-0.804    1.25-1.64    301-400   .....................
( 3 ).............................  0.505-0.604   \4\ 350.5-500.4   505-604     40.5-50.4    0.805-1.004    1.65-2.04    401-500   Hazardous.
--------------------------------------------------------------------------------------------------------------------------------------------------------
1 Areas are generally required to report the AQI based on 8-hour ozone values. However, there are a small number of areas where an AQI based on 1-hour
  ozone values would be more precautionary. In these cases, in addition to calculating the 8-hour ozone index value, the 1-hour ozone index value may be
  calculated, and the maximum of the two values reported.
2 NO2 has no short-term NAAQS and can generate an AQI only above an AQI value of 200.
3 8-hour O3 values do not define higher AQI values (>= 301). AQI values of 301 or higher are calculated with 1-hour O3 concentrations.
4 If a different SHL for PM2.5 is promulgated, these numbers will change accordingly.


[[Page 291]]

    ii. If the concentration is equal to a breakpoint, then the index is 
equal to the corresponding index value in Table 2. However, Equation 1 
can still be used. The results will be equal. If the concentration is 
between two breakpoints, then calculate the index of that pollutant with 
Equation 1. You must also note that in some areas, the AQI based on 1-
hour O3 will be more precautionary than using 8-hour values 
(see footnote 1 to Table 2). In these cases, you may use 1-hour values 
as well as 8-hour values to calculate index values and then use the 
maximum index value as the AQI for O3.
[GRAPHIC] [TIFF OMITTED] TR04AU99.044

Where:

Ip = the index value for pollutantp
Cp = the truncated concentration of pollutantp
BPHi = the breakpoint that is greater than or equal to 
Cp
BPLo = the breakpoint that is less than or equal to 
Cp
IHi = the AQI value corresponding to BPHi
Ilo = the AQI value corresponding to BPLo.

    iii. If the concentration is larger than the highest breakpoint in 
Table 2 then you may use the last two breakpoints in Table 2 when you 
apply Equation 1.

                                 Example

    iv. Using Table 2 and Equation 1, calculate the index value for each 
of the pollutants measured and select the one that produces the highest 
index value for the AQI. For example, if you observe a PM10 
value of 210 [mu]g/m3, a 1-hour O3 value of 0.156 
ppm, and an 8-hour O3 value of 0.130 ppm, then do this:
    a. Find the breakpoints for PM10 at 210 [mu]g/
m3 as 155 [mu]g/m3 and 254 [mu]g/m3, 
corresponding to index values 101 and 150;
    b. Find the breakpoints for 1-hour O3 at 0.156 ppm as 
0.125 ppm and 0.164 ppm, corresponding to index values 101 and 150;
    c. Find the breakpoints for 8-hour O3 at 0.130 ppm as 
0.125 ppm and 0.374 ppm, corresponding to index values 201 and 300;
    d. Apply Equation 1 for 210 [mu]g/m3, PM10:
    [GRAPHIC] [TIFF OMITTED] TR04AU99.045
    
    e. Apply Equation 1 for 0.156 ppm, 1-hour O3:
    [GRAPHIC] [TIFF OMITTED] TR04AU99.046
    
    f. Apply Equation 1 for 0.130 ppm, 8-hour O3:
    [GRAPHIC] [TIFF OMITTED] TR04AU99.047
    
    g. Find the maximum, 203. This is the AQI. The minimal AQI report 
would read:
    v. Today, the AQI for my city is 203 which is very unhealthy, due to 
ozone. Children and people with asthma are the groups most at risk.

                   Background and Reference Materials

             13. What Additional Information Should I Know?

    The EPA has developed a computer program to calculate the AQI for 
you. The program works with Windows 95, it prompts for inputs, and it 
displays all the pertinent information for the AQI (the index value, 
color, category, sensitive group, health effects, and cautionary 
language). The EPA has also prepared a brochure on the AQI that explains 
the index in detail (The Air Quality Index), Reporting Guidance 
(Guideline for Public Reporting of Daily Air Quality) that provides 
associated health effects and cautionary statements, and Forecasting 
Guidance (Guideline for Developing an Ozone Forecasting Program) that 
explains the steps necessary to start an air pollution forecasting 
program. You can download the program and the guidance documents at 
www.epa.gov/airnow.

[64 FR 42547, Aug. 4, 1999]



PART 59_NATIONAL VOLATILE ORGANIC COMPOUND EMISSION STANDARDS FOR CONSUMER 
AND COMMERCIAL PRODUCTS--Table of Contents




Sec.

Subpart A [Reserved]

  Subpart B_National Volatile Organic Compound Emission Standards for 
                      Automobile Refinish Coatings

59.100 Applicability and designation of regulated entity.
59.101 Definitions.
59.102 Standards.
59.103 Container labeling requirements.
59.104 Compliance provisions.
59.105 Reporting requirements.
59.106 Variance.
59.107 Addresses of EPA Regional offices.
59.108 State authority.
59.109 Circumvention.
59.110 Incorporations by reference.
59.111 Availability of information and confidentiality.

[[Page 292]]


Table 1 to Subpart B--Volatile Organic Compound (VOC) Content Limits for 
          Automobile Refinish Coatings

  Subpart C_National Volatile Organic Compound Emission Standards for 
                            Consumer Products

59.201 Applicability and designation of regulated entity.
59.202 Definitions.
59.203 Standards for consumer products.
59.204 Innovative product provisions.
59.205 Labeling.
59.206 Variances.
59.207 Test methods.
59.208 Charcoal lighter material testing protocol.
59.209 Recordkeeping and reporting requirements.
59.210 Addresses of EPA Regional Offices.
59.211 State authority.
59.212 Circumvention.
59.213 Incorporations by reference.
59.214 Availability of information and confidentiality.

Table 1 to Subpart C--VOC Content Limits by Product Category
Table 2 to Subpart C--HVOC Content Limits for Underarm Deodorants and 
          Underarm AntiPerspirants
Appendix A to Subpart C of Part 59--Figures

  Subpart D_National Volatile Organic Compound Emission Standards for 
                         Architectural Coatings

59.400 Applicability and compliance dates.
59.401 Definitions.
59.402 VOC content limits.
59.403 Exceedance fees.
59.404 Tonnage exemption.
59.405 Container labeling requirements.
59.406 Compliance provisions.
59.407 Recordkeeping requirements.
59.408 Reporting requirements.
59.409 Addresses of EPA Offices.
59.410 State authority.
59.411 Circumvention.
59.412 Incorporations by reference.
59.413 Availability of information and confidentiality.

Appendix A to Subpart D of Part 59--Determination of Volatile Matter 
          Content of Methacrylate Multicomponent Coatings Used as 
          Traffic Marking Coatings
Table 1 to Subpart D--Volatile Organic Compound (VOC) Content Limits for 
          Architectural Coatings

    Authority: 42 U.S.C. 7511b(e).

    Source: 64 FR 48815, Sept. 11, 1998, unless otherwise noted..

Subpart A [Reserved]



  Subpart B_National Volatile Organic Compound Emission Standards for 
                      Automobile Refinish Coatings



Sec. 59.100  Applicability and designation of regulated entity.

    (a) The provisions of this subpart apply to automobile refinish 
coatings and coating components manufactured on or after January 11, 
1999 for sale or distribution in the United States.
    (b) Regulated entities are manufacturers and importers of automobile 
refinish coatings or coating components that sell or distribute these 
coatings or coating components in the United States.
    (c) The provisions of this subpart do not apply to automobile 
refinish coatings or coating components meeting the criteria in 
paragraphs (c)(1) through (c)(6) of this section.
    (1) Coatings or coating components that are manufactured (in or 
outside the United States) exclusively for sale outside the United 
States.
    (2) Coatings or coating components that are manufactured (in or 
outside the United States) before January 11, 1999.
    (3) Coatings or coating components that are manufactured (in or 
outside the United States) for use by original equipment manufacturers.
    (4) Coatings that are sold in nonrefillable aerosol containers.
    (5) Lacquer topcoats or their components.
    (6) Touch-up coatings.



Sec. 59.101  Definitions.

    Adhesion promoter means a coating designed to facilitate the bonding 
of a primer or topcoat on surfaces such as trim moldings, door locks, 
and door sills, where sanding is impracticable, and on plastic parts and 
the edges of sanded areas.
    Administrator means the Administrator of the United States 
Environmental Protection Agency (U.S. EPA) or an authorized 
representative.
    Automobile means passenger cars, vans, motorcycles, trucks, and all 
other mobile equipment.

[[Page 293]]

    Automobile refinish coating component means any portion of a 
coating, such as a reducer or thinner, hardener, additive, etc., 
recommended (by its manufacturer or importer) to distributors or end-
users for automobile refinishing. The raw materials used to produce the 
components that are mixed by the end-user to prepare a coating for 
application are not considered automobile refinish coating components. 
Any reference to automobile refinishing made by a manufacturer or 
importer on a container or in product literature constitutes a 
recommendation for automobile refinishing.
    Automobile refinish coating or coating component importer, or 
importer, means any company, group, or individual that brings automobile 
refinish coatings or coating components from a location outside the 
United States into the United States for sale or distribution in the 
United States.
    Automobile refinish coating or coating component manufacturer, or 
manufacturer, means any company, group, or individual that produces or 
packages automobile refinish coatings or coating components for sale or 
distribution in the United States, including an entity which produces or 
packages such coatings or coating components under a private label for 
another party.
    Automobile refinishing means the process of coating automobiles or 
their parts, including partial body collision repairs, that is 
subsequent to the original coating applied at an automobile original 
equipment manufacturing plant.
    Container means the individual receptacle that holds a coating or 
coating component for storage and distribution.
    Cut-in, or jambing, clearcoat means a fast-drying, ready-to-spray 
clearcoat applied to surfaces such as door jambs and trunk and hood 
edges to allow for quick closure.
    Elastomeric coating means a coating designed for application over 
flexible parts, such as elastomeric bumpers.
    Exempt compounds means specific organic compounds that are not 
considered volatile organic compounds due to negligible photochemical 
reactivity. The exempt compounds are specified in Sec. 51.100(s) of 
this chapter.
    Hardener means a coating component specifically designed to promote 
a faster cure of an enamel finish.
    Impact-resistant coating means a coating designed to resist chipping 
caused by road debris.
    Label means any written, printed, or graphic matter affixed to or 
appearing upon any automobile refinish coating or coating component 
container or package for purposes of identifying or giving information 
on the product, use of the product, or contents of the container or 
package.
    Lacquer means a thermoplastic coating which dries primarily by 
solvent evaporation, and which is resoluble in its original solvent.
    Low-gloss coating means a coating which exhibits a gloss reading 
less than or equal to 25 on a 60[deg] glossmeter.
    Mixing instructions means the coating or coating component 
manufacturer's or importer's specification of the quantities of coating 
components for mixing a coating.
    Mobile equipment means any equipment that is physically capable of 
being driven or drawn upon a highway including, but not limited to, the 
following types of equipment: construction vehicles (such as mobile 
cranes, bulldozers, concrete mixers); farming equipment (wheel tractor, 
plow, pesticide sprayer); hauling equipment (truck trailers, utility 
bodies, camper shells); and miscellaneous equipment (street cleaners, 
golf carts).
    Multi-colored topcoat means a topcoat that exhibits more than one 
color, is packaged in a single container, and camouflages surface 
defects on areas of heavy use, such as cargo beds and other surfaces of 
trucks and other utility vehicles.
    Pretreatment wash primer means a primer that contains a minimum of 
0.5 percent acid, by weight, that is applied directly to bare metal 
surfaces to provide corrosion resistance and to promote adhesion of 
subsequent coatings.
    Primer means any coating applied prior to the application of a 
topcoat for the purpose of corrosion resistance and/or adhesion.
    Primer-sealer means any coating applied prior to the application of 
a topcoat for the purpose of corrosion resistance, adhesion of the 
topcoat, and/or

[[Page 294]]

color uniformity and to promote the ability of an undercoat to resist 
penetration by the topcoat.
    Primer-surfacer means any coating applied prior to the application 
of a topcoat for the purpose of filling surface imperfections in the 
substrate, corrosion resistance, and/or adhesion of the topcoat.
    Reducer means any solvent used to thin enamels.
    Underbody coating means a coating designed for protection and sound 
deadening that is typically applied to the wheel wells and underbody of 
an automobile.
    Single-stage topcoat means a topcoat consisting of only one coating.
    Specialty coatings means adhesion promoters, low-gloss coatings, 
bright metal trim repair coatings, jambing (cut-in) clearcoats, 
elastomeric coatings, impact resistant coatings, underbody coatings, 
uniform finish blenders, and weld-through primers.
    Thinner means any solvent used to reduce the viscosity or solids 
content of a coating.
    Three-stage topcoat means a topcoat composed of a pigmented 
basecoat, a midcoat, and a transparent clearcoat.
    Topcoat means any coating or series of coatings applied over a 
primer or an existing finish for the purpose of protection or 
beautification.
    Touch-up coating means a coating applied by brush, air-brush, or 
nonrefillable aerosol can to cover minor surface damage.
    Two-stage topcoat means a topcoat consisting of a pigmented basecoat 
and a transparent clearcoat.
    Uniform finish blender means a coating designed to blend a repaired 
topcoat into an existing topcoat.
    United States means the United States of America, including the 
District of Columbia, Puerto Rico, the Virgin Islands, Guam, American 
Samoa, and Commonwealth of the Northern Mariana Islands.
    Volatile organic compounds or VOC means any compound of carbon, 
other than those organic compounds that the Administrator has excluded 
in 40 CFR part 51, Sec. 51.100 from this definition.
    VOC content means the weight of VOC per volume of coating, 
calculated according to the procedures in Sec. 59.104(a) of this 
subpart.
    Water hold-out coating means a coating applied to the interior 
cavity areas of doors, quarter panels and rocker panels for the purpose 
of corrosion resistance to prolonged water exposure.
    Weld-through primer means a primer that is applied to an area before 
welding is performed, and that provides corrosion resistance to the 
surface after welding has been performed.



Sec. 59.102  Standards.

    (a) Except as provided in Sec. 59.106 of this subpart, any coating 
resulting from the mixing instructions of a regulated entity must meet 
the VOC content limit given in table 1 of this subpart. VOC content is 
determined according to Sec. 59.104(a).
    (b) Different combinations or mixing ratios of coating components 
constitute different coatings. For example, coating components may be 
mixed one way to make a primer, and mixed another way to make a primer 
sealer. Each of these coatings must meet its corresponding VOC content 
limit in table 1 of this subpart. If the same combination and mixing 
ratio of coating components is recommended by a regulated entity for use 
in more than one category in table 1 of this subpart, then the most 
restrictive VOC content limit shall apply.



Sec. 59.103  Container labeling requirements.

    Each regulated entity subject to this subpart must clearly display 
on each automobile refinish coating or coating component container or 
package, the day, month, and year on which the product was manufactured, 
or a code indicating such date.



Sec. 59.104  Compliance provisions.

    (a) For the purpose of determining compliance with the VOC content 
limits in Sec. 59.102(a) of this subpart, each regulated entity shall 
determine the VOC content of a coating using the procedures described in 
paragraph (a)(1) or (a)(2) of this section, as appropriate.
    (1) Determine the VOC content in grams of VOC per liter of coating 
prepared for application according to its

[[Page 295]]

mixing instructions, excluding the volume of any water or exempt 
compounds. VOC content shall be calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR11SE98.000

Where:

VOC content = grams of VOC per liter of coating;
Wv = mass of total volatiles, in grams;
Ww = mass of water, in grams;
Wec = mass of exempt compounds, in grams;
V = volume of coating, in liters;
Vw = volume of water, in liters; and
Vec = volume of exempt compounds, in liters.

    (2) The VOC content of a multi-stage topcoat shall be calculated 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TN23NO98.000

Where:

VOCmulti = VOC content of a multi-stage topcoat, in grams of 
VOC per liter of coating;
VOCbc = VOC content of the basecoat, as determined in 
paragraph (a)(1) or (f) of this section;
VOCmci = VOC content of midcoat i, as determined in paragraph 
(a)(1) or (f) of this section;
VOCcc = VOC content of the clearcoat, as determined in 
paragraph (a)(1) or (f) of this section; and
M = Number of midcoats.

    (b) To determine the composition of a coating in order to perform 
the calculations in paragraph (a) of this section, the reference method 
for VOC content is Method 24 of appendix A of 40 CFR part 60, except as 
provided in paragraph (f) of this section. To determine the VOC content 
of a coating, the regulated entity may use Method 24 of appendix A of 40 
CFR part 60, an alternative method as provided in paragraph (f) of this 
section, or any other reasonable means for predicting that the coating 
has been formulated as intended (e.g., quality assurance checks, 
recordkeeping). However, if there are any inconsistencies between the 
results of a Method 24 test and any other means for determining VOC 
content, the Method 24 test results will govern. The Administrator may 
require the regulated to conduct a Method 24 analysis.
    (c) If a regulated entity recommends that its coating component(s) 
be combined with coating components of another regulated entity, and if 
the coating resulting from such a combination does not comply with the 
VOC content limit in Sec. 59.102 (a) of this subpart, then the former 
regulated entity is out of compliance, unless the entity submits Method 
24 data to the Administrator demonstrating that its recommended 
combination of coating components meets the VOC content limit in Sec. 
59.102(a). If the latter regulated entity does not make the 
recommendation of such use of the coating components, then that entity 
is not out of compliance for purposes of that resulting coating.
    (d) Pretreatment wash primers: Except as provided in paragraph (f) 
of this section, the acid weight percent of pretreatment wash primers 
must be determined using the American Society for Testing and Materials 
Test Method D 1613-96 (incorporated by reference in Sec. 59.110). If 
the pigment in a pretreatment wash primer prevents the use of this test 
method for determining the acid weight percent of the coating, then the 
test method shall be used for the nonpigmented component of the coating, 
and the acid weight percent shall be calculated based on the acid 
content of the nonpigmented component and the mixing ratio of the 
nonpigmented component to the remaining components recommended by the 
regulated entity.
    (e) Low-gloss coatings: Except as provided in paragraph (f) of this 
section, the gloss reading of low-gloss coatings must be determined 
using the American Society for Testing and Materials Test Method D 523-
89 (incorporated by reference in Sec. 59.110).
    (f) The Administrator may approve, on a case-by-case basis, a 
regulated entity's use of an alternative method in lieu of Method 24 for 
determining the VOC content of coatings if the alternative method is 
demonstrated to the Administrator's satisfaction to provide results that 
are acceptable for purposes of determining compliance with this subpart.
    (g) The Administrator may determine a regulated entity's compliance 
with the provisions of this subpart

[[Page 296]]

based on information required by this subpart or any other information 
available to the Administrator.

[63 FR 48815, Sept. 11, 1998; 63 FR 64761, Nov. 23, 1998]



Sec. 59.105  Reporting requirements.

    (a) Each regulated entity must submit an initial report no later 
than January 11, 1999 or within 180 days of the date that the regulated 
entity first manufactures or imports automobile refinish coatings or 
coating components, whichever is later. The initial report must include 
the information in paragraphs (a)(1) through (a)(4) of this section.
    (1) The name and mailing address of the regulated entity.
    (2) An explanation of each date code, if such codes are used to 
represent the date of manufacture, as provided in Sec. 59.103.
    (3) The street address of each of the regulated entity's facilities 
in the United States that is producing, packaging, or importing 
automobile refinish coatings or coating components subject to the 
provisions of this subpart.
    (4) A list of the categories from table 1 of this subpart for which 
the regulated entity recommends the use of automobile refinish coatings 
or coating components.
    (b) Each regulated entity must submit an explanation of any new date 
codes used by the regulated entity no later than 30 days after products 
bearing the new date code are first introduced into commerce.



Sec. 59.106  Variance.

    (a) Any regulated entity that cannot comply with the requirements of 
this subpart because of circumstances beyond its reasonable control may 
apply in writing to the Administrator for a temporary variance. The 
variance application must include the information specified in 
paragraphs (a)(1) through (a)(3).
    (1) The specific grounds upon which the variance is sought.
    (2) The proposed date(s) by which the regulated entity will achieve 
compliance with the provisions of this subpart. This date must be no 
later than 5 years after the issuance of a variance.
    (3) A compliance plan detailing the method(s) by which the regulated 
entity will achieve compliance with the provisions of this subpart.
    (b) Upon receipt of a variance application containing the 
information required in paragraph (a) of this section, the Administrator 
will publish a notice of such application in the Federal Register and, 
if requested by any party, will hold a public hearing to determine 
whether, under what conditions, and to what extent, a variance from the 
requirements of this subpart is necessary and will be granted. If 
requested, a hearing will be held no later than 75 days after receipt of 
a variance application. Notice of the time and place of the hearing will 
be sent to the applicant by certified mail not less than 30 days prior 
to the hearing. At least 30 days prior to the hearing, the variance 
application will be made available to the public for inspection. 
Information submitted to the Administrator by a variance applicant may 
be claimed as confidential. The Administrator may consider such 
confidential information in reaching a decision on a variance 
application. Interested members of the public will be allowed a 
reasonable opportunity to testify at the hearing.
    (c) The Administrator will issue a variance if the criteria 
specified in paragraphs (c)(1) and (c)(2) are met to the satisfaction of 
the Administrator.
    (1) If complying with the provisions of this subpart would not be 
technologically or economically feasible, and
    (2) The compliance plan proposed by the applicant can reasonably be 
implemented and will achieve compliance as expeditiously as possible.
    (d) Any variance will specify dates by which the regulated entity 
will achieve increments of progress towards compliance, and will specify 
a final compliance date by which the regulated entity will achieve 
compliance with this subpart.
    (e) A variance will cease to be effective upon failure of the party 
to whom the variance was issued to comply with any term or condition of 
the variance.
    (f) Upon the application of any party, the Administrator may review 
and, for good cause, modify or revoke a variance after holding a public 
hearing in

[[Page 297]]

accordance with the provisions of paragraph (b) of this section.



Sec. 59.107  Addresses of EPA Regional Offices.

    All requests, reports, submittals, and other communications to the 
Administrator pursuant to this regulation shall be submitted to the 
Regional Office of the EPA which serves the State or territory in which 
the corporate headquarters of the regulated entity resides. These areas 
are indicated in the following list of EPA Regional Offices.

EPA Region I (Connecticut, Maine, Massachusetts, New Hampshire, Rhode 
Island, Vermont), Director, Office of Environmental Stewardship, 
Mailcode: SAA, JFK Building, Boston, MA 02203.
EPA Region II (New Jersey, New York, Puerto Rico, Virgin Islands), 
Director, Division of Enforcement and Compliance Assistance, 290 
Broadway, New York, NY 10007-1866.
EPA Region III (Delaware, District of Columbia, Maryland, Pennsylvania, 
Virginia, West Virginia), Air Protection Division, 1650 Arch Street, 
Philadelphia, PA 19103.
EPA Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina, Tennessee), Director, Air, Pesticides and 
Toxics, Management Division, 345 Courtland Street, NE., Atlanta, GA 
30365.
EPA Region V (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin), 
Director, Air and Radiation Division, 77 West Jackson Blvd., Chicago, IL 
60604-3507.
EPA Region VI (Arkansas, Louisiana, New Mexico, Oklahoma, Texas), 
Director, Air, Pesticides and Toxics Division, 1445 Ross Avenue, Dallas, 
TX 75202-2733.
EPA Region VII (Iowa, Kansas, Missouri, Nebraska), Director, Air and 
Toxics Division, 726 Minnesota Avenue, Kansas City, KS 66101.
EPA Region VIII (Colorado, Montana, North Dakota, South Dakota, Utah, 
Wyoming), Director, Air and Toxics Division, 999 18th Street, 1 Denver 
Place, Suite 500, Denver, Colorado 80202-2405.
EPA Region IX (American Samoa, Arizona, California, Guam, Hawaii, 
Nevada), Director, Air and Toxics Division, 75 Hawthorne Street, San 
Francisco, CA 94105.
EPA Region X (Alaska, Oregon, Idaho, Washington), Director, Air and 
Toxics Division, 1200 Sixth Avenue, Seattle, WA 98101.



Sec. 59.108  State Authority.

    The provisions in this regulation shall not be construed in any 
manner to preclude any State or political subdivision thereof from:
    (a) Adopting and enforcing any emission standard or limitation 
applicable to a manufacturer or importer of automobile refinish coatings 
or components in addition to the requirements of this subpart.
    (b) Requiring the manufacturer or importer of automobile refinish 
coatings or components to obtain permits, licenses, or approvals prior 
to initiating construction, modification, or operation of a facility for 
manufacturing an automobile refinish coating component.



Sec. 59.109  Circumvention.

    Each manufacturer and importer of any automobile refinish coating or 
component subject to the provisions of this subpart must not alter, 
destroy, or falsify any record or report, to conceal what would 
otherwise be noncompliance with this subpart. Such concealment includes, 
but is not limited to, refusing to provide the Administrator access to 
all required records and date-coding information, altering the VOC 
content of a coating or component batch, or altering the results of any 
required tests to determine VOC content.



Sec. 59.110  Incorporations by Reference.

    (a) The following material is incorporated by reference in the 
paragraphs noted in Sec. 59.104. These incorporations by reference were 
approved by the Director of the Federal Register in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated as 
they exist on the date of the approval, and notice of any changes in 
these materials will be published in the Federal Register.
    (1) ASTM D 1613-96, Standard Test Method for Acidity in Volatile 
Solvents and Chemical Intermediates Used in Paint, Varnish, Lacquer, and 
Related Products, IBR approved for Sec. 59.104(d).
    (2) ASTM D 523-89, Standard Test Method for Specular Gloss, IBR 
approved for Sec. 59.104(e).
    (b) The materials are available for inspection at the Air and 
Radiation Docket and Information Center, U.S. EPA, 401 M St., SW., 
Washington, DC; and at the EPA Library (MD-35), U.S. EPA, Research 
Triangle Park, North Carolina, or at the National Archives

[[Page 298]]

and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. The materials are available for purchase from the 
following address: American Society for Testing and Materials (ASTM), 
100 Barr Harbor Drive, West Conshohocken, PA, 19428, telephone number 
(610) 832-9500.

[64 FR 48815, Sept. 11, 1998, as amended at 69 FR 18803, Apr. 9, 2004]



Sec. 59.111  Availability of information and confidentiality.

    (a) Availability of information. The availability to the public of 
information provided to or otherwise obtained by the Administrator under 
this part shall be governed by part 2 of this chapter.
    (b) Confidentiality. All confidential business information entitled 
to protection under section 114(c) of the Act that must be submitted or 
maintained by each regulated entity pursuant to this section shall be 
treated in accordance with 40 CFR part 2, subpart B.

Table 1 to Subpart B of Part 59--Volatile Organic Compound (VOC) Content 
                 Limits for Automobile Refinish Coatings

------------------------------------------------------------------------
                                                              Pounds VOC
               Coating category                  Grams VOC    per gallon
                                                 per liter        a
------------------------------------------------------------------------
Pretreatment wash primers.....................          780          6.5
Primers/primer surfacers......................          580          4.8
Primer sealers................................          550          4.6
Single/two-stage topcoats.....................          600          5.0
Topcoats of more than two stages..............          630          5.2
Multi-colored topcoats........................          680          5.7
Specialty coatings............................          840          7.0
------------------------------------------------------------------------
a English units are provided for information only. Compliance will be
  determined based on the VOC content limit, as expressed in metric
  units.



  Subpart C_National Volatile Organic Compound Emission Standards for 
                            Consumer Products

    Source: 63 FR 48831, Sept. 11, 1998, unless other noted.



Sec. 59.201  Applicability and designation of regulated entity.

    (a) The provisions of the subpart apply to consumer products 
manufactured or imported on or after December 10, 1998 for sale or 
distribution in the United States.
    (b) The regulated entity is: the manufacturer or importer of the 
product; and any distributor that is named on the product label. The 
manufacturer or importer of the product is a regulated entity for 
purposes of compliance with the volatile organic compounds (VOC) content 
or emission limits in Sec. 49.203, regardless of whether the 
manufacturer or importer is named on the label or not. The distributor, 
if named on the label, is the regulated entity for purposes of 
compliance with all sections of this part except for Sec. 59.203. 
Distributors whose names do not appear on the label are not regulated 
entities. If no distributor is named on the label, then the manufacturer 
or importer is responsible for compliance with all sections of this 
part.
    (c) The provisions of this subpart do not apply to consumer products 
that meet the criteria specified in paragraph (c)(1) through (c)(7) of 
this section.
    (1) Any consumer product manufacturer in the United States for 
shipment and use outside of the United States.
    (2) Insecticides and air fresheners containing at least 98-percent 
paradichlorobenzene or at least 98-percent naphthalene.
    (3) Adhesives sold in containers of 0.03 liter (1 ounce) or less.
    (4) Bait station insecticides. For the purpose of this subpart, bait 
station insecticides are containers enclosing an insecticidal bait that 
does not weigh

[[Page 299]]

more than 14 grams (0.5 ounce), where bait is designed to be ingested by 
insects and is composed of solid material feeding stimulants with less 
than 5-percent by weight active ingredients.
    (5) Air fresheners whose VOC constituents, as defined in Sec. Sec. 
59.202 and 59.203(f), consist of 100-percent fragrance.
    (6) Non-aerosol moth proofing products that are principally for the 
protection of fabric from damage by moths and other fabric pests in 
adult, juvenile, or larval forms.
    (7) Flooring seam sealers used to join or fill the seam between two 
adjoining pieces of flexible sheet flooring.



Sec. 59.202  Definitions.

    The terms used in this subpart are defined in the Clean Air Act 
(Act) or in this section as follows:
    Administrator means the Administrator of the United States 
Environmental Protection Agency (EPA) or an authorized representative.
    Aerosol cooking spray means any aerosol product designed either to 
reduce sticking on cooking and baking surfaces or to be directly applied 
on food for the purpose of reducing sticking on cooking and baking 
surfaces, or both.
    Aerosol product means a product characterized by a pressurized spray 
system that dispenses product ingredients in aerosol form by means of a 
propellant (i.e., a liquefied or compressed gas that is used in whole or 
in part, such as a co-solvent, to expel a liquid or any other material 
from the same self-pressurized container or from a separate container) 
or mechanically induced force. ``Aerosol product'' does not include pump 
sprays.
    Agricultural use means the use of any pesticide or method or device 
for the control of pests in connection with the commercial production, 
storage, or processing of any animal or plant crop. ``Agricultural use'' 
does not include the sale or use of pesticides in properly labeled 
packages or containers that are intended for:
    (1) Household use;
    (2) Use in structural pest control; or
    (3) Institutional use.
    Air freshener means any consumer product including, but not limited 
to, sprays, wicks, powders, and crystals designed for the purpose of 
masking odors, or freshening, cleaning, scenting, or deodorizing the 
air. This does not include products that are used on the human body, 
products that function primarily as cleaning products, disinfectant 
products claiming to deodorize by killing germs on surfaces, or 
institutional/industrial disinfectants when offered for sale solely 
through institutional and industrial channels of distribution. It does 
include spray disinfectants and other products that are expressly 
represented for use as air fresheners, except institutional and 
industrial disinfectants when offered for sale through institutional and 
industrial channels of distribution. To determine whether a product is 
an air freshener, all verbal and visual representations regarding 
product use on the label or packaging and in the product's literature 
and advertising may be considered. The presence of, and representations 
about, a product's fragrance and ability to deodorize (resulting from 
surface application) shall not constitute a claim of air freshening.
    All other forms means all consumer product forms for which no form-
specific VOC standard is specified. Unless specified otherwise by the 
applicable VOC standard, ``all other forms'' include, but are not 
limited to, solids,liquids, wicks, powders, crystals, and cloth or paper 
wipes (towelettes).
    Automotive windshield washer fluid means any liquid designed for use 
in a motor vehicle windshield washer system either as an antifreeze or 
for the purpose of cleaning, washing, or wetting the windshield. 
``Automotive windshield washer fluid'' does not include fluids placed by 
the manufacturer in a new vehicle.
    Bathroom and tile cleaner means a product designed to clean tile or 
surfaces in bathrooms. ``Bathroom and tile cleaner'' does not include 
products specifically designed to clean toilet bowls or toilet tanks.
    Carburetor and choke cleaner means a product designed to remove dirt 
and other contaminants from a carburetor or choke. ``Carburetor and 
choke cleaner'' does not include products designed to be introduced 
directly into the fuel

[[Page 300]]

lines or fuel storage tank prior to introduction into the carburetor, or 
solvent use regulated under 40 CFR part 63, subpart T (halogenated 
solvent national emission standards for hazardous air pollutants 
(NESHAP)).
    Charcoal lighter material means any combustible material designed to 
be applied on, incorporated in, added to, or used with charcoal to 
enhance ignition. ``Charcoal lighter material'' does not include any of 
the following:
    (1) Electrical starters and probes;
    (2) Metallic cylinders using paper tinder;
    (3) Natural gas; and
    (4) Propane.
    Construction and panel adhesive means any one-component household 
adhesive having gap-filling capabilities that distributes stress 
uniformly throughout the bonded area resulting in a reduction or 
elimination of mechanical fasteners.
    Consumer means any person who purchases or acquires any consumer 
product for personal, family, household, or institutional use. Persons 
acquiring a consumer product for resale are not ``consumers'' of that 
product.
    Consumer product means any household or institutional product 
(including paints, coatings, and solvents), or substance, or article 
(including any container or packaging) held by any person, the use, 
consumption, storage, disposal, destruction, or decomposition of which 
may result in the release of VOC. For the purposes of this subpart, 
consumer product means any product listed in tables 1 or 2 of this 
subpart.
    Contact adhesive means any household adhesive that:
    (1) When applied to two substrates, forms an instantaneous, 
nonrepositionable bond;
    (2) When dried to touch, exhibits a minimum 30-minute bonding range; 
and
    (3) Bonds only to itself without the need for reactivation by 
solvents or heat.
    Container or packaging means the part or parts of the consumer 
product that serve only to contain, enclose, incorporate, deliver, 
dispense, wrap, or store the chemically formulated substance or mixture 
of substances that is solely responsible for accomplishing the purposes 
for which the product was designed or intended. ``Container or 
packaging'' includes any article onto or into which the principal 
display panel is incorporated, etched, printed, or attached.
    Crawling bug insecticide means any insecticide product that is 
designed for use against crawling arthropods including, but not limited 
to, ants, cockroaches, mites (but not house dust mites), silverfish, or 
spiders. ``Crawling bug insecticide'' does not include products for 
agricultural use or products designed to be used exclusively on humans 
or animals.
    Distributor means any person to whom a consumer product is sold or 
supplied for the purposes of resale or distribution in commerce.
    Double-phase aerosol air freshener means an aerosol air freshener 
with liquid contents in two or more distinct phases that requires the 
product container to be shaken before use to mix the phases, producing 
an emulsion.
    Dusting aid means a product designed to assist in removing dust and 
other soils from floors and other surfaces without leaving a wax or 
silicone-based coating. ``Dusting aid'' does not include products that 
consist entirely of compressed gases for use in electronic or other 
specialty areas.
    Engine degreaser means a cleaning product designed to remove grease, 
grime, oil, and other contaminants from the external surfaces of engines 
and other mechanical parts. ``Engine degreaser'' does not include any 
solvent used in parts washing equipment, or any solvent use regulated 
under 40 CFR part 63, subpart T (halogenated solvent NESHAP).
    Fabric protectant means a product designed to be applied to fabric 
substrates to protect the surface from soiling from dirt and other 
impurities or to reduce absorption of water into the fabric's fibers. 
``Fabric protectant'' does not include silicone-based products whose 
function is to provide water repellency, or products designed for use 
solely on fabrics that are labeled ``dry clean only.''
    Flea and tick insecticide means any insecticide product that is 
designed for

[[Page 301]]

use against fleas, ticks, and their larvae, or their eggs. ``Flea and 
tick insecticide'' does not include products that are designed to be 
used exclusively on humans or animals or their bedding.
    Flexible flooring material means asphalt, cork, linoleum, no-wax, 
rubber, seamless vinyl, and vinyl composite flooring.
    Floor polish or wax means a wax, polish, or any other product 
designed to polish, protect, or enhance floor surfaces by leaving a 
protective coating that is designed to be periodically replenished. 
``Floor polish or wax'' does not include ``spray buff products,'' 
products designed solely for the purpose of cleaning floors, floor 
finish strippers, products designed for unfinished wood floors, and 
coatings subject to 40 CFR part 59, subpart D--National Volatile Organic 
Compound Emission Standards for Architectural Coatings.
    Floor seam sealer means any low viscosity specialty adhesive used in 
small quantities for the sole purpose of bonding adjoining rolls of 
installed flexible sheet flooring or to fill any minute gaps between and 
adjoining rolls.
    Flying bug insecticide means any insecticide product that is 
designed for use against flying insects including, but not limited to, 
flies, mosquitoes, and gnats. ``Flying bug insecticide'' does not 
include ``wasp and hornet insecticide'' or products that are designed to 
be used exclusively on humans or animals or their bedding.
    Fragrance means a substance or mixture of aroma chemicals, natural 
essential oils, and other functional components that is added to a 
consumer product to impart an order or scent, or to counteract a 
malodor.
    Furniture maintenance product means a wax, polish, conditioner, or 
any other product designed for the product designed for the purpose of 
polishing, protecting, or enhancing finished wood surfaces other than 
floors. Furniture maintenance product'' does not include dusting aids, 
products designed solely for the purpose of cleaning, and products 
designed to leave a permanent finish such as stains, sanding sealers, 
and lacquers.
    Gel means a colloid in which the dispersed phase has combined with 
the continuous phase to produce a semisolid material, such as jelly.
    General purpose adhesive means any nonaerosol household adhesive 
designed for use on a variety of substrates. General purpose adhesives 
do not include contact adhesives or construction and panel adhesives.
    General purpose cleaner means a product designed for general all-
purpose cleaning, in contrast to cleaning products designed to clean 
specific substrates in certain situations. ``General purpose cleaner'' 
includes products designed for general floor cleaning, kitchen or 
countertop cleaning, and cleaners designed to be used on a variety of 
hard surfaces.
    Glass cleaner means a cleaning product designed primarily for 
cleaning surfaces made of glass. Glass cleaner does not include products 
designed solely for the purpose of cleaning optical materials used in 
eyeglasses, photographic equipment, scientific equipment, and 
photocopying machines.
    Hair mousse means a hairstyling foam designed to facilitate styling 
of a coiffure and provide limited holding power.
    Hair styling gel means a high-viscosity, often gelatinous product 
that contains a resin and is designed for the application to hair to aid 
in styling and sculpting of the hair coiffure.
    Hairspray means a consumer product designed primarily for the 
purpose of dispensing droplets of a resin on and into a hair coiffure to 
impart sufficient rigidity to the coiffure to establish or retain the 
style for a period of time.
    High-volatility organic compound or HVOC means any organic compound 
that exerts a vapor pressure greater than 80 millimeters of mercury when 
measured at 20 degrees Celsius.
    Household adhesive means any household product that is used to bond 
one surface to another by attachment. ``Household adhesive'' does not 
include products used on humans or animals, adhesive tape, contact 
paper, wallpaper shelf liners, or any other product with an adhesive 
incorporated onto or in an inert substrate.
    Household product means any consumer product that is primarily 
designed to be used inside or outside of living quarters or residences, 
including

[[Page 302]]

the immediate surroundings, that are occupied or intended for occupation 
by individuals.
    Household use means use of a product in a home or its immediate 
environment.
    Importer means any person who brings a consumer product that was 
manufactured, filled, or packaged at a location outside of the United 
States into the United States for sale or distribution in the United 
States.
    Industrial use means use for, or in, a manufacturing, mining, or 
chemical process or use in the operation of factories, processing 
plants, and similar sites.
    Insecticide means a pesticide product that is designed for use 
against insects or other arthropods, excluding any product that is:
    (1) For agricultural use; or
    (2) A restricted use pesticide.
    Insecticide fogger means any insecticide product designed to release 
all or most of its content as a fog or mist into indoor areas during a 
single application. Foggers may target a variety of pests including (but 
not limited to) fleas and ticks, crawling insects, lawn and garden 
pests, and flying insects. Foggers are not subject to the specific VOC 
limitations or other categories of insecticides list in table 1 of this 
subpart.
    Institutional product means a consumer product that is designed for 
use in the maintenance or operation of an establishment that 
manufactures, transports, or sells goods or commodities, or provides 
services for profit; or is engaged in the nonprofit promotion of a 
particular public, educational, or charitable cause. ``Establishments'' 
include, but are not limited to, government agencies, factories, 
schools, hospitals, sanitariums, prisons, restaurants, hotels, stores, 
automobile service and parts centers, health clubs, theaters, or 
transportation companies. ``Institutional product'' does not include 
household products and products that are incorporated into or used 
exclusively in the manufacture or construction of the goods or 
commodities that are produced by the establishment.
    Institutional use means use within the confines of or on property 
necessary for the operation of buildings' including, but not limited to, 
government agencies, factories, sanitariums, prisons, restaurants, 
hotels, stores, automobile service and parts centers, health clubs, 
theaters, transportation companies, hospitals, schools, libraries, 
auditoriums, and office complexes.
    Label means any written, printed, or graphic matter affixed to, 
applied to, attached to, blown into, formed, molded into, embossed on, 
or appearing upon any consumer product package for purposes of branding, 
identifying, or giving information with respect to the product or to the 
contents of the package.
    Laundry prewash means a product that is designed for application to 
a fabric prior to laundering and that supplements and contributes to the 
effectiveness of laundry detergents and/or provides specialized 
performance.
    Laundry starch product means a product that is designed for 
application to a fabric, either during or after laundering, to impart 
and prolong a crisp look and may also facilitate ironing of the fabric. 
``Laundry starch product'' includes, but it not limited to, fabric 
finish, sizing, and starch.
    Lawn and garden insecticide means an insecticide product designed 
primarily to be used in household lawn and garden areas to protect 
plants from insects or other arthropods.
    Liquid means a substance or mixture of substances that flows 
readily, but, unlike a gas, does not expand indefinitely (i.e., a 
substance with constant volume but not constant shape). ``Liquid'' does 
not include powders or other materials that are composed entirely of 
solid particles.
    Manufacturer means any person who manufacturers or processes a 
consumer product. Manufacturers include:
    (1) Processors who blend and mix consumer products,
    (2) Contract fillers who develop formulas and package these formulas 
under a distributor's label;
    (3) Contract fillers who manufacture products using formulas 
provided by a distributor; and
    (4) Distributors who specify formulas to be used by a contract 
filler or processor.

[[Page 303]]

    Nail polish remover means a product designed to remove nail polish 
or coatings from fingernails or toenails.
    Nonagricultural pesticide means and includes any substance or 
mixture of substances that is a pesticide as defined in section 2(u) of 
the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136-
136y).
    Nonresilient flooring means floor of a mineral content that is not 
flexible. ``Nonresilient flooring'' includes, but is not limited to, 
terrazzo, marble, slate, granite, brick, stone, ceramic tile, and 
concrete.
    Oven cleaner means any cleaning product designed to clean and to 
remove dried food deposits from oven interiors.
    Person means an individual corporation, partnership, association, 
State, any agency, department, or instrumentality of the United States, 
and any officer, agent, or employee thereof.
    Principal display panel(s) means that part, or those parts, of a 
label that are so designed as to most likely be displayed, presented, 
shown, or examined under normal and customary conditions of display or 
purchase. Whenever a principal display panel appears more than once, all 
requirements pertaining to the ``principal display panel'' shall pertain 
to all such ``principal display panels.''
    Product category means that applicable category which best describes 
the product as listed in tables 1 or 2 of this subpart and which appears 
on the product's principal display panel.
    Product form means the form that most accurately describes the 
product's dispensing from including aerosols, gels, liquids, pump 
sprays, and solids.
    Pump spray means a packaging system in which the product ingredients 
are expelled only while a pumping action is applied to a button, 
trigger, or other actuator. Pump spray product ingredients are not under 
pressure.
    Representative consumer product means a consumer product that is 
subject to the same VOC limit in Sec. 59.203 as the innovative product.
    Restricted use pesticide means a pesticide that has been classified 
for restricted use under the provisions of section 3(d) of the Federal 
Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136-136y).
    Shaving cream means an aerosol product that dispenses a foam lather 
intended to be used with a blade or cartridge razor, or other wet-
shaving system in the removal of facial or other body hair.
    Single-phase aerosol air freshener means an aerosol air freshener 
with liquid contents in a single homogeneous phase that does not require 
that the product container be shaken before use.
    Solid means a substance or mixture of substances that does not flow 
or expand readily (i.e., a substance with constant volume such as the 
particles constituting a powder). ``Solid'' does not include liquids or 
gels.
    Spray buff product means a product designed to restore a worn floor 
finish in conjunction with a floor buffing machine and special pad.
    Structural waterproof adhesive means an adhesive whose bond lines 
are resistant to conditions of continuous immersion in fresh or salt 
water, and that conforms with Federal Specification MMM-A-181 (Type 1, 
Grade A), and MIL-A-4605 (Type A, Grade A and Grade C).
    Underarm antiperspirant means any aerosol product that is intended 
by the manufacturer to be used to reduce perspiration in the human 
axilla by at least 20 percent in at least 50 percent of a target 
population.
    Underarm deodorant means any aerosol product that is intended by the 
manufacturer to be used minimize odor in the human axilla by retarding 
the growth of bacteria that cause the decomposition of perspiration.
    United States means the United States of America, including the 
District of Columbia, the Commonwealth of Puerto Rico, the Virgin 
Islands, Guam, American Samoa, and the Commonwealth of the Northern 
Mariana Islands.
    Usage directions means the text or graphics on the consumer 
product's label or accompanying literature that describes to the end 
user how and in what quantity the product is to be used.
    Volatile organic compound or VOC means any compound that meets the

[[Page 304]]

definition of a VOC, as defined under 40 CFR part 51, subpart F, and in 
subsequent amendments.
    Wasp and hornet insecticide means any insecticide product that is 
designed for use against wasps, hornets, yellow jackets, or bees by 
allowing the user to spray a high-volume directed stream or burst from a 
safe distance at the intended pest or its hiding place.
    Wax means an organic mixture or compound with low melting point and 
high molecular weight, which is solid at room temperature. Waxes are 
generally similar in composition to fats and oils except that they 
contain no glycerides. ``Wax'' includes, but is not limited to, 
substances such as carnauba wax, lanolin, and beeswax derived from the 
secretions of plants and animals; substances of a mineral origin such as 
ozocerite, montan, and paraffin; and synthetic substances such as 
chlorinated naphthalenes and ethylenic polymers.
    Wood floor wax means wax-based products for use solely on wood 
floors.

[63 FR 48815, Sept. 11, 1998; 63 FR 52319, Sept. 30, 1998]



Sec. 59.203  Standards for consumer products.

    (a) The manufacturer or importer of any consumer product subject to 
this subpart small ensure that the VOC content levels in table 1 of this 
subpart and HVOC content levels in table 2 of this subpart are not 
exceeded for any consumer product manufactured or imported on or after 
December 10, 1998, except as provided in paragraphs (b) and (c) of this 
section, or in Sec. Sec. 59.204 or 59.206.
    (b) For consumer products for which the label, packaging, or 
accompanying literature specifically states that the product should be 
diluted prior to use, the VOC content limits specified in paragraph (a) 
of this section shall apply to the product only after the minimum 
recommended dilution has taken place. For purposes of this paragraph, 
``minimum recommended dilution'' shall not include recommendations for 
incidental use of a concentrated product to deal with limited special 
applications such as hard-to-remove soils or stains.
    (c) For those consumer products that are registered under the 
Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. section 
136-136y) (FIFRA), the compliance date of the VOC standards specified in 
paragraph (a) of this section is December 10, 1999.
    (d) The provisions specified in paragraphs (d)(1) through (d)(4) of 
this section apply to charcoal lighter materials.
    (1) No person shall manufacture or import any charcoal lighter 
material after December 10, 1998 that emits, on average, greater than 9 
grams of VOC per start, as determined by the procedures specified in 
Sec. 59.208.
    (2) The regulated entity for a charcoal lighter material shall label 
the product with usage directions that specify the quantity of charcoal 
lighter material per pound of charcoal that was used in the testing 
protocol specified in Sec. 59.208 for that product unless the 
provisions in either paragraph (e)(2)(i) or (e)(2)(ii) of this section 
apply.
    (i) The charcoal lighter material is intended to be used in fixed 
amounts independent of the amount of charcoal used, such as paraffin 
cubes; or
    (ii) The charcoal lighter material is already incorporated into the 
charcoal, such as certain ``bag light,'' ``instant light,'' or ``match 
light'' products.
    (3) Records of emission testing results for all charcoal lighter 
materials must be made available upon request to the Administrator for 
enforcement purposes within 30 days of receipt of such requests.
    (4) If a manufacturer or importer has submitted records of emission 
testing of a charcoal lighter material to a State or local regulatory 
agency, such existing records may be submitted under paragraph (d)(3) of 
this section in lieu of new test data, provided the product formulation 
is unchanged from that which was previously tested. Such previous 
testing must have been conducted in accordance with the test protocol 
described in Sec. 59.208 or a test protocol that is approved by the 
Administrator as an alternate.
    (e) Fragrances incorporated into a consumer product up to a combined 
level of 2 weight-percent shall not be

[[Page 305]]

included in the weight-percent VOC calculation.
    (f) The VOC content limits in table 1 of this subpart shall not 
include any VOC that:
    (1) Has a vapor pressure of less than 0.1 millimeters of mercury at 
20 degrees Celsius; or
    (2) Consists of more than 12 carbon atoms, if the vapor pressure is 
unknown; or
    (3) Has a melting point higher than 20 degrees Celsius and does not 
sublime (i.e., does not change directly from a solid into a gas without 
melting), if the vapor pressure is unknown.
    (g) The requirements of paragraph (a) of this Section shall not 
apply to those VOC in antiperspirants or deodorants that contain more 
than 10 carbon atoms per molecule and for which the vapor pressure is 
unknown, or that have a vapor pressure of 2 millimeters of mercury or 
less at 20 degrees Celsius.
    (h) a manufacturer or importer may use the vapor pressure 
information provided by the raw material supplier as long as the 
supplier uses a method to determine vapor pressure that is generally 
accepted by the scientific community.
    (i) For hydrocarbon solvents that are complex mixtures of many 
different compounds and that are supplied on a specification basis for 
use in a consumer product, the vapor pressure of the hydrocarbon blend 
may be used to demonstrate compliance with the VOC content limits of 
this section. Identification of the concentration and vapor pressure for 
each such component in the blend is not required for compliance with 
this subpart.



Sec. 59.204   Innovative product provisions.

    (a) Upon notification to the Administrator, a consumer product that 
is subject to this subpart may exceed the applicable limit in table 1 or 
2 of this subpart if the regulated entity demonstrates that, due to some 
characteristic of the product formulation, design, delivery systems, or 
other factors, the use of the product will result in equal or less VOC 
emissions that specified in paragraph (a)(1) or (a)(2) of this section.
    (1) The VOC emissions from a representative consumer product, as 
described in Sec. 59.202, that complies with the VOC standards 
specified in Sec. 59.203(a); or
    (2) The calculated VOC emissions from a noncomplying representative 
product, if the product had been reformulated to comply with the VOC 
standards specified in Sec. 59.203(a). The VOC emissions shall be 
calculated by using Equation 1.
[GRAPHIC] [TIFF OMITTED] TR11SE98.002

Where

ER=The VOC emissions from the noncomplying representative 
product, had it been reformulated.
ENC=The VOC emissions from the noncomplying representative 
product in its current formulation.
VOCSTD=The VOC standard specified in Sec. 59.203(a).
VOCNC=The VOC content of the noncomplying product in its 
current formulation.

    (b) If a regulated entity demonstrates to the satisfaction of the 
Administrator that the equation in paragraph (a)(2) of the this section 
yields inaccurate results due to some characteristic of the product 
formulation or other factors, an alternate method that accurately 
calculates emissions may be used upon approval of the Administrator.
    (c) A regulated entity shall notify the Administrator in writing of 
its intent to enter into the market an innovative product meeting the 
requirements of paragraph (a) of this section. The Administrator must 
receive the written notification by the time the innovative product is 
available for sale or distribution to consumers. Notification shall 
include the information specified in paragraph (c)(1) and (c)(2) of this 
section.
    (1) Supporting documentation that demonstrates the emissions from 
the innovate product, including the actual physical test methods used to 
generate the data and, if necessary, the consumer testing undertaken to 
document product usage;
    (2) Any information necessary to enable the Administrator to 
establish enforceable conditions for the innovative product, including 
the VOC content of the innovative product expressed as a

[[Page 306]]

weight-percentage, and test methods for determining the VOC content.
    (d) At the option of the regulated entity, the regulated entity may 
submit a written request for the Administrator's written concurrence 
that the innovative product fulfills the requirements of paragraph (a) 
of this section. If such a request is made, the Administrator will 
respond as specified in paragraphs (d)(1) through (d)(3) of this 
section.
    (1) The Administrator will determine within 30 days of receipt 
whether the documentation submitted in accordance with paragraph (d) of 
this section is complete.
    (2) The Administrator will determine whether the innovative product 
shall be exempt from the requirements of Sec. 59.203(a) within 90 days 
after an application has been deemed complete. The applicant and the 
Administrator may mutually agree to a longer time period for reaching a 
decision, and additional supporting documentation may be submitted by 
the applicant before a decision has been reached. The Administrator will 
notify the applicant of the decision in writing and specify such terms 
and conditions that are necessary to insure that emissions from the 
product will meet the emissions reductions specified in paragraph (a) of 
this section, and that such emissions reductions can be enforced.
    (3) If an applicant has been granted an exemption to a State or 
local regulation for an innovative product by a State or local agency 
whose criteria for exemption meet or exceed those provided for in this 
section, the applicant may submit the factual basis for such an 
exemption as part of the documentation required under paragraph (d) of 
this section. In such case, the Administrator will make the 
determination required under this paragraph within 45 days after the 
applications is considered complete.
    (e) In granting an exemption for a product, the Administrator will 
establish conditions that are enforceable. These conditions may include 
the VOC content of the innovative product, dispensing rates, application 
rates, and any other parameters determined by the Administrator to be 
necessary. The Administrator will also specify the test methods for 
determining conformance to the conditions established, including 
criteria for reproducibility, accuracy, and sampling and laboratory 
procedures.
    (f) For any product for which an exemption has been granted pursuant 
to this section, the regulated entity to whom the exemption was granted 
shall notify the Administrator in writing within 30 days after any 
change in the product formulation or recommended product usage 
directions, and shall also notify the Administrator within 30 days after 
the regulated entity learns of any information that would alter the 
emissions estimates submitted to the Administrator in support of the 
exemption application.
    (g) If lower VOC content limits are promulgated for a product 
category through any subsequent rulemaking, all exemptions granted under 
this section for products in the product category shall no longer apply 
unless the innovative product has been demonstrated to have VOC 
emissions less than the applicable revised VOC content limits.
    (h) If the Administrator determines that a consumer product for 
which an exemption has been granted no longer meets the VOC emissions 
criteria specified in paragraph (a) of this section for an innovative 
product, the Administrator may modify or revoke the exemption as 
necessary to assure that the product will meet these criteria. The 
Administrator will not modify or revoke an exemption without first 
affording the applicant an opportunity for a public hearing to determine 
if the exemption should be modified or revoked.

[63 FR 48815, Sept. 11, 1998; 63 FR 52319, Sept. 30, 1998]



Sec. 59.205  Labeling.

    (a) The container or package of each consumer product that is 
subject to this subpart shall clearly display the day, month, and year 
on which the product was manufactured, or a code indicating such date. 
The requirements of this provision shall not apply to products that are 
offered to consumers free of charge for the purposes of sampling the 
product.

[[Page 307]]

    (b) In addition, the container or package for each charcoal lighter 
material that is subject to this subpart shall be labeled according to 
the provisions of Sec. 59.203(d)(2).



Sec. 59.206   Variances.

    (a) Any regulated entity who cannot comply with the requirements of 
this subpart because of extraordinary circumstances beyond reasonable 
control may apply in writing to the Administrator for a variance. The 
variance application shall include the information specified in 
paragraph (a)(1) through (a)(3) of this section.
    (1) The specific grounds up on which the variance is sought,
    (2) The proposed date(s) by which compliance with the provisions of 
this subpart will be achieved. Such date(s) shall be no later than 5 
years after the issuance of a variance; and
    (3) A compliance plan detailing the method(s) by which compliance 
will be achieved.
    (b) Upon receipt of a variance application containing the 
information required in paragraph (a) of this section, the Administrator 
will publish a notice of such application in the Federal Register and, 
if requested by any party, will hold a public hearing to determine 
whether, under what conditions, and to what extent, a variance from the 
requirements of this subpart is necessary and will be granted. If 
requested, a hearing will be held no later than 75 days after receipt of 
a variance application. Notice of the time and place of the hearing will 
be sent to the applicant by certified mail not less than 30 days prior 
to the hearing. At least 30 days prior to the hearing, the variance 
application will be made available to the public for inspection. 
Information submitted to the Administrator by a variance applicant may 
be claimed as confidential. The Administrator may consider such 
confidential information in reaching a decision on a variance 
application. Interested members of the public will be allowed a 
reasonable opportunity to testify at the hearing.
    (c) The Administrator will grant a variance if the criteria 
specified in paragraphs (c)(1) and (c)(2) of this section are met.
    (1) If there are circumstances beyond the reasonable control of the 
applicant so that complying with the provisions of this subpart by the 
compliance date would not be technologically or economically feasible, 
and
    (2) The compliance plan proposed by the applicant can be implemented 
and will achieve compliance as expeditiously as possible.
    (d) Any variance order will specify a final compliance date by which 
the requirements of this subpart will be achieved and increments of 
progress necessary to assure timely compliance.
    (e) A variance shall cease to be effective upon failure of the 
regulated entity to comply with any term or condition of the variance.
    (f) Upon the application of any party, the Administrator may review, 
and for good cause, modify or revoke a variance after holding a public 
hearing in accordance with the procedures described in paragraph (b) of 
this section.



Sec. 59.207  Test methods.

    Each manufacturer or importer subject to the provisions of Sec. 
59.203(a) shall demonstrate compliance with the requirements of this 
subpart through calculation of the VOC content using records of the 
amounts of constituents used to manufacture the product.



Sec. 59.208  Charcoal lighter material testing protocol.

    (a) Each manufacturer or importer of charcoal lighter material 
subject to this subpart shall demonstrate compliance with the applicable 
requirements of Sec. 59.203(d) using the procedures specified in this 
section. Any lighter material that has received certification from 
California South Coast Air Quality Management District (SCAQMD) under 
their Rule 1174, Ignition Method Compliance Certification Testing 
Protocol, will be considered as having demonstrated compliance with the 
applicable requirements of this subpart using the procedures in this 
section.
    (b) The manufacturer or importer shall obtain from the testing 
laboratory conducting the testing, a report of findings, including all 
raw data sheets/charts and laboratory analytical data. The testing must 
demonstrate that

[[Page 308]]

VOC emissions resulting from the ignition of the barbecue charcoal are, 
on average, less than or equal to 9 grams per start. The manufacturer or 
importer shall maintain the report of findings.
    (c) When a charcoal lighter material does not fall within the 
testing guidelines of this protocol, the protocol may be modified 
following a determination by the Administrator that the modified 
protocol is an acceptable alternative to the method described in this 
section and written approval of the Administrator.
    (d) Meteorological and environmental criteria. (1) Testing shall be 
conducted under the following conditions:
    (i) Inlet combustion air temperature is 16 to 27 degrees Celsius (60 
to 80 degrees Fahrenheit) with a relative humidity of 20 to 80 percent;
    (ii) The charcoal and lighter material are stored 72 hours before 
testing in a location with a relative humidity between 45 and 65 
percent, and a temperature between 18 and 24 degrees Celsuis (65 to 75 
degrees Fahrenheit); and
    (iii) The outside wind speed, including gusts, may be no more than 
16 kilometers per hour (10 miles per hour) if the test stack is 
exhausted outdoors, or, if the test stack is exhausted indoors, indoor 
air must be stagnant.
    (2) Temperature and relative humidity of the combustion air shall be 
continuously monitored during the test. Temperature and relative 
humidity of the place where the charcoal and lighter material are stored 
prior to the test shall be monitored and recorded during the 72 hours 
immediately prior to the test. If the stack is exhausted outdoors, the 
continuous outdoor wind speed monitor shall be observed or recorded 
continuously during testing. If the wind speed monitor is manually 
observed rather than electronically recorded, the maximum wind speed 
observed during the test shall be recorded.
    (e) Definitions. For the purposes of this test protocol, the 
following definitions shall apply:
    (1) Baseline VOC emissions (Eb) means the 3.6 grams 
(0.008 pounds) per start of subject VOC mass emissions (calculated as 
CH2) resulting from the ignition of charcoal by electric 
probe.
    (2) Emission limit for VOC means 9 grams per start of resultant VOC 
emissions (Er), (expressed as CH2).
    (3) Equivalent means equipment that has been demonstrated to meet or 
exceed the performance, design, and operation specifications of the 
prescribed equipment. A demonstration that equipment or a test method is 
a suitable alternative requires written approval from the Administrator 
prior to compliance testing, based on an evaluation of comparative 
performance specifications and/or actual performance test data.
    (4) Ignition means the ready-to-cook condition of the charcoal 
determined by the temperature above the charcoal, the organic vapor 
concentration measured by the continuous organic emission monitor, and 
percent ash.
    (5) Ignition VOC emissions (eI)--means the grams (pounds) per start 
of total subject VOC mass emissions (expressed as CH2) 
resulting from the ignition of charcoal by the lighter material 
undergoing evaluation, including both charcoal and lighter material 
emissions.
    (6) labeled directions means those directions affixed to the 
charcoal lighter material which specify:
    (1) The amount of lighter material to use per kilogram (or pound) of 
charcoal, unless the lighter material is already impregnated or treated 
in the charcoal;
    (2) How to use or apply the lighter material; and
    (3) How and when to light the lighter material.
    (7) Percent ash means a qualitative observation of the ratio of 
visible charcoal surface area ignited (grayish/white ash) to total 
charcoal surface area times 100.
    (8) Reference VOC emissions (Eep)--means the grams (pounds) per 
start of subject VOC mass emissions (calculated as CH2) 
resulting from the ignition of charcoal by the reference electric probe 
during the testing.
    (9) Resultant VOC emissions (Er)--means the ignition VOC emission 
(EI) less the reference VOC emissions (Eep) plus 
baseline emissions (Eb).
    (10) Start means a 25-minute period commencing from the instant that 
emissions may be released from the lighter material, either by 
evaporation

[[Page 309]]

or combustion, and further characterized such that by the end of said 
25-minute period, ignition is achieved.
    (f) Test structure, equipment specifications, and reference 
materials. (1) The test structure is to be located in a building or 
fabricated total enclosure (i.e., with enclosed sides and top). The 
enclosure shall be such that there are no constant or intermittent air 
flows within it that cause fluctuations in the stack velocity and/or 
disruptions of air flow patterns within the test chamber containing the 
reference grill . (WARNING: If the stack is vented into the building 
enclosure, caution must be taken to avoid carbon monoxide poisoning and 
the reduction of oxygen.)
    (2) Test structure components. The following test structure 
components, as shown in figures 1 and 2 of Appendix A of this subpart, 
shall be used:
    (i) Test chamber--Standard large, prefabricated fireplace 
manufactured by Marco[Delta],\1\ Model No. C41CF, with flue 
damper removed; or a fabricated structure with the same dimensions. 
Spacers are required at the rear of the test chamber to ensure a 
constant 5-centimeter (2-inch) distance between the reference grill and 
the rear wall of the test chamber.
---------------------------------------------------------------------------

    \1\Note: Mention of trade names or specific products does not 
constitute endorsement by the EPA.
---------------------------------------------------------------------------

    (ii) Test stack--25-centimeter (10-inch) diameter galvanized steel 
ducting with velocity traverse port holes located approximately 8 
diameters downstream from the stack outlet of the fireplace chamber and 
sampling ports located approximately 2\1/2\ diameters downstream of the 
velocity traverse ports.
    (iii) Fan--25-centimeter (10-inch) diameter axial fan (duct fan) 
capable of maintaining an air velocity of 140  9 
meters per minute (450  30 feet per minute) and 
located in the stack approximately 3 diameters downstream of the 
sampling ports.
    (iv) Test stack insulation--The stack shall be insulated with 
fiberglass blanket insulation (or equivalent) with a minimum R-value of 
6.4, that totally surrounds the stack from the top of the fireplace to 
the level of the blower which minimizes temperature gradients in the 
stack and prevents hydrocarbons from condensing on the stack wall.
    (v) Stack mounts--Supports for fixing in position the stack velocity 
measurement device for measuring reference point velocity readings and 
the continuous organic emission monitor probe/meter.
    (vi) Blower speed control--A rheostat for controlling voltage to the 
fan.
    (3) Test equipment and materials. The following test equipment and 
materials shall be used:
    (i) Continuous recording device--A YEW[Delta] model 4088 
dot matrix, roster scanning chart recorder, Omega strip recorder with a 
Strawberry Tree Data Acquisition System, or equivalent, shall be used to 
continuously (6-second cycle) record temperatures, velocity, and 
continuous organic emission monitor output signals. The recording may be 
done manually, recording temperature using a digital potentiometer (20-
second intervals), reference point velocity with a Pitot tube (20-second 
intervals), and continuous organic emission monitor readings with the 
analyzer's meter (10-second intervals).
    (ii) Grill temperature probe--A type ``K'' thermocouple silver 
soldered to a 7.6 centimeter (3-inch) square brass plate 0.083-
centimeter (0.033 inches) thick painted flat black using high 
temperature ( 370 degrees Celsius [ 700 degrees 
Fahrenheit]) paint; set on an adjustable stand to maintain 11 
centimeters (4.5 inches) above the maximum height of the briquette pile 
and made such that it can be removed and replaced within the chamber.
    (iii) Stack temperature probe--The Kurz[Delta] digital air velocity 
meter or a type ``K'' thermocouple shall be used.
    (iv) Stack velocity measurement device--The velocity in meters 
(feet) per minute for the reference point using a Kurz[Delta] digital 
air velocity meter, Davis[Delta] DTA 4000 vane anemometer, or equivalent 
to method 1A of 40 CFR part 60, appendix A.
    (v) Continuous organic emissions monitor--Century[Delta] Model 128 
Organic Vapor Analyzer, Ratfisch[Delta] RS55 total hydrocarbon analyzer, 
or equivalent, with response in parts per million (ranges 0 to 10 parts 
per million, 0 to

[[Page 310]]

100 parts per million, 0 to 1,000 parts per million).
    (vi) Temperature and humidity monitor--A chart recorder type with 
humidity accuracy of  3 percent from 15 to 85 
percent.
    (vii) Wind speed and direction monitor--A wind speed and direction 
device meeting a tolerance of  10 percent.
    (viii) Analytical balance--An electronic scale with a resolution of 
a  2 grams.
    (ix) Charcoal stacking ring--Rigid metal cylinder 21.6 centimeters 
(8.5 inches) in diameter with indicators to determine that the pile of 
briquettes does not exceed 12.7 centimeters (5 inches) in height.
    (x) Camera--To document ignition condition of charcoal at the end of 
each start.
    (xi) Particulate filter--Nupro[Delta] inline filter, Catalog Number 
SS-4FW-2 with 0.64 centimeter (\1/4\-inch) Swagelok inlet and outlet or 
equivalent.
    (xii) Barbecue Grill--The charcoal shall be ignited in a 
Weber[Delta] ``Go Anywhere'' barbecue grill (Model Number 
121001), 39.4 centimeters x 24 centimeters x 12.7 centimeters 
(15.5 inch x 9.5 inch x 5.0 inch) with the grate 4.4 centimeters (1.75 
inches) above the bottom of the grill, or another grill that meets these 
specifications. The grill shall be set on its bottom when placed in the 
test chamber and all grill air vents shall be in full open position.
    (xiii) Electric probe--A 600-watt electric probe shall be used for 
electric probe ignition tests.
    (xiv) Untreated charcoal--The laboratory conducting the testing 
shall purchase ``off the shelf'' untreated charcoal from a retail 
outlet. Charcoal shall not be provided by the manufacturer of the 
charcoal lighter material to be tested or by the charcoal manufacturer. 
The charcoal to be used is Kingsford[Delta] ``Original Charcoal 
Briquets.'' All untreated charcoal used in the certification testing of 
a single ignition source is to come from the same lot as indicated by 
the number printed on the bag.
    (xv) Treated or impregnated charcoal--If the charcoal lighter 
material to be tested is a substance used to treat or impregnate 
charcoal, the regulated entity shall provide to the laboratory 
conducting the tests a sample of impregnated charcoal. The sample shall 
be impregnated or treated barbecue charcoal that is ignited either 
outside of package or ignited by the package. If commercially available, 
the independent testing laboratory conducting the test shall purchase 
``off the shelf'' from a retail outlet.
    (g) Sampling and analytical methods. (1) Gas volumetric flow rate. 
Conduct a full velocity traverse using the stack velocity measurement 
device as shown in figure 3 of this Appendix A to this Subpart, or use 
Method 1A of 40 CFR part 60, appendix A. Continuously record a velocity 
reference point reading during each test run using a chart recorder or 
once every 20 seconds if using Method 1A. Calculate the volumetric flow 
rate using the gas velocity, moisture content, and the stack cross-
sectional area. For the purposes of this protocol, the static pressure 
shall be assumed to be atmospheric, the molar density correction factor 
in the stack to be 1.0, and the moisture content to be 2 percent.
    (2) Integrated VOC sample. Collect integrated VOC gas samples at the 
sampling port in the exhaust stack using a 40 CFR part 60, appendix A, 
Method 25 Total Combustion Analysis (TCA) sampling apparatus consisting 
of two evacuated 9-liter tanks, each equipped with flow controllers, 
vacuum gauges, and probes, as shown in figure 4 of Appendix A of this 
Subpart. Use 40 CFR part 60, appendix A, Method 25, SCAQMD Method 25.1 
(incorporated by reference--Sec. 59.213 of this subpart), or 
equivalent, for analysis. Carbon monoxide, carbon dioxide, methane, and 
non-methane organic carbon are analyzed by the TCA and TCA/Flame 
Ionization Detector (FID) methods. Oxygen content is determined by gas 
chromatography using a thermal conductivity detector. Clean particulate 
filters between use by heating to 760 degrees Celsius (1400 degrees 
Fahrenheit) while using compressed air as a carrier for cleaning and 
purging.
    (3) Continuous organic emissions monitor. A continuous organic 
emissions monitor which uses a continuous FID shall be used for each 
test run to measure the real time organic concentration of the exhaust 
as methane.

[[Page 311]]

Record the emission monitor response in parts per million continuously 
during the sampling period using a chart recorder or at least once every 
10 seconds. The VOC analyzer shall be operated as prescribed in the 
manufacturer's directions unless otherwise noted in this protocol.
    (h) Pretest procedure. (1) Charcoal lighter material--charcoal. 
Before each test run, remove charcoal from a sealed bag that has been 
stored for at least 72 hours in a humidity and temperature controlled 
room which satisfies the requirements of paragraph (d)(1) of this 
section and weight out 0.9 kilograms (2 pounds) of charcoal briquettes, 
to the nearest whole briquette over 0.9 kilograms (2 pounds), of uniform 
shape with no broken pieces using an analytical balance. Reseal the bag. 
Charcoal must be ignited within 10 minutes after removal from bag. A 
sealed or resealed bag of charcoal cannot be stored at the test site for 
greater than 45 minutes. It must be returned to a humidity and 
temperature controlled room from 72 hours. The lighter material must be 
purchased, stored, weighed, and handled the same as the barbecue 
charcoal.
    (i) For the reference VOC emission tests using an electric probe, 
place a single layer of charcoal, slightly larger than the area/circle 
of the electric probe heating element, onto the grate. Place the heating 
element on top of this first layer and cover the heating element with 
the remaining charcoal briquettes.
    (ii) For the ignition VOC emissions tests, arrange the briquettes on 
the barbecue grate in the manner specified by the ignition 
manufacturer's directions. If these manufacturer's directions do not 
specify a stacking arrangement for the briquettes, randomly stack the 
briquettes in a pile using the stacking ring described in paragraph 
(f)(3)(ix) of this section.
    (2) Charcoal lighter material--or impregnated charcoal. Store, 
handle, weigh, and stack barbecue charcoal that is designed to be lit 
without the packaging, the same as in paragraph (h)(1) of this section. 
For those products which require both the package and charcoal be lit, 
weigh the whole package--do not remove charcoal. Weigh an empty package 
(not the same one to be used during the test). Subtract the package 
weight from the overall weight of the package and charcoal. The full 
package and empty package must be stored, handled, and weighed the same 
as in paragraph (h)(1) of this section. If the difference (the charcoal 
weight) is between 0.7 to 1.4 kilograms (1.5 to 3.0 pounds), the test 
may proceed. The emissions measured (E) in Equation 5 of paragraph 
(k)(7) of this section must be adjusted to a 0.9 kilogram (2-pound) 
charge. Place packaged barbecue charcoal on the grate in the manner 
specified by the manufacturer's directions.
    (3) Initial meteorological and environmental criteria in paragraph 
(d) shall be complied with.
    (4) The stack velocity must be set before each day of testing at 140 
 9 meters per minute (450  
30 feet per minute) by performing a velocity traverse as specified in 
paragraph (g)(1) of this section. The velocity will be attained by 
adjusting the axial fan speed using a rheostat.
    (5) The fireplace shall be conditioned at the start of each day 
before sampling tests by using a grill ignited by the electric probe. If 
a time period of over 60 minutes between sampling test runs occur, the 
condition step must be repeated.
    (6) Before each test run, leak check the continuous organic 
emissions monitor by blocking the flow to the probe. Allow the 
instrument to warm up for the duration specified by the manufacturer's 
directions. Select the 0 to 100 parts per million range. Check the 
battery level and hydrogen pressure. Zero with hydrocarbon-free air 
(<0.1 parts per million hydrocarbons as methane) span with 90 parts per 
million methane in ultra pure air. Zero and span another instrument 
selection range if needed for test purposes.
    (7) Before the testing program begins, establish a point of average 
concentration of organics in the stack by using a continuous organic 
emissions monitor and a grill with charcoal ignited by the electric 
probe 40 minutes after initial release of emissions. Record the 
continuous organic emissions monitor traverse data.

[[Page 312]]

    (8) Prepare the integrated VOC sampling equipment and perform the 
required leak checks. Fit the probes with nozzles housing two micron 
particulate filters. Insert the probes and nozzles into the sampling 
port to draw a sample of the exhaust gas from the point of average 
organic concentration as determined from the continuous organic 
emissions monitor sample traverse described in paragraph (h)(4) of this 
section. Also, position the nozzles such that they point downstream in 
the stack. Obtain the samples concurrently and continuously over the 
test run.
    (9) Insert the continuous organic emissions monitor probe into the 
sampling port to draw a sample of the exhaust gas from the point of 
average organic concentration as determined from the continuous organic 
emissions monitor sample traverse described in paragraph (h)(7) of this 
section.
    (i) Test procedure. The labeled directions, as defined in paragraph 
(e) of this section, shall be followed throughout the course of the 
testing. In cases where the directions are incompatible with this 
protocol, circumvent the intent of this protocol, or are unclear 
(subject to different interpretations) and inadequate, the Administrator 
must be informed in writing of the nature of the conflict, as well as 
the proposed resolution, prior to commencing testing. When the labeled 
directions for a charcoal lighter material do not fall within the 
testing guidelines of this protocol, the protocol may only be modified 
upon written approval of the Administrator.
    (1) Place the bottom of the barbecue grill on the floor of the 
fireplace, 5 centimeters (2 inches) from the rear wall. Ignite charcoal 
as specified by manufacturer's labeled directions.
    (2) For electric probe ignition, carefully remove probe without 
disturbing charcoal after 10 minutes of operation.
    (3) For fluid ignition, simultaneously match light fluid on charcoal 
and fluid that has fallen to the bottom of the grill.
    (4) Place the grill temperature probe 11 centimeters (4.5 inches) 
above the top of the charcoal immediately after the charcoal lighter 
material flame goes out, or before, if the lighter material does not 
flame.
    (5) Conduct at least six test runs for both the electric probe 
ignition and for the lighter material being evaluated. Alternate these 
lighter material for all 12 runs. All runs must be conducted over 3 
consecutive days or less. Alternatively, baseline emissions testing 
(using the electric probe) may be applied to other test runs provided 
the test runs occur within 4 months of the baseline testing. Integrated 
VOC sampling and continuous organic emissions monitoring begin for each 
test run when the charcoal lighter material and/or materials start to 
generate/release organics (this will be the time of pouring for lighter 
fluids and the time of ignition for most other ignition sources). 
Option: Because the manufacturer of treated or impregnated charcoal 
supplies both the lighter material and barbecue charcoal, they may apply 
the 9 grams VOC per start emission limit as an absolute value without an 
adjustment for the VOC emissions from an electric probe.
    (6) Sampling ends for each test run when all the following 
conditions are met:
    (i) The temperature 11 centimeters (4.5 inches) above the maximum 
height of the briquette pile, using the grill temperature probe 
described in paragraph (d)(3)(ii) of this section, is at least 93 
degrees Celsius (200 degrees Fahrenheit);
    (ii) The continuous organic emissions monitor is reading below 30 
parts per million for at least 2 minutes;
    (iii) The test sampling has continued for 25 minutes (but not more) 
and
    (iv) The charcoal surface is 70 percent covered with ash (to be 
documented with photograph on top and 60 degrees above the horizon).
    (7) During the sampling test runs, temperatures (excluding ambient) 
and continuous organic emission monitor readings shall be recorded and 
shall comply with the requirements in paragraph (b) of this section. 
Humidity, wind speed, and ambient temperature readings shall be 
monitored and shall comply with the requirements in paragraph (b) of 
this section.
    (8) Collect one blank sample for VOC and one ambient air sample 
during one run of each day per paragraph (k) of this section.

[[Page 313]]

    (j) Post-run procedure. (1) Record temperatures (including ambient), 
humidity, wind speed, and continuous organic emissions monitor reading.
    (2) Record the drift using zero and span gases. Leak check and span 
the continuous organic emissions monitor as described in paragraph 
(h)(6) of this section for the next run.
    (3) Leak check and disassemble the integrated VOC sampling equipment 
as described in Method 25 of 40 CFR part 60, appendix A or SCAQMD Method 
25.1 (incorporated by reference--see Sec. 59.213 of this subpart), or 
equivalent.
    (4) Thoroughly clean grill surfaces of all residue before conducting 
next ignition run.
    (k) Calculations. Calculations shall be carried out to at least one 
significant digit beyond that of the acquired data, and then rounded off 
after final calculation to two significant digits for each run. All 
rounding off of numbers should be in accordance with the American 
Society for Testing and Materials (ASTM) E 380-93, Standard Practice for 
Use of the SI International System of Units, procedures (incorporated by 
reference--see Sec. 59.213 of this subpart).
    (1) Calculate the average stack reference point temperature during 
sampling (tsr).
    (2) Calculate the average measured velocities (in meters per minute 
[feet per minute]): Traverse (ut), traverse reference point 
(utr), and reference point during sampling (usr).
    (3) Calculate the corrected average sampling velocity 
(us) by applying Equation 2:
[GRAPHIC] [TIFF OMITTED] TR11SE98.003

    (4) Calculate the average flow rate (Qs) in cubic meters 
per minute (cubic feet per minute) by applying Equation 3:
[GRAPHIC] [TIFF OMITTED] TR11SE98.004

Where

A=Duct cross-sectional area, (square meters [square feet]

    (5) Correct the flow rate to dry standard conditions 
(Qds) by applying Equation 4. Assume the static pressure to 
be atmospheric and the molar density correction factor to be 1.0
[GRAPHIC] [TIFF OMITTED] TR11SE98.005

Where

Ts=289 K (520 R)
TS=273 K (460 R)
H=Percent moisture-100
=0.02

    (6) Calculate the average total gaseous non-methane organic carbon 
for each duplicate sample run analyzed.
    (7) Calculate the grams (pounds) of VOC as CH2 emitted 
per start (normalized to 0.9 kilograms [2 pounds] of charcoal) for each 
run using Equation 5:
[GRAPHIC] [TIFF OMITTED] TR11SE98.006

Where

E=Emissions of VOC per start for each test run (grams VOC/start [pounds 
VOC/start])
A=Hydrocarbon molecular weight
=14.0268 grams per gram-mole (14.0268 pounds per pound-mole)
B=Carbon number
 =1
C=Average concentration for each duplicate run of total gaseous 
nonmethane organic compounds as CO2 (parts per million, from 
lab analysis sheet)
D=Sampling duration
 =25 minutes
d=Molar density of gas at standard conditions
 =42.33 gram-mole per cubic meter (0.0026353 pound-mole per cubic foot)
N=Normalized mass (0.9 kilograms [2 pounds])
M=Mass of charge (kilograms [pounds])

    (8) Calculate the average VOC emissions for each lighter material 
tested. Identify and discard statistical outliers. Note a minimum of 
five valid results are required for a determination. This procedure for 
eliminating an outlier may only be performed once for each lighter 
material tested.
    (9) Using Equation 6, calculate the resultant VOC emissions per 
start (Er) and determine if it is less than or equal to the 9 
grams VOC per start emission limit.
[GRAPHIC] [TIFF OMITTED] TR11SE98.007


[[Page 314]]


Where

ei=Average emissions of VOC per start from the charcoal 
lighter material being evaluated (grams VOC/start [pounds VOC/start] 
expressed as CH2)
eep=Average reference VOC emissions per start from the 
ignition by electric probe (grams VOC/start [pounds VOC/start] expressed 
as CH2)
 =0 grams VOC/start (0 pounds VOC/start) for treated or impregnated 
charcoal
Eb=Standard baseline VOC emissions per start from the 
ignition by electric probe (expressed as CH2)
 =0 grams VOC/start (0 pounds VOC/start) for treated or impregnated 
charcoal
 =3.6 grams VOC/start (0.008 pounds VOC/start) for all other charcoal 
lighter material

    (l) Recordkeeping. A record of the following charcoal lighter 
material compliance test information shall be kept for at least 5 years:
    (1) Real time temperature and continuous organic emissions monitor 
readings from continuous chart recorder and/or manual reading of 
temperatures and the continuous organic emissions monitor output.
    (2) A description of quality assurance/quality control (QA/QC) 
procedures followed for all measuring equipment and calibration test 
data.
    (3) A description of QA/QC procedures followed for all sampling and 
analysis equipment and calibration test data.
    (4) Time and quantity of blanks and ambient air samples.
    (5) Chain of custody for samples.
    (6) Labeled directions.
    (7) Field notes and data sheets.
    (8) Calculation/averaging sheets/printouts.
    (9) Sample (in its normal package from the same lot) of barbecue 
charcoal and lighter material used for testing.
    (10) Formulation of lighter material tested (indicate if the 
information is to be handled confidentially).
    (11) Photographs documenting charcoal surface ash coverage.
    (m) Quality Assurance/Quality Control (QA/QC) Requirements. The QA/
QC guidelines in the EPA's Quality Assistance Handbook (EPA 600.4-77-
027b) shall be followed. In addition, the following procedures shall be 
used:
    (1) A blank sample for VOC shall be performed once each day, during 
the start period of one of the lighter materials, using the integrated 
VOC sampling apparatus.
    (2) An ambient air sample for VOC shall be taken once each day, 
during the start period of one of the lighter materials, using the 
integrated VOC sampling apparatus with Nupro[Delta] 2 micron filters.
    (3) Traceability certificates shall be provided for all calibration 
gases used for the continuous organic emissions monitor and integrated 
VOC analysis.
    (4) Grill temperature probe shall be calibrated using the procedures 
in ASTM Method E220-86 (incorporated by reference as specified in United 
States Sec. 59.213).
    (5) Supply documentation for place of purchase ( or origin if 
experimental) and chain of custody for lighter material tested. 
Documentation to be included for both treated and impregnated charcoal.
    (6) Supply documentation for place of purchase and chain of custody 
for untreated charcoal.

[63 FR 48815, Sept. 11, 1998; 63 FR 52319, Sept. 30, 1998]



Sec. 59.209  Recordkeeping and reporting requirements.

    (a) The distributor that is named on the product label shall 
maintain the records specified in paragraphs (a)(1) and (a)(2) of this 
section, unless the manufacturer or importer has submitted to the 
Administrator a written certification that the manufacturer or importer 
will maintain the records for the distributor in accordance with 
paragraph (a)(3) of this section. If no distributor is named on the 
label, the manufacturer or importer must maintain the specified records. 
The records must be retained for at least 3 years and must be in a form 
suitable and readily available for inspection and review.
    (1) Records or formulations being manufactured or imported on or 
after December 10, 1998 for all consumer products subject to Sec. 
59.213(a), or December 10, 1999 for all consumer products subject to 
Sec. 59.203(c) and
    (2) Accurate records for each batch of production, starting on 
December 10, 1998 for all consumer products subject to Sec. 59.203(a) 
or December 10, 1999 for all consumer products subject to

[[Page 315]]

Sec. 59.203(c), of the weight-percent and chemical composition of the 
individual product constituents.
    (3) By providing this written certification to the Administrator, 
the certifying manufacturer accepts responsibility for compliance with 
the recordkeeping requirements in paragraphs (a)(1) and (a)(2) of this 
section with respect to any products covered by the written 
certification. Failure to maintain the required records may result in 
enforcement action by the EPA against the certifying manufacturer in 
accordance with the enforcement provisions applicable to violations of 
these provisions by regulated entities. The certifying manufacturer may 
revoke the written certification by sending a written statement to the 
Administrator and the regulated entity giving at least 90 days notice 
that the certifying manufacturer is rescinding acceptance of 
responsibility for compliance with the recordkeeping requirements listed 
in this paragraph. Upon expiration of the notice period, the regulated 
entity must assume responsibility for maintaining the records specified 
in this paragraph. Written certifications and revocation statements, to 
the Administrator from the certifying manufacturer shall be signed by 
the responsible official of the certifying manufacturer, provide the 
name and address of the certifying manufacturer, and be sent to the 
appropriate EPA Regional Office at the addresses listed in Sec. 59.210 
of this subpart. Such written certifications are not transferable by the 
manufacturer.
    (b) If requested by the Administrator, product VOC content must be 
demonstrated to the Administrator's satisfaction to comply with the VOC 
content limits presented in Sec. 59.203(a).
    (c) Each manufacturer or importer subject to the provisions of Sec. 
59.203(d) shall maintain records specified in either paragraph (c)(1) or 
(c)(2) of this section for each charcoal lighter material.
    (1) Test report from each certification test performed as specified 
in Sec. 59.208(b) and all information and data specified in Sec. 
59.208(l); or
    (2) Records of emission testing, which was performed by a method 
determined by the Administrator to be an acceptable alternative to that 
described in Sec. 59.208, previously submitted to a State or local 
regulatory agency.
    (d) The distributor that is named on the product label, or if no 
distributor is named on the label, the manufacturer or importer, shall 
submit by the applicable compliance date, or within 30 days after 
becoming a regulated entity, a one-time Initial Notification Report 
including the information specified in paragraphs (d)(1) through (d)(5) 
of this section.
    (1) Company name;
    (2) Name, title, phone number, address, and signature or certifying 
company official;
    (3) A list of product categories and subcategories subject to Sec. 
59.203 for which the company is currently the regulated entity;
    (4) A description of date coding systems, clearly explaining how the 
date of manufacture is marked on each sales unit of subject consumer 
products; and
    (5) The name and location of the designated recordkeeping agent, if 
the records specified in paragraphs (a)(1) and (a)(2) are to be 
maintained by the manufacturer.
    (e) If a regulated entity changes the date coding system reported 
according to paragraph (d)(4) of this section, the regulated entity 
shall notify the Administrator of such changes within 30 days following 
the change.
    (f) If requested by the Administrator, the following information 
shall be made available within 30 days after receiving the request:
    (1) Location of facility(ies) manufacturing, importing, or 
distributing subject consumer products;
    (2) A list of product categories and subcategories, as found in 
tables 1 and 2 of this subpart, that are manufactured, imported, or 
distributed at each facility; and
    (3) Location where VOC content records are kept for each subject 
consumer product.
    (g) Each manufacturer or importer subject to the innovative product 
provisions in Sec. 49.204 shall submit notifications as indicated in 
Sec. 59.204(d) and (e).

[[Page 316]]



Sec. 59.210  Addresses of EPA Regional Offices.

    All requests, reports, submittals, and other communications to the 
Administrator pursuant to this regulation shall be submitted to the 
Regional Office of the EPA which serves the State or territory in which 
the corporate headquarters of the regulated entity resides. These areas 
are indicated in the following list of EPA Regional Offices:

EPA Region I (Connecticut, Maine, Massachusetts, New Hampshire, Rhode 
Island, Vermont), Director, Office of Ecosystem Protection, J.F.K. 
Federal Building, Boston, MA 02203-2211.
EPA Region II (New Jersey, New York, Puerto Rico, Virgin Islands), 
Director, Division of Environmental Planning and Protection, 290 
Broadway, New York, NY 10007.
EPA Region III (Delaware, District of Columbia, Maryland, Pennsylvania, 
Virginia, West Virginia), Director, Air, Radiation, and Toxics Division, 
841 Chestnut Building, Philadelphia, PA 19107.
EPA Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina, Tennessee), Director, Air, Pesticides, and 
Toxics Management Division, 61 Forsyth Street, Atlanta, GA 30303.
EPA Region V (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin), 
Director, Air and Radiation Division, 77 West Jackson Blvd., Chicago, IL 
60604-3507.
EPA Region VI (Arkansas, Louisiana, New Mexico, Oklahoma, Texas), 
Director, Multimedia Planning and Permitting Division, 1445 Ross Avenue, 
Dallas, TX 75202-2733.
EPA Region VII (Iowa, Kansas, Missouri, Nebraska), Director, Air, RCRA, 
and Toxics Division, 726 Minnesota Avenue, Kansas City, KS 66101.
EPA Region VIII (Colorado, Montana, North Dakota, South Dakota, Utah, 
Wyoming), Director, Office of Pollution Prevention, State, and Tribal 
Assistance, 999 18th Street, Suite 500, Denver, Colorado 80202-2466.
EPA Region IX (American Samoa, Arizona, California, Guam, Hawaii, 
Nevada) Director, Air Divisions, 75 Hawthorne Street, San Francisco, CA 
94105.
EPA Region X (Alaska, Oregon, Idaho, Washington), Director, Office of 
Air Quality, 1200 Sixth Avenue, Seattle, WA 98101.



Sec. 59.211  State authority.

    (a) The provisions in this regulation shall not be construed in any 
manner to preclude any State or political subdivision thereof from:
    (1) Adopting and enforcing any emission standard or limitation 
applicable to a regulated entity.
    (2) Requiring the regulated entity to obtain permits, licenses, or 
approvals prior to initiating construction, modification, or operation 
of a facility for manufacturing a consumer product.
    (b) [Reserved]



Sec. 59.212  Circumvention.

    No regulated entity subject to these standards shall alter, destroy, 
or falsify any record or report to conceal what would otherwise be 
noncompliance with these standards. Such concealment includes, but is 
not limited to refusing to provide the Administrator access to all 
required records and date-coding information, altering the percent VOC 
content of a product batch, or altering the results of any required 
performance tests.



Sec. 59.213  Incorporations by reference.

    (a) The materials listed in this section are incorporated by 
reference in the paragraphs noted in Sec. 59.207. These incorporations 
by reference were approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These materials are 
incorporated as they exist on the date of the approval, and notice of 
any changes in these materials will be published in the Federal 
Register. The materials are available for purchase at the corresponding 
addresses noted below, and all are available for inspection at the Air 
and Radiation Docket and Information Center, U.S. EPA, 401 M St., SW., 
Washington, DC 20460, the EPA Library (MD-35), U.S. EPA, Research 
Triangle Park, NC 27711, or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (b) The materials listed below are available for purchase from at 
least one of the following addresses: American Society for Testing and 
Materials (ASTM), 1916 Race Street, Philadelphia, PA, 19103; SCAQMD 
Subscription Services, P.O. Box 4932; 21865 Copley

[[Page 317]]

Drive, Diamond Bar, CA 91765-0932; or University Microfilms 
International, 300 North Zeeb Road, Ann Arbor MI, 48106.
    (1) ASTM Method E220-86 Standard Method for Calibration of 
Thermocouples by Comparisons Techniques, incorporation by reference 
(IBR) approved for Sec. 59,208(m)(4).
    (2) ASTM Method E380-82 Metric Practice, IBR approved for Sec. 
59.208(k).
    (3) SCAQMD Method 25.1, March 1989 Determination of Total Gaseous 
Non-Methane Organic Emissions as Carbon (amended February 26, 1991) IBR 
approved for Sec. 59.208(g)(2).

[63 FR 48831, Sept. 11, 1998, as amended at 69 FR 18803, Apr. 9, 2004]



Sec. 59.214  Availability of information and confidentiality

    (a) Availability of information. Specific reports or records 
required by this subpart are not available to the public. The 
Administrator will, upon request, provide information as to the 
compliance status of a product or regulated entity.
    (b) Confidentiality. All confidential business information entitled 
to protection under section 114(c) of the CAA that must be submitted or 
maintained by a regulated entity pursuant to this section shall be 
treated in accordance with 40 CFR part 2, Subpart B.

      Table 1 to Subpart C--VOC Content Limits by Product Category

------------------------------------------------------------------------
                                                            VOC content
                    Product category                      limit (weight-
                                                           percent VOC)
------------------------------------------------------------------------
Air fresheners:
    Single-phase........................................              70
    Double-phase........................................              30
    Liquids/pump sprays.................................              18
    Solids/gels.........................................               3
Automotive windshield washer fluid......................              35
Bathroom and tile cleaners:
    Aerosols............................................               7
    All other forms.....................................               5
Carburetor and choke cleaners...........................              75
    Cooking sprays--aerosol.............................              18
Dusting aids:
    Aerosols............................................              35
    All other forms.....................................               7
Engine degreasers.......................................              75
Fabric protectants......................................              75
Floor polishes/waxes:
    Products for flexible flooring materials............               7
    Products for nonresilient flooring..................              10
    Wood floor wax......................................              90
Furniture maintenance products-aerosol..................              25
General purpose cleaners................................              10
Glass cleaners:
    Aerosols............................................              12
    All other forms.....................................               8
Hairsprays..............................................              80
Hair mousses............................................              16
Hair Styling gels.......................................               6
Household adhesives:
    Aerosols............................................              75
    Contact.............................................              80
    Construction and panel..............................              40
    General purpose.....................................              10
    Structural waterproof...............................              15
Insecticides:
    Crawling bug........................................              40
    Flea and tick.......................................              25
    Flying bug..........................................              35
    Foggers.............................................              45
    Lawn and Garden.....................................              20
Laundry prewash:
    Aerosols/solids.....................................              22
    All other forms.....................................               5
Laundry starch products.................................               5
Nail polish removers....................................              85

[[Page 318]]

 
Oven cleaners:
    Aerosols/pump.......................................               8
    Liquids.............................................               5
Shaving creams..........................................               5
------------------------------------------------------------------------

 Table 2 to Subpart C--HVOC \1\ Content Limits for Underarm Deodorants 
                      and Underarm Antiperspirants

------------------------------------------------------------------------
                                                           Percent HVOC
                                                           content limit
                    Product category                         (weight-
                                                           percent HVOC)
------------------------------------------------------------------------
Underarm antiperspirants--aerosol.......................              60
Underarm deodorants--aerosol............................              20
------------------------------------------------------------------------
\1\ High-volatility organic compound (HVOC) are VOC with vapor pressure
  greater than 80 millimeters of mercury at 20 degrees Celsius.


[[Page 319]]

               Appendix A to Subpart C of Part 59--Figures
[GRAPHIC] [TIFF OMITTED] TR11SE98.008


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[GRAPHIC] [TIFF OMITTED] TR11SE98.009


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[GRAPHIC] [TIFF OMITTED] TR11SE98.010


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[GRAPHIC] [TIFF OMITTED] TR11SE98.011


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  Subpart D_National Volatile Organic Compound Emission Standards for 
                         Architectural Coatings

    Source: 63 FR 48877, Sept. 11, 1998, unless otherwise noted.



Sec. 59.400  Applicability and compliance dates.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
the provisions of this subpart apply to each architectural coating 
manufactured on or after September 13, 1999 for sale or distribution in 
the United States.
    (b) For any architectural coating registered under the Federal 
Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. Section 136, et 
seq.), the provisions of this subpart apply to any such coating 
manufactured on or after March 13, 2000 for sale or distribution in the 
United States.
    (c) The provisions of this subpart do not apply to any architectural 
coating described in paragraphs (c)(1) through (c)(5) of this section:
    (1) A coating that is manufactured for sale or distribution to 
architectural coating markets outside the United States; such a coating 
must not be sold or distributed within the United States as an 
architectural coating.
    (2) A coating that is manufactured prior to September 13, 1999.
    (3) A coating that is sold in a nonrefillable aerosol container.
    (4) A coating that is collected and redistributed at a paint 
exchange.
    (5) A coating that is sold in a container with a volume of one liter 
or less.



Sec. 59.401  Definitions.

    Act means the Clean Air Act (42 U.S.C. 7401, et seq., as amended by 
Pub. L. 101-549, 104 Stat. 2399).
    Adhesive means any chemical substance that is applied for the 
purpose of bonding two surfaces together other than by mechanical means. 
Under this subpart, adhesives are not considered coatings.
    Administrator means the Administrator of the United States 
Environmental Protection Agency (U.S. EPA) or an authorized 
representative.
    Antenna coating means a coating formulated and recommended for 
application to equipment and associated structural appurtenances that 
are used to receive or transmit electromagnetic signals.
    Anti-fouling coating means a coating formulated and recommended for 
application to submerged stationary structures and their appurtenances 
to prevent or reduce the attachment of marine or freshwater biological 
organisms, including, but not limited to, coatings registered with the 
EPA under the Federal Insecticide, Fungicide, and Rodenticide Act (7 
U.S.C. Section 136, et seq.) and nontoxic foul-release coatings.
    Anti-graffiti coating means a clear or opaque high performance 
coating formulated and recommended for application to interior and 
exterior walls, doors, partitions, fences, signs, and murals to deter 
adhesion of graffiti and to resist repeated scrubbing and exposure to 
harsh solvents, cleansers, or scouring agents used to remove graffiti.
    Appurtenance means any accessory to a stationary structure, whether 
installed or detached at the proximate site of installation, including 
but not limited to: bathroom and kitchen fixtures; cabinets; concrete 
forms; doors; elevators; fences; hand railings; heating equipment, air 
conditioning equipment, and other fixed mechanical equipment or 
stationary tools; lamp posts; partitions; pipes and piping systems; rain 
gutters and downspouts; stairways, fixed ladders, catwalks, and fire 
escapes; and window screens.
    Architectural coating means a coating recommended for field 
application to stationary structures and their appurtenances, to 
portable buildings, to pavements, or to curbs. This definition excludes 
adhesives and coatings recommended by the manufacturer or importer 
solely for shop applications or solely for application to non-stationary 
structures, such as airplanes, ships, boats, and railcars.
    Below-ground wood preservative means a coating that is formulated 
and recommended to protect below-ground wood from decay or insect attack 
and that is registered with the EPA under the Federal Insecticide, 
Fungicide, and

[[Page 324]]

Rodenticide Act (7 U.S.C. Section 136, et seq.).
    Bituminous coating and mastic means a coating or mastic formulated 
and recommended for roofing, pavement sealing, or waterproofing that 
incorporates bitumens. Bitumens are black or brown materials including, 
but not limited to, asphalt, tar, pitch, and asphaltite that are soluble 
in carbon disulfide, consist mainly of hydrocarbons, and are obtained 
from natural deposits of asphalt or as residues from the distillation of 
crude petroleum or coal.
    Bond breaker means a coating formulated and recommended for 
application between layers of concrete to prevent a freshly poured top 
layer of concrete from bonding to the layer over which it is poured.
    Calcimine recoater means a flat solventborne coating formulated and 
recommended specifically for recoating calcimine-painted ceilings and 
other calcimine-painted substrates.
    Chalkboard resurfacer means a coating formulated and recommended for 
application to chalkboards to restore a suitable surface for writing 
with chalk.
    Clear means allowing light to pass through, so that the substrate 
may be distinctly seen.
    Coating means a material applied onto or impregnated into a 
substrate for protective, decorative, or functional purposes. Such 
materials include, but are not limited to, paints, varnishes, sealants, 
inks, maskants, and temporary coatings. Protective, decorative, or 
functional materials that consist only of solvents, acids, bases, or any 
combination of these substances are not considered coatings for the 
purposes of this subpart.
    Colorant means a concentrated pigment dispersion of water, solvent, 
and/or binder that is added to an architectural coating in a paint store 
or at the site of application to produce the desired color.
    Concrete curing compound means a coating formulated and recommended 
for application to freshly placed concrete to retard the evaporation of 
water.
    Concrete curing and sealing compound means a liquid membrane-forming 
compound marketed and sold solely for application to concrete surfaces 
to reduce the loss of water during the hardening process and to seal old 
and new concrete providing resistance against alkalis, acids, and 
ultraviolet light, and provide adhesion promotion qualities. The coating 
must meet the requirements of American Society for Testing and Materials 
(ASTM) C 1315-95, Standard Specification for Liquid Membrane-Forming 
Compounds Having Special Properties for Curing and Sealing Concrete 
(incorporated by reference--see Sec. 59.412 of this subpart).
    Concrete protective coating means a high-build coating, formulated 
and recommended, for application in a single coat over concrete, 
plaster, or other cementitious surfaces. These coatings are formulated 
to be primerless, one-coat systems that can be applied over form oils 
and/or uncured concrete. These coatings prevent spalling of concrete in 
freezing temperatures by providing long-term protection from water and 
chloride ion intrusion.
    Concrete surface retarder means a mixture of retarding ingredients 
such as extender pigments, primary pigments, resin, and solvent that 
interact chemically with the cement to prevent hardening on the surface 
where the retarder is applied, allowing the retarded mix of cement and 
sand at the surface to be washed away to create an exposed aggregate 
finish.
    Container means the individual receptacle that holds the coating for 
storage and/or sale or distribution.
    Conversion varnish means a clear acid curing coating with an alkyd 
or other resin blended with amino resins and supplied as a single 
component or two-component product. Conversion varnishes produce a hard, 
durable, clear finish designed for professional application to wood 
flooring. The film formation is the result of an acid-catalyzed 
condensation reaction, affecting a transetherification at the reactive 
ethers of the amino resins.
    Dry fog coating means a coating formulated and recommended only for 
spray application such that overspray droplets dry before subsequent 
contact with incidental surfaces in the vicinity of the surface coating 
activity.
    Exempt compounds means specific organic compounds that are not 
considered volatile organic compounds (VOC)

[[Page 325]]

due to negligible photochemical reactivity. The exempt compounds are 
specified in 40 CFR 51.100.
    Exterior coating means an architectural coating formulated and 
recommended for use in conditions exposed to the weather.
    Extreme high durability coating means an air dry coating, including 
a fluoropolymer-based coating, that is formulated and recommended for 
touchup of precoated architectural aluminum extrusions and panels and to 
ensure the protection of architectural subsections, and that meets the 
weathering requirements of American Architectural Manufacturer's 
Association (AAMA) specification 605-98, Voluntary Specification 
Performance Requirements and Test Procedures for High Performance 
Organic Coatings on Aluminum Extrusions and Panels, Section 7.9 
(incorporated by reference--see Sec. 59.412 of this subpart).
    Faux-finishing/glazing means a coating used for wet-in-wet 
techniques, such as faux woodgrain, faux marble, and simulated aging, 
which require the finish to remain wet for an extended period of time.
    Fire-retardant/resistive coating means a coating formulated and 
recommended to retard ignition and flame spread, or to delay melting or 
structural weakening due to high heat, that has been fire tested and 
rated by a certified laboratory for use in bringing buildings and 
construction materials into compliance with Federal, State, and local 
building code requirements.
    Flat coating means a coating that is not defined under any other 
definition in this section and that registers gloss less than 15 on an 
85-degree meter or less than 5 on a 60-degree meter according to ASTM 
Method D 523-89, Standard Test Method for Specular Gloss (incorporated 
by reference--see Sec. 59.412 of this subpart).
    Floor coating means an opaque coating with a high degree of abrasion 
resistance that is formulated and recommended for application to 
flooring including, but not limited to, decks, porches, and steps in a 
residential setting.
    Flow coating means a coating that is used by electric power 
companies or their subcontractors to maintain the protective coating 
systems present on utility transformer units.
    Form release compound means a coating formulated and recommended for 
application to a concrete form to prevent the freshly placed concrete 
from bonding to the form. The form may consist of wood, metal, or some 
material other than concrete.
    Graphic arts coating or sign paint means a coating formulated and 
recommended for hand-application by artists using brush or roller 
techniques to indoor or outdoor signs (excluding structural components) 
and murals including lettering enamels, poster colors, copy blockers, 
and bulletin enamels.
    Heat reactive coating means a high performance phenolic-based 
coating requiring a minimum temperature of 191 [deg]C (375 [deg]F) to 
204 [deg]C (400 [deg]F) to obtain complete polymerization or cure. These 
coatings are formulated and recommended for commercial and industrial 
use to protect substrates from degradation and maintain product purity 
in which one or more of the following extreme conditions exist:
    (1) Continuous or repeated immersion exposure of 90 to 98 percent 
sulfuric acid, or oleum;
    (2) Continuous or repeated immersion exposure to strong organic 
solvents;
    (3) Continuous or repeated immersion exposure to petroleum 
processing at high temperatures and pressures; and
    (4) Continuous or repeated immersion exposure to food or 
pharmaceutical products which may or may not require high temperature 
sterilization.
    High temperature coating means a high performance coating formulated 
and recommended for application to substrates exposed continuously or 
intermittently to temperatures above 202[deg]C (400[deg]F).
    Impacted immersion coating means a high performance maintenance 
coating formulated and recommended for application to steel structures 
subject to immersion in turbulent, debris-laden water. These coatings 
are specifically resistant to high-energy impact damage caused by 
floating ice or debris.
    Imported means that a coating manufactured outside the United States 
has been brought into the United States for sale or distribution.

[[Page 326]]

    Importer means a person that brings architectural coatings into the 
United States for sale or distribution within the United States. This 
definition does not include any person that brings a coating into the 
United States and repackages the coating by transferring it from one 
container to another, provided the coating VOC content is not altered 
and the coating is not sold or distributed to another party. For 
purposes of applying this definition, divisions of a company, 
subsidiaries, and parent companies are considered to be a single 
importer.
    Industrial maintenance coating means a high performance 
architectural coating, including primers, sealers, undercoaters, 
intermediate coats, and topcoats formulated and recommended for 
application to substrates exposed to one or more of the following 
extreme environmental conditions in an industrial, commercial, or 
institutional setting:
    (1) Immersion in water, wastewater, or chemical solutions (aqueous 
and nonaqueous solutions), or chronic exposure of interior surfaces to 
moisture condensation;
    (2) Acute or chronic exposure to corrosive, caustic, or acidic 
agents, or to chemicals, chemical fumes, or chemical mixtures or 
solutions;
    (3) Repeated exposure to temperatures above 120 [deg]C (250 [deg]F);
    (4) Repeated (frequent) heavy abrasion, including mechanical wear 
and repeated (frequent) scrubbing with industrial solvents, cleansers, 
or scouring agents; or
    (5) Exterior exposure of metal structures and structural components.
    Interior clear wood sealer means a low viscosity coating formulated 
and recommended for sealing and preparing porous wood by penetrating the 
wood and creating a uniform smooth substrate for a finish coat of paint 
or varnish.
    Interior coating means an architectural coating formulated and 
recommended for use in conditions not exposed to natural weathering.
    Label means any written, printed, or graphic matter affixed to, 
applied to, attached to, blown into, formed, molded into, embossed on, 
or appearing upon any architectural coating container for purposes of 
branding, identifying, or giving information with respect to the 
product, use of the product, or contents of the container.
    Lacquer means a clear or pigmented wood finish, including clear 
lacquer sanding sealers, formulated with cellulosic or synthetic resins 
to dry by evaporation without chemical reaction and to provide a solid, 
protective film. Lacquer stains are considered stains, not lacquers.
    Low solids means containing 0.12 kilogram or less of solids per 
liter (1 pound or less of solids per gallon) of coating material and for 
which at least half of the volatile component is water.
    Magnesite cement coating means a coating formulated and recommended 
for application to magnesite cement decking to protect the magnesite 
cement substrate from erosion by water.
    Manufactured means that coating ingredients have been combined and 
put into containers that have been labeled and made available for sale 
or distribution.
    Manufacturer means a person that produces, packages, or repackages 
architectural coatings for sale or distribution in the United States. A 
person that repackages architectural coatings as part of a paint 
exchange, and does not produce, package, or repackage any other 
architectural coatings for sale or distribution in the United States, is 
excluded from this definition. A person that repackages a coating by 
transferring it from one container to another is excluded from this 
definition, provided the coating VOC content is not altered and the 
coating is not sold or distributed to another party. For purposes of 
applying this definition, divisions of a company, subsidiaries, and 
parent companies are considered to be a single manufacturer.
    Mastic texture coating means a coating formulated and recommended to 
cover holes and minor cracks and to conceal surface irregularities, and 
is applied in a single coat of at least 10 mils (0.010 inch) dry film 
thickness.
    Megagram means one million grams or 1.102 tons.
    Metallic pigmented coating means a nonbituminous coating containing 
at least 0.048 kilogram of metallic pigment per liter of coating (0.4 
pound per

[[Page 327]]

gallon) including, but not limited to, zinc pigment.
    Multi-colored coating means a coating that is packaged in a single 
container and exhibits more than one color when applied.
    Nonferrous ornamental metal lacquers and surface protectant means a 
clear coating formulated and recommended for application to ornamental 
architectural metal substrates (bronze, stainless steel, copper, brass, 
and anodized aluminum) to prevent oxidation, corrosion, and surface 
degradation.
    Nonflat coating means a coating that is not defined under any other 
definition in this section and that registers a gloss of 15 or greater 
on an 85-degree meter or 5 or greater on a 60-degree meter according to 
ASTM Method D 523-89, Standard Test Method for Specular Gloss 
(incorporated by reference--see Sec. 59.412 of this subpart).
    Nuclear coating means a protective coating formulated and 
recommended to seal porous surfaces such as steel (or concrete) that 
otherwise would be subject to intrusion by radioactive materials. These 
coatings must be resistant to long-term (service life) cumulative 
radiation exposure (ASTM Method D 4082-89, Standard Test Method for 
Effects of Gamma Radiation on Coatings for Use in Light-Water Nuclear 
Power Plants (incorporated by reference--see Sec. 59.412 of this 
subpart)), relatively easy to decontaminate, and resistant to various 
chemicals to which the coatings are likely to be exposed (ASTM Method D 
3912-80 (Reapproved 1989), Standard Test Method for Chemical Resistance 
of Coatings Used in Light-Water Nuclear Power Plants (incorporated by 
reference--see Sec. 59.412 of this subpart)).
    Opaque means not allowing light to pass through, so that the 
substrate is concealed from view.
    Paint exchange means a program in which consumers, excluding 
architectural coating manufacturers and importers, may drop off and pick 
up usable post-consumer architectural coatings in order to reduce 
hazardous waste.
    Person means an individual, corporation, partnership, association, 
State municipality, political subdivision of a State, and any agency, 
department, or instrumentality of the United States and any officer, 
agent, or employee thereof.
    Pigmented means containing finely ground insoluble powder used to 
provide one or more of the following properties: color; corrosion 
inhibition; conductivity; fouling resistance; opacity; or improved 
mechanical properties.
    Post-consumer coating means an architectural coating that has 
previously been purchased by a consumer or distributed to a consumer but 
not applied, and reenters the marketplace to be purchased by or 
distributed to a consumer. Post-consumer coatings include, but are not 
limited to, coatings collected during hazardous waste collection 
programs for repackaging or blending with virgin coating materials.
    Pretreatment wash primer means a primer that contains a minimum of 
0.5 percent acid, by weight, that is formulated and recommended for 
application directly to bare metal surfaces in thin films to provide 
corrosion resistance and to promote adhesion of subsequent topcoats.
    Primer means a coating formulated and recommended for application to 
a substrate to provide a firm bond between the substrate and subsequent 
coatings.
    Quick-dry enamel means a nonflat coating that has the following 
characteristics:
    (1) Is capable of being applied directly from the container under 
normal conditions with ambient temperatures between 16 and 27[deg]C (60 
and 80[deg]F);
    (2) When tested in accordance with ASTM Method D 1640-83 (Reapproved 
1989), Standard Test Methods for Drying, Curing, or Film Formation of 
Organic Coatings at Room Temperature (incorporated by reference--see 
Sec. 59.412), sets to touch in 2 hours or less, is tack free in 4 hours 
or less, and dries hard in 8 hours or less by the mechanical test 
method; and
    (3) Has a dried film gloss of 70 or above on a 60 degree meter.
    Quick-dry primer, sealer, and undercoater means a primer, sealer, or 
undercoater that is dry to the touch in a \1/2\ hour and can be recoated 
in 2 hours when tested in accordance with ASTM Method D 1640-83 
(Reapproved 1989), Standard Test Methods for Drying, Curing, or Film 
Formation of Organic

[[Page 328]]

Coatings at Room Temperature (incorporated by reference--see Sec. 
59.412 of this subpart).
    Recycled coating means an architectural coating that contains some 
portion of post-consumer coating. Recycled architectural coatings 
include, but are not limited to, post-consumer coatings that have been 
repackaged or blended with virgin coating materials.
    Repackage means to transfer an architectural coating from one 
container to another.
    Repair and maintenance thermoplastic coating means an industrial 
maintenance coating that has vinyl or chlorinated rubber as a primary 
resin and is recommended solely for the repair of existing vinyl or 
chlorinated rubber coatings without the full removal of the existing 
coating system.
    Roof coating means a coating formulated and recommended for 
application to exterior roofs for the primary purpose of preventing 
penetration of the substrate by water or reflecting heat and reflecting 
ultraviolet radiation. This does not include thermoplastic rubber 
coatings.
    Rust preventative coating means a coating formulated and recommended 
for use in preventing the corrosion of ferrous metal surfaces in 
residential situations.
    Sanding sealer means a clear wood coating formulated and recommended 
for application to bare wood to seal the wood and to provide a coat that 
can be sanded to create a smooth surface. A sanding sealer that also 
meets the definition of a lacquer is not included in this category, but 
is included in the lacquer category.
    Sealer means a coating formulated and recommended for application to 
a substrate for one or more of the following purposes: to prevent 
subsequent coatings from being absorbed by the substrate; to prevent 
harm to subsequent coatings by materials in the substrate; to block 
stains, odors, or efflorescence; to seal fire, smoke, or water damage; 
or to condition chalky surfaces.
    Semitransparent means not completely concealing the surface of a 
substrate or its natural texture or grain pattern.
    Shellac means a clear or pigmented coating formulated with natural 
resins (except nitrocellulose resins) soluble in alcohol (including, but 
not limited to, the resinous secretions of the lac beetle, Laciffer 
lacca). Shellacs dry by evaporation without chemical reaction and 
provide a quick-drying, solid protective film that may be used for 
blocking stains.
    Shop application means that a coating is applied to a product or a 
component of a product in a factory, shop, or other structure as part of 
a manufacturing, production, or repairing process (e.g., original 
equipment manufacturing coatings).
    Stain means a coating that produces a dry film with minimal 
coloring. This includes lacquer stains.
    Stain controller means a conditioner or pretreatment coating 
formulated and recommended for application to wood prior to the 
application of a stain in order to prevent uneven penetration of the 
stain.
    Swimming pool coating means a coating formulated and recommended to 
coat the interior of swimming pools and to resist swimming pool 
chemicals.
    Thermoplastic rubber coating and mastic means a coating or mastic 
formulated and recommended for application to roofing or other 
structural surfaces and that incorporates no less than 40 percent by 
weight of thermoplastic rubbers in the total resin solids and may also 
contain other ingredients including, but not limited to, fillers, 
pigments, and modifying resins.
    Tint base means a coating to which colorant is added in a paint 
store or at the site of application to produce a desired color.
    Traffic marking coating means a coating formulated and recommended 
for marking and striping streets, highways, or other traffic surfaces 
including, but not limited to, curbs, berms, driveways, parking lots, 
sidewalks, and airport runways.
    Undercoater means a coating formulated and recommended to provide a 
smooth surface for subsequent coatings.
    United States means the United States of America, including the 
District of Columbia, the Commonwealth of Puerto Rico, the Virgin 
Islands,

[[Page 329]]

Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands.
    Varnish means a clear or semi-transparent coating, excluding 
lacquers and shellacs, formulated and recommended to provide a durable, 
solid, protective film. Varnishes may contain small amounts of pigment 
to color a surface, or to control the final sheen or gloss of the 
finish.
    Volatile organic compound or VOC means any organic compound that 
participates in atmospheric photochemical reactions, that is, any 
organic compound other than those which the Administrator designates as 
having negligible photochemical reactivity. For a list of compounds that 
the Administrator has designated as having negligible photochemical 
reactivity, also referred to as exempt compounds, refer to 40 CFR 
51.100(s).
    VOC content means the weight of VOC per volume of coating, 
calculated according to the procedures in Sec. 59.406(a) of this 
subpart.
    Waterproofing sealer and treatment means a coating formulated and 
recommended for application to a porous substrate for the primary 
purpose of preventing the penetration of water.
    Wood preservative means a coating formulated and recommended to 
protect exposed wood from decay or insect attack, registered with the 
EPA under the Federal Insecticide, Fungicide, and Rodenticide Act (7 
U.S.C. Section 136, et seq.).
    Zone marking coating means a coating formulated and recommended for 
marking and striping driveways, parking lots, sidewalks, curbs, or 
airport runways, and sold or distributed in a container with a volume of 
19 liters (5 gallons) or less.

[63 FR 48877, Sept. 11, 1998; 64 FR 35001, June 30, 1999]



Sec. 59.402  VOC content limits.

    (a) Each manufacturer and importer of any architectural coating 
subject to this subpart shall ensure that the VOC content of the coating 
does not exceed the applicable limit in table 1 of this subpart, except 
as provided in Sec. Sec. 59.403 and 59.404 of this subpart. Compliance 
with the VOC content limits will be determined based on the VOC content, 
as expressed in metric units.
    (b) Except as provided in paragraph (c) of this section, if anywhere 
on the container of any architectural coating, or any label or sticker 
affixed to the container, or in any sales, advertising, or technical 
literature supplied by a manufacturer or importer or anyone acting on 
their behalf, any representation is made that indicates that the coating 
meets the definition of more than one of the coating categories listed 
in table 1 of this subpart, then the most restrictive VOC content limit 
shall apply.
    (c) The provision in paragraph (b) of this section does not apply to 
the coatings described in paragraphs (c)(1) through (c)(15) of this 
section.
    (1) High temperature coatings that also meet the definition for 
metallic pigmented coatings are subject only to the VOC content limit in 
table 1 of this subpart for high temperature coatings.
    (2) Lacquer coatings (including lacquer sanding sealers) that are 
also recommended for use in other architectural coating applications to 
wood, except as stains, are subject only to the VOC content limit in 
table 1 of this subpart for lacquers.
    (3) Metallic pigmented coatings that also meet the definition for 
roof coatings, industrial maintenance coatings, or primers are subject 
only to the VOC content limit in table 1 of this subpart for metallic 
pigmented coatings.
    (4) Shellacs that also meet the definition for any other 
architectural coating are subject only to the VOC content limit in table 
1 of this subpart for shellacs.
    (5) Fire-retardant/resistive coatings that also meet the definition 
for any other architectural coating are subject only to the VOC content 
limit in table 1 of this subpart for fire-retardant/resistive coatings.
    (6) Pretreatment wash primers that also meet the definition for 
primers or that meet the definition for industrial maintenance coatings 
are subject only to the VOC content limit in table 1 of this subpart for 
pretreatment wash primers.
    (7) Industrial maintenance coatings that also meet the definition 
for primers, sealers, undercoaters, or mastic

[[Page 330]]

texture coatings are subject only to the VOC content limit in table 1 of 
this subpart for industrial maintenance coatings.
    (8) Varnishes and conversion varnishes that also meet the definition 
for floor coatings are subject only to the VOC content limit in table 1 
of this subpart for varnishes and conversion varnishes, respectively.
    (9) Anti-graffiti coatings, high temperature coatings, impacted 
immersion coatings, thermoplastic rubber coatings and mastics, repair 
and maintenance thermoplastic coatings, and flow coatings that also meet 
the definition for industrial maintenance coatings are subject only to 
the VOC content limit in table 1 of this subpart for their respective 
categories (i.e., they are not subject to the industrial maintenance 
coatings VOC content limit in table 1 of this subpart).
    (10) Waterproofing sealers and treatments that also meet the 
definition for quick-dry sealers are subject only to the VOC content 
limit in table 1 of this subpart for waterproofing sealers and 
treatments.
    (11) Sanding sealers that also meet the definition for quick-dry 
sealers are subject only to the VOC content limit in table 1 of this 
subpart for sanding sealers.
    (12) Nonferrous ornamental metal lacquers and surface protectants 
that also meet the definition for lacquers are subject only to the VOC 
content limit in table 1 of this subpart for nonferrous ornamental metal 
lacquers and surface protectants.
    (13) Quick-dry primers, sealers, and undercoaters that also meet the 
definition for primers, sealers, or undercoaters are subject only to the 
VOC content limit in table 1 of this subpart for quick-dry primers, 
sealers, and undercoaters.
    (14) Antenna coatings that also meet the definition for industrial 
maintenance coatings or primers are subject only to the VOC content 
limit in table 1 of this subpart for antenna coatings.
    (15) Bituminous coatings and mastics that also meet the definition 
for any other architectural coatings are subject only to the VOC content 
limit in table 1 of this subpart for bituminous coatings and mastics.
    (16) Zone marking coatings that also meet the definition for traffic 
marking coatings are subject only to the VOC content limit in table 1 of 
this subpart for zone marking coatings.
    (17) Rust preventative coatings that also meet the definition for 
primers or undercoaters are subject only to the VOC content limit in 
table 1 of this subpart for rust preventative coatings.

[63 FR 48877, Sept. 11, 1998; 64 FR 35001, June 30, 1999]



Sec. 59.403  Exceedance fees.

    (a) Except as provided in Sec. 59.404 of this subpart, each 
manufacturer and importer of any architectural coating subject to the 
provisions of this subpart may exceed the applicable VOC content limit 
in table 1 of this subpart for the coating if the manufacturer or 
importer pays an annual exceedance fee. The exceedance fee must be 
calculated using the procedures in paragraphs (b) and (c) of this 
section.
    (b) The exceedance fee paid by a manufacturer or importer, which is 
equal to the sum of the applicable exceedance fees for all coatings, 
must be calculated using equation 1 as follows:
[GRAPHIC] [TIFF OMITTED] TR11SE98.014

Where:

Annual Exceedance Fee=The total annual exceedance fee for a manufacturer 
or importer, in dollars.
Coating Feec=The annual exceedance fee for each coating (c), 
for which a fee applies, in dollars.
n=number of coatings to which a fee applies.

    (c) The exceedance fee to be paid for each coating must be 
determined using equation 2 as follows:

[[Page 331]]

[GRAPHIC] [TIFF OMITTED] TR11SE98.015

Where:

Fee Rate = The rate of $0.0028 per gram of excess VOC.
Excess VOC = The VOC content of the coating, or adjusted VOC content of 
a recycled coating (if applicable), in grams of VOC per liter of 
coating, minus the applicable VOC content limit from table 1 of this 
subpart (that is, VOC content of the coating minus VOC content limit).
Volume Manufactured or Imported = The volume of the coating manufactured 
or imported per year, in liters, including the volume of any water and 
exempt compounds and excluding the volume of any colorant added to tint 
bases. Any volume for which a tonnage exemption is claimed under Sec. 
59.404 of this subpart is also excluded.

    (d) The exceedance fee shall be submitted to EPA by March 1 
following the calendar year in which the coatings are manufactured or 
imported and shall be sent to the address provided in Sec. 59.409(b).

[63 FR 48877, Sept. 11, 1998; 64 FR 35001, June 30, 1999, as amended at 
65 FR 7737, Feb. 16, 2000]



Sec. 59.404  Tonnage exemption.

    (a) Each manufacturer and importer of any architectural coating 
subject to the provisions of this subpart may designate a limited 
quantity of coatings to be exempt from the VOC content limits in table 1 
of this subpart and the exceedance fee provisions of Sec. 59.403 of 
this subpart, provided all of the requirements in paragraphs (a)(1) 
through (a)(4) of this section are met.
    (1) The total amount of VOC contained in all the coatings selected 
for exemption must be equal to or less than 23 megagrams (25 tons) for 
the period of time from September 13, 1999 through December 31, 2000; 18 
megagrams (20 tons) in the year 2001; and 9 megagams (10 tons) per year 
in the year 2002 and each subsequent year. The amount of VOC contained 
in each coating shall be calculated using the procedure in paragraph (b) 
of this section. Compliance with the tonnage exemption will be 
determined based on the amount of VOC, as expressed in metric units.
    (2) The container labeling requirements of Sec. 59.405 of this 
subpart.
    (3) The recordkeeping requirements of Sec. 59.407(c) of this 
subpart.
    (4) The reporting requirements of Sec. 59.408(b) and (e) of this 
subpart.
    (b) Each manufacturer and importer choosing to use the exemption 
described in paragraph (a) of this section must use equations 3 and 4 to 
calculate the total amount of VOC for each time period the exemption is 
elected. The VOC amount shall be determined without colorant that is 
added after the tint base is manufactured or imported.
[GRAPHIC] [TIFF OMITTED] TR11SE98.016

Where:

Total VOC = Total megagrams of VOC contained in all coatings being 
claimed under the exemption.
VOCc = Megagrams of VOC, for each coating (c) claimed under 
the exemption, as computed by equation 4.
n = Number of coatings for which exemption is claimed.
[GRAPHIC] [TIFF OMITTED] TR11SE98.017

Where:

Volume Manufactured or Imported = Volume of the coating manufactured or 
imported, in liters, including the volume of any water and exempt 
compounds and excluding the volume of any colorant added to tint bases, 
for the time period the exemption is claimed.
VOC Amount = Grams of VOC per liter of coating thinned to the 
manufacturer's maximum recommendation, including the volume of any water 
and exempt compounds.

[63 FR 48877, Sept. 11, 1998; 64 FR 35001, June 30, 1999]

[[Page 332]]



Sec. 59.405  Container labeling requirements.

    (a) Each manufacturer and importer of any architectural coating 
subject to the provisions of this subpart shall provide the information 
listed in paragraphs (a)(1) through (a)(3) of this section on the 
coating container in which the coating is sold or distributed.
    (1) The date the coating was manufactured, or a date code 
representing the date shall be indicated on the label, lid, or bottom of 
the container.
    (2) A statement of the manufacturer's recommendation regarding 
thinning of the coating shall be indicated on the label or lid of the 
container. This requirement does not apply to the thinning of 
architectural coatings with water. If thinning of the coating prior to 
use is not necessary, the recommendation must specify that the coating 
is to be applied without thinning.
    (3) The VOC content of the coating as described in paragraph 
(a)(3)(i) or (a)(3)(ii) of this section shall be indicated on the label 
or lid of the container.
    (i) The VOC content of the coating, displayed in units of grams of 
VOC per liter of coating or in units of pounds of VOC per gallon of 
coating; or
    (ii) The VOC content limit in table 1 of this subpart with which the 
coating is required to comply and does comply, displayed in units of 
grams of VOC per liter of coating or in units of pounds of VOC per 
gallon of coating.
    (b) In addition to the information specified in paragraph (a) of 
this section, each manufacturer and importer of any industrial 
maintenance coating subject to the provisions of this subpart shall 
display on the label or lid of the container in which the coating is 
sold or distributed one or more of the descriptions listed in paragraphs 
(b)(1) through (b)(4) of this section.
    (1) ``For industrial use only.''
    (2) ``For professional use only.''
    (3) ``Not for residential use'' or ``Not intended for residential 
use.''
    (4) ``This coating is intended for use under the following 
condition(s):'' (Include each condition in paragraphs (b)(4)(i) through 
(b)(4)(v) of this section that applies to the coating.)
    (i) Immersion in water, wastewater, or chemical solutions (aqueous 
and nonaqueous solutions), or chronic exposure of interior surfaces to 
moisture condensation;
    (ii) Acute or chronic exposure to corrosive, caustic, or acidic 
agents, or to chemicals, chemical fumes, or chemical mixtures or 
solutions;
    (iii) Repeated exposure to temperatures above 120[deg] C (250[deg] 
F);
    (iv) Repeated (frequent) heavy abrasion, including mechanical wear 
and repeated (frequent) scrubbing with industrial solvents, cleansers, 
or scouring agents; or
    (v) Exterior exposure of metal structures and structural components.
    (c) In addition to the information specified in paragraph (a) of 
this section, each manufacturer and importer of any recycled coating who 
calculates the VOC content using equations 7 and 8 in Sec. 59.406(a)(3) 
of this subpart shall include the following statement indicating the 
post-consumer coating content on the label or lid of the container in 
which the coating is sold or distributed: ``CONTAINS NOT LESS THAN X 
PERCENT BY VOLUME POST-CONSUMER COATING,'' where ``X'' is replaced by 
the percent by volume of post-consumer architectural coating.

[63 FR 48877, Sept. 11, 1998; 64 FR 35001, June 30, 1999]



Sec. 59.406  Compliance provisions.

    (a) For the purpose of determining compliance with the VOC content 
limits in table 1 of this subpart, each manufacturer and importer shall 
determine the VOC content of a coating using the procedures described in 
paragraph (a)(1), (a)(2), or (a)(3) of this section, as appropriate. The 
VOC content of a tint base shall be determined without colorant that is 
added after the tint base is manufactured or imported.
    (1) With the exception of low solids stains and low solids wood 
preservatives, determine the VOC content in grams of VOC per liter of 
coating thinned to the manufacturer's maximum recommendation, excluding 
the volume of any water and exempt compounds. Calculate the VOC content 
using equation 5 as follows:

[[Page 333]]

[GRAPHIC] [TIFF OMITTED] TR11SE98.018

Where:

VOC content = grams of VOC per liter of coating
Ws = weight of volatiles, in grams
Ww = weight of water, in grams
Wec = weight of exempt compounds, in grams
Vm = volume of coating, in liters
Vw = volume of water, in liters
Vec = volume of exempt compounds, in liters

    (2) For low solids stains and low solids wood preservatives, 
determine the VOC content in units of grams of VOC per liter of coating 
thinned to the manufacturer's maximum recommendation, including the 
volume of any water and exempt compounds. Calculate the VOC content 
using equation 6 as follows:
[GRAPHIC] [TIFF OMITTED] TR11SE98.019

Where:

VOC content 1s = the VOC content of a low solids coating in 
grams of VOC per liter of coating
Ws = weight of volatiles, in grams
Ww = weight of water, in grams
Wec = weight of exempt compounds, in grams
Vm = volume of coating, in liters

    (3) For recycled coatings, the manufacturer or importer has the 
option of calculating an adjusted VOC content to account for the post-
consumer coating content. If this option is used, the manufacturer or 
importer shall determine the adjusted VOC content using equations 7 and 
8 as follows:
[GRAPHIC] [TIFF OMITTED] TR11SE98.020

Where:

Adjusted VOC content = The VOC content assigned to the recycled coating 
for purposes of complying with the VOC content limits in table 1 of this 
subpart.
Actual VOC content = The VOC content of the coating as determined using 
equation 5 in paragraph (a)(1) of this section.
Percent Post-consumer Coating = The volume percent of a recycled coating 
that is post-consumer coating materials (as determined in equation 8)
[GRAPHIC] [TIFF OMITTED] TR11SE98.021

Where:

Percent Post-consumer Coating = The volume percent of a recycled coating 
that is post-consumer coating materials.
Volume of Post-consumer Coating = The volume, in liters, of post-
consumer coating materials used in the production of a recycled coating.
Volume of Virgin Materials = The volume, in liters, of virgin coating 
materials used in the production of a recycled coating.

    (b) To determine the composition of a coating in order to perform 
the calculations in paragraph (a) of this section, the reference method 
for VOC content is Method 24 of appendix A of 40 CFR part 60, except as 
provided in paragraphs (c) and (d) of this section. To determine the VOC 
content of a coating, the manufacturer or importer may use Method 24 of 
appendix A of 40 CFR part 60, an alternative method as provided in 
paragraph (c) of this section, formulation data, or any other reasonable 
means for predicting that the coating has been formulated as intended 
(e.g., quality assurance checks, recordkeeping). However, if there are 
any inconsistencies between the results of a Method 24 test and any 
other means for determining VOC content, the Method 24 test results will 
govern, except as provided in paragraph (c) of this section. The 
Administrator may

[[Page 334]]

require the manufacturer or importer to conduct a Method 24 analysis.
    (c) The Administrator may approve, on a case-by-case basis, a 
manufacturer's or importer's use of an alternative method in lieu of 
Method 24 for determining the VOC content of coatings if the alternative 
method is demonstrated to the Administrator's satisfaction to provide 
results that are acceptable for purposes of determining compliance with 
this subpart.
    (d) Analysis of methacrylate multicomponent coatings used as traffic 
marking coatings shall be conducted according to the procedures 
specified in appendix A to this subpart. Appendix A to this subpart is a 
modification of Method 24 of appendix A of 40 CFR part 60. The 
modification of Method 24 provided in appendix A to this subpart has not 
been approved for methacrylate multicomponent coatings used for other 
purposes than as traffic marking coatings or for other classes of 
multicomponent coatings.
    (e) The Administrator may determine a manufacturer's or importer's 
compliance with the provisions of this subpart based on information 
required by this subpart (including the records and reports required by 
Sec. Sec. 59.407 and 59.408 of this subpart) or any other information 
available to the Administrator.



Sec. 59.407  Recordkeeping requirements.

    (a) Each manufacturer and importer using the provisions of Sec. 
59.406(a)(3) of this subpart to determine the VOC content of a recycled 
coating shall maintain in written or electronic form records of the 
information specified in paragraphs (a)(1) through (a)(6) of this 
section for a period of 3 years.
    (1) The minimum volume percent post-consumer coating content for 
each recycled coating.
    (2) The volume of post-consumer coating received for recycling.
    (3) The volume of post-consumer coating received that was unusable.
    (4) The volume of virgin materials.
    (5) The volume of the final recycled coating manufactured or 
imported.
    (6) Calculations of the adjusted VOC content as determined using 
equation 7 in Sec. 59.406(a)(3) of this subpart for each recycled 
coating.
    (b) Each manufacturer and importer using the exceedance fee 
provisions in Sec. 59.403 of this subpart, as an alternative to 
achieving the VOC content limits in table 1 of this subpart, shall 
maintain in written or electronic form the records specified in 
paragraphs (b)(1) through (b)(7) of this section for a period of 3 
years.
    (1) A list of the coatings and the associated coating categories in 
table 1 of this subpart for which the exceedance fee is used.
    (2) Calculations of the annual fee for each coating and the total 
annual fee for all coatings using the procedure in Sec. 59.403 (b) and 
(c) of this subpart.
    (3) The VOC content of each coating in grams of VOC per liter of 
coating.
    (4) The excess VOC content of each coating in grams of VOC per liter 
of coating.
    (5) The total volume of each coating manufactured or imported per 
calendar year, in liters, including the volume of any water and exempt 
compounds and excluding the volume of any colorant added to tint bases.
    (6) The annual fee for each coating.
    (7) The total annual fee for all coatings.
    (c) Each manufacturer and importer claiming the tonnage exemption in 
Sec. 59.404 of this subpart shall maintain in written or electronic 
form the records specified in paragraphs (c)(1) through (c)(4) of this 
section for a period of 3 years.
    (1) A list of all coatings and associated coating categories in 
table 1 of this subpart for which the exemption is claimed.
    (2) The VOC amount as used in equation 4.
    (3) The volume manufactured or imported, in liters, for each coating 
for which the exemption is claimed for the time period the exemption is 
claimed.
    (4) The total megagrams of VOC contained in each coating for which 
the exemption is claimed, and for all coatings combined for which the 
exemption is claimed, for the time period the exemption is claimed, as 
calculated in Sec. 59.404(b) of this subpart.

[63 FR 48877, Sept. 11, 1998; 64 FR 35001, June 30, 1999]

[[Page 335]]



Sec. 59.408  Reporting requirements.

    (a) Each manufacturer and importer of any architectural coating 
subject to the provisions of this subpart shall submit reports and 
exceedance fees specified in this section to the appropriate address as 
listed in Sec. 59.409 of this subpart.
    (b) Each manufacturer and importer of any architectural coating 
subject to the provisions of this subpart shall submit an initial 
notification report no later than the applicable compliance date 
specified in Sec. 59.400, or within 180 days after the date that the 
first architectural coating is manufactured or imported, whichever is 
later. The initial report must include the information in paragraphs 
(b)(1) through (b)(3) of this section.
    (1) The name and mailing address of the manufacturer or importer.
    (2) The street address of each one of the manufacturer's or 
importer's facilities in the United States that is producing, packaging, 
or repackaging any architectural coating subject to the provisions of 
this subpart.
    (3) A list of the categories from table 1 of this subpart for which 
the manufacturer's or importer's coatings meet the definitions in Sec. 
59.401 of this subpart.
    (4) If a date code is used on a coating container to represent the 
date a coating was manufactured, as allowed in Sec. 59.405(a)(1) of 
this subpart, the manufacturer or importer of the coating shall include 
an explanation of each date code in the initial notification report and 
shall submit an explanation of any new date code no later than 30 days 
after the new date code is first used on the container for a coating.
    (c) Each manufacturer and importer of a recycled coating that 
chooses to determine the adjusted VOC content according to the 
provisions of Sec. 59.406(a)(3) to demonstrate compliance with the 
applicable VOC content limit in table 1 of this subpart shall submit a 
report containing the information in paragraphs (c)(1) through (c)(5) of 
this section. The report must be submitted for each coating for which 
the adjusted VOC content is used to demonstrate compliance. This report 
must be submitted by March 1 of the year following any calendar year in 
which the adjusted VOC content provision is used.
    (1) The minimum volume percent post-consumer coating content for 
each recycled coating.
    (2) The volume of post-consumer coating received for recycling.
    (3) The volume of post-consumer coating received that was unusable.
    (4) The volume of virgin materials used.
    (5) The volume of the final recycled coating manufactured or 
imported.
    (d) Each manufacturer and importer that uses the exceedance fee 
provisions of Sec. 59.403 of this subpart shall report the information 
in paragraphs (d)(1) through (d)(7) of this section for each coating for 
which the exceedance fee provisions are used. This report and the 
exceedance fee payment must be submitted by March 1 following the 
calendar year in which the coating is manufactured or imported.
    (1) Manufacturer's or importer's name and mailing address.
    (2) A list of all coatings and the associated coating categories in 
table 1 of this subpart for which the exceedance fee provision is being 
used.
    (3) The VOC content of each coating that exceeds the applicable VOC 
content limit in table 1 of this subpart.
    (4) The excess VOC content of each coating in grams of VOC per liter 
of coating.
    (5) The total volume of each coating manufactured or imported per 
calendar year, in liters, including the volume of any water and exempt 
compounds and excluding the volume of any colorant added to tint bases.
    (6) The annual fee for each coating.
    (7) The total annual fee for all coatings.
    (e) Each manufacturer and importer of architectural coatings for 
which a tonnage exemption under Sec. 59.404 of this subpart is claimed 
shall submit a report no later than March 1 of the year following the 
calendar year in which the exemption was claimed. The report must 
include the information in paragraphs (f)(1) through (f)(4) of this 
section.
    (1) A list of all coatings and the associated coating categories in 
table 1 of this subpart for which the exemption was claimed.

[[Page 336]]

    (2) The VOC amount as used in equation 4.
    (3) The volume manufactured or imported, in liters, for each coating 
for which the exemption is claimed for the time period the exemption is 
claimed.
    (4) The total megagrams of VOC contained in all coatings for which 
the exemption was claimed for the time period the exemption was claimed, 
as calculated in Sec. 59.404(b) of this subpart.

[63 FR 48877, Sept. 11, 1998; 64 FR 35001, June 30, 1999]



Sec. 59.409  Addresses of EPA Offices.

    (a) Except for exceedance fee payments, each manufacturer and 
importer of any architectural coating subject to the provisions of this 
subpart shall submit all requests, reports, submittals, and other 
communications to the Administrator pursuant to this regulation to the 
Regional Office of the U.S. Environmental Protection Agency that serves 
the State or Territory in which the corporate headquarters of the 
manufacturer or importer resides. These areas are indicated in the 
following list of EPA Regional Offices:

EPA Region I (Connecticut, Maine, Massachusetts, New Hampshire, Rhode 
Island, Vermont), Director, Office of Environmental Stewardship, 
Mailcode: SAA, One Congress Street, Boston, MA 02114-2023.
EPA Region II (New Jersey, New York, Puerto Rico, Virgin Islands), 
Director, Division of Enforcement and Compliance Assistance, 290 
Broadway, New York, NY 10007-1866.
EPA Region III (Delaware, District of Columbia, Maryland, Pennsylvania, 
Virginia, West Virginia), Director, Air Protection Division, 1650 Arch 
Street, Philadelphia, PA 19103.
EPA Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina, Tennessee), Director, Air, Pesticides, and 
Toxics Management Division, 61 Forsyth Street, Atlanta, GA 30303.
EPA Region V (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin), 
Director, Air and Radiation Division, 77 West Jackson Boulevard, 
Chicago, IL 60604-3507.
EPA Region VI (Arkansas, Louisiana, New Mexico, Oklahoma, Texas), 
Director, Multimedia Planning and Permitting Division, 1445 Ross Avenue, 
Dallas, TX 75202-2733.
EPA Region VII (Iowa, Kansas, Missouri, Nebraska), Director, Air, RCRA, 
and Toxics Division, 901 North 5th Street, Kansas City, KS 66101.
EPA Region VIII (Colorado, Montana, North Dakota, South Dakota, Utah, 
Wyoming), Director, Office of Partnerships and Regulatory Assistance, 
999 18th Street, Suite 500, Denver, Colorado 80202-2466.
EPA Region IX (American Samoa, Arizona, California, Guam, Hawaii, 
Nevada), Director, Air Division, 75 Hawthorne Street, San Francisco, CA 
94105.
EPA Region X (Alaska, Oregon, Idaho, Washington), Director, Office of 
Air Quality, 1200 Sixth Avenue, Seattle, WA 98101.

    (b) Each manufacturer and importer who uses the exceedance fee 
provisions of Sec. 59.403 shall submit the exceedance fee payment 
required by Sec. 59.408(d) to the following address: Environmental 
Protection Agency, AIM Exceedance Fees, Post Office Box 371293M, 
Pittsburgh, PA 15251. This address is for the fee payment only; the 
exceedance fee report required by Sec. 59.408(d) is to be submitted to 
the appropriate EPA Regional Office listed in paragraph (a) of this 
section. The exceedance fee payment in the form of a check or money 
order must be made payable to ``U.S. Environmental Protection Agency'' 
or ``US EPA.''

[63 FR 48877, Sept. 11, 1998; 64 FR 35001, June 30, 1999, as amended at 
65 FR 7737, Feb. 16, 2000]



Sec. 59.410  State authority.

    The provisions of this subpart must not be construed in any manner 
to preclude any State or political subdivision thereof from:
    (a) Adopting and enforcing any emissions standard or limitation 
applicable to a manufacturer or importer of architectural coatings; or
    (b) Requiring the manufacturer or importer of architectural coatings 
to obtain permits, licenses, or approvals prior to initiating 
construction, modification, or operation of a facility for manufacturing 
an architectural coating.



Sec. 59.411  Circumvention.

    Each manufacturer and importer of any architectural coating subject 
to the provisions of this subpart must not alter, destroy, or falsify 
any record or report, to conceal what would otherwise be noncompliance 
with this subpart. Such concealment includes, but is not limited to, 
refusing to provide the Administrator access to all required

[[Page 337]]

records and date-coding information, altering the VOC content of a 
coating batch, or altering the results of any required tests to 
determine VOC content.



Sec. 59.412  Incorporations by reference.

    (a) The materials listed in this section are incorporated by 
reference in the paragraphs noted in Sec. 59.401. These incorporations 
by reference were approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These materials are 
incorporated as they exist on the date of the approval, and notice of 
any changes in these materials will be published in the Federal 
Register. The materials are available for purchase at the corresponding 
addresses noted below, and all are available for inspection at the Air 
and Radiation Docket and Information Center, U.S. EPA, 401 M St., SW., 
Washington, DC 20460; at the EPA Library (MD-35), U.S. EPA, Research 
Triangle Park, North Carolina; or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (b) The materials listed below are available for purchase at the 
following address: American Society for Testing and Materials (ASTM), 
100 Barr Harbor Drive, West Conshohocken, PA 19428-2959.
    (1) ASTM Method C 1315-95, Standard Specification for Liquid 
Membrane-Forming Compounds Having Special Properties for Curing and 
Sealing Concrete, incorporation by reference approved for Sec. 59.401, 
Concrete curing and sealing compound.
    (2) ASTM Method D 523-89, Standard Test Method for Specular Gloss, 
incorporation by reference approved for Sec. 59.401, Flat coating and 
Nonflat coating.
    (3) ASTM Method D 1640-83 (Reapproved 1989), Standard Test Methods 
for Drying, Curing, or Film Formation of Organic Coatings at Room 
Temperature, incorporation by reference approved for Sec. 59.401, 
Quick-dry enamel and Quick-dry primer, sealer, and undercoater.
    (4) ASTM Method D 3912-80 (Reapproved 1989), Standard Test Method 
for Chemical Resistance of Coatings Used in Light-Water Nuclear Power 
Plants, incorporation by reference approved for Sec. 59.401, Nuclear 
coating.
    (5) ASTM Method D 4082-89, Standard Test Method for Effects of Gamma 
Radiation on Coatings for Use in Light-Water Nuclear Power Plants, 
incorporation by reference approved for Sec. 59.401, Nuclear coating.
    (c) The following material is available from the AAMA, 1827 Walden 
Office Square, Suite 104, Schaumburg, IL 60173.
    (1) AAMA 605-98, Voluntary Specification Requirements and Test 
Procedures for High Performance Organic Coatings on Aluminum Extrusions 
and Panels, incorporation by reference approved for Sec. 59.401, 
Extreme high durability coating.
    (2) [Reserved]

[63 FR 48877, Sept. 11, 1998, as amended at 69 FR 18803, Apr. 9, 2004]



Sec. 59.413  Availability of information and confidentiality.

    (a) Availability of information. The availability to the public of 
information provided to or otherwise obtained by the Administrator under 
this part shall be governed by part 2 of this chapter.
    (b) Confidentiality. All confidential business information entitled 
to protection under section 114(c) of the Act that must be submitted or 
maintained by each manufacturer or importer of architectural coatings 
pursuant to this section shall be treated in accordance with 40 CFR part 
2, subpart B.

  Appendix A to Subpart D of Part 59--Determination of Volatile Matter 
Content of Methacrylate Multicomponent Coatings Used as Traffic Marking 
                                Coatings

                     1.0 Principle and Applicability

    1.1 Applicability. This modification to Method 24 of appendix A of 
40 CFR part 60 applies to the determination of volatile matter content 
of methacrylate multicomponent coatings used as traffic marking 
coatings.

[[Page 338]]

    1.2 Principle. A known amount of methacrylate multicomponent coating 
is dispersed in a weighing dish using a stirring device before the 
volatile matter is removed by heating in an oven.

                              2.0 Procedure

    2.1 Prepare about 100 milliliters (mL) of sample by mixing the 
components in a storage container, such as a glass jar with a screw top 
or a metal can with a cap. The storage container should be just large 
enough to hold the mixture. Combine the components (by weight or volume) 
in the ratio recommended by the manufacturer. Tightly close the 
container between additions and during mixing to prevent loss of 
volatile materials. Most manufacturers' mixing instructions are by 
volume. Because of possible error caused by expansion of the liquid when 
measuring the volume, it is recommended that the components be combined 
by weight. When weight is used to combine the components and the 
manufacturer's recommended ratio is by volume, the density must be 
determined by section 3.5 of Method 24 of appendix A of 40 CFR part 60.
    2.2 Immediately after mixing, take aliquots from this 100 mL sample 
for determination of the total volatile content, water content, and 
density. To determine water content, follow section 3.4 of Method 24 of 
appendix A of 40 CFR part 60. To determine density, follow section 3.5 
of Method 24. To determine total volatile content, use the apparatus and 
reagents described in section 3.8.2 of Method 24 and the following 
procedures:
    2.2.1 Weigh and record the weight of an aluminum foil weighing dish 
and a metal paper clip. Using a syringe as specified in section 3.8.2.1 
of Method 24, weigh to 1 milligrams (mg), by difference, a sample of 
coating into the weighing dish. For methacrylate multicomponent coatings 
used for traffic marking use 3.0  0.1 g.
    2.2.2 Add the specimen and use the metal paper clip to disperse the 
specimen over the surface of the weighing dish. If the material forms a 
lump that cannot be dispersed, discard the specimen and prepare a new 
one. Similarly, prepare a duplicate. The sample shall stand for a 
minimum of 1 hour, but no more than 24 hours before being oven dried at 
110  5 degrees Celsius for 1 hour.
    2.2.3 Heat the aluminum foil dishes containing the dispersed 
specimens in the forced draft oven for 60 minutes at 110  5 degrees Celsius. Caution--provide adequate 
ventilation, consistent with accepted laboratory practice, to prevent 
solvent vapors from accumulating to a dangerous level.
    2.2.4 Remove the dishes from the oven, place immediately in a 
desiccator, cool to ambient temperature, and weigh to within 1 mg. After 
weighing, break up the film of the coating using the metal paper clip. 
Weigh dish to within 1 mg. Return to forced draft oven for an additional 
60 minutes at 110  5 degrees Celsius.
    2.2.5 Remove the dishes from the oven, place immediately in a 
desiccator, cool to ambient temperature, and weigh to within 1 mg.
    2.2.6 Run analyses in pairs (duplicate sets for each coating mixture 
until the criterion in section 4.3 of Method 24 of appendix A of 40 CFR 
part 60 is met. Calculate the weight of volatile matter for each heating 
period following Equation 24-2 of Method 24 and record the arithmetic 
average. Add the arithmetic average for the two heating periods to 
obtain the weight fraction of the volatile matter.

                      3.0 Data Validation Procedure

    3.1 Follow the procedures in Section 4 of Method 24 of appendix A to 
40 CFR part 60.
    3.2 If more than 10 percent of the sample is lost when the sample is 
being broken up in 2.2.4, the sample is invalid.

                            4.0 Calculations

    Follow the calculation procedures in Section 5 of Method 24 of 
appendix A of 40 CFR part 60.

   Table 1 To Subpart D of Part 59--Volatile Organic Compound (VOC), 
                Content Limits for Architectural Coatings

  [Unless otherwise specified, limits are expressed in grams of VOC per
  liter of coating thinned to the manufacturer's maximum recommendation
 excluding the volume of any water, exempt compounds, or colorant added
                             to tint bases.]
------------------------------------------------------------------------
                                           Grams VOC per  Pounds VOC per
            Coating category                   liter         gallon a
------------------------------------------------------------------------
Antenna coatings........................             530             4.4
Anti-fouling coatings...................             450             3.8
Anti-graffiti coatings..................             600             5.0
Bituminous coatings and mastics.........             500             4.2
Bond breakers...........................             600             5.0
Calcimine recoater......................             475             4.0
Chalkboard resurfacers..................             450             3.8
Concrete curing compounds...............             350             2.9
Concrete curing and sealing compounds...             700             5.8

[[Page 339]]

 
Concrete protective coatings............             400             3.3
Concrete surface retarders..............             780             6.5
Conversion varnish......................             725             6.0
Dry fog coatings........................             400             3.3
Extreme high durability coatings........             800             6.7
Faux finishing/glazing..................             700             5.8
Fire-retardant/resistive coatings:
  Clear.................................             850             7.1
  Opaque................................             450             3.8
Flat coatings:
  Exterior coatings.....................             250             2.1
  Interior coatings.....................             250             2.1
  Floor coatings........................             400             3.3
  Flow coatings.........................             650             5.4
  Form release compounds................             450             3.8
  Graphic arts coatings (sign paints)...             500             4.2
  Heat reactive coatings................             420             3.5
  High temperature coatings.............             650             5.4
  Impacted immersion coatings...........             780             6.5
  Industrial maintenance coatings.......             450             3.8
  Lacquers (including lacquer sanding                680             5.7
   sealers).............................
  Magnesite cement coatings.............             600             5.0
  Mastic texture coatings...............             300             2.5
  Metallic pigmented coatings...........             500             4.2
  Multi-colored coatings................             580             4.8
  Nonferrous ornamental metal lacquers               870             7.3
   and surface protectants..............
Nonflat coatings:
  Exterior coatings.....................             380             3.2
  Interior coatings.....................             380             3.2
  Nuclear coatings......................             450             3.8
  Pretreatment wash primers.............             780             6.5
  Primers and undercoaters..............             350             2.9
Quick-dry coatings:
  Enamels...............................             450             3.8
  Primers, sealers, and undercoaters....             450             3.8
  Repair and maintenance thermoplastic               650             5.4
   coatings.............................
  Roof coatings.........................             250             2.1
  Rust preventative coatings............             400             3.3
  Sanding sealers (other than lacquer                550             4.6
   sanding sealers).....................
  Sealers (including interior clear wood             400             3.3
   sealers).............................
Shellacs:
  Clear.................................             730             6.1
  Opaque................................             550             4.6
Stains:
  Clear and semitransparent.............             550             4.6
  Opaque................................             350             2.9
  Low solids............................           b 120           b 1.0
  Stain controllers.....................             720             6.0
  Swimming pool coatings................             600             5.0
  Thermoplastic rubber coatings and                  550             4.6
   mastics..............................
  Traffic marking coatings..............             150             1.3
  Varnishes.............................             450             3.8
  Waterproofing sealers and treatments..             600             5.0
Wood preservatives:
  Below ground wood preservatives.......             550             4.6
  Clear and semitransparent.............             550             4.6
  Opaque................................             350             2.9
  Low solids............................           b 120           b 1.0
  Zone marking coatings.................             450             3.8
------------------------------------------------------------------------
a English units are provided for information only. Compliance will be
  determined based on the VOC content limit, as expressed in metric
  units.
b Units are grams of VOC per liter (pounds of VOC per gallon) of
  coating, including water and exempt compounds, thinned to the maximum
  thinning recommended by the manufacturer.


[63 FR 48877, Sept. 11, 1998; 63 FR 55175, Oct. 14, 1998; 63 FR 32103, 
June 15, 1999; 64 FR 35002, June 30, 1999]

[[Page 341]]



                              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 343]]

            Material Approved for Incorporation by Reference

                      (Revised as of July 1, 2004)

  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 53 TO 59):

ENVIRONMENTAL PROTECTION AGENCY
                                                                  40 CFR


Environmental Protection Agency Air Docket (A-91-76)

  U.S. EPA, Room M-1500, 401 M Street, SW., 
  Washington, DC 20460
Alaska: State of Alaska Requirements Applicable to            Part 55.14
  OCS Sources, August 21, 1992; South Central 
  Alaska Air Authority Requirements Applicable to 
  OCS Sources, August 21, 1992; State of Alaska 
  Requirements Applicable to OCS Sources, January 
  18, 1997; State of Alaska Requirements 
  Applicable to OCS Sources, July 2, 2000.
California: State of California Requirements                     Part 55
  Applicable to OCS Sources, August 30, 1994; San 
  Luis Obispo County Air Pollution Control 
  District Requirements Applicable to OCS Sources, 
  March 11, 1994; Santa Barbara County Air 
  Pollution Control District Requirements 
  Applicable to OCS Sources, August 1995; South 
  Coast Air Quality Management District 
  Requirements Applicable to OCS Sources, August 
  1995; and Ventura County Air Pollution Control 
  District Requirements Applicable to OCS Sources, 
  August 1995; San Luis Obispo County Air 
  Pollution Control District Requirements 
  Applicable to OCS Sources, February 2000; Santa 
  Barbara County Air Pollution Control District 
  Requirements Applicable to OCS Sources, February 
  2000; South Coast Air Quality Management 
  District Requirements Applicable to OCS Sources 
  (Parts I, II, and III), February 2000; Ventura 
  County Air Pollution Control District 
  Requirements Applicable to OCS Sources, February 
  2000.
Florida: State of Florida Requirements Applicable                Part 55
  to OCS Sources, January 11, 1995.
North Carolina: State of North Carolina Air                      Part 55
  Pollution Control Requirements Applicable to OCS 
  Sources, August 21, 1992.


American Architectural Manufacturers Association (AAMA)

  Suite 104, 1827 Walden Office Square, 
  Schaumburg, IL 60173
AAMA 605-98, Voluntary Specification, Performance                 59.401
  Requirements and Test Procedures for High 
  Performance Organic Coatings on Aluminum 
  Extrusions and Panels, 1998.


American Society for Testing and Materials

  100 Barr Harbor Drive, West Conshohocken, PA 
  19428-2959
ASTM C1315-95, Standard Specification for Liquid                  59.401
Membrane-Forming Compounds Having Special 
[[Page 344]]for Curing and Sealing Concrete.

ASTM D523-89, Standard Test Method for Specular        59.104(e); 59.401
  Gloss.
ASTM D1613-96, Standard Test Method for Acidity in             59.104(d)
  Volatile Solvents and Chemical Intermediates 
  Used in Paint, Varnish, Lacquer, and Related 
  Products.
ASTM D1640-83 (Reapproved 1989), Standard Test                    59.401
  Methods for Drying, Curing, or Film Formation of 
  Organic Coatings at Room Temperature.
ASTM D3912-80 (Reapproved 1989), Standard Test                    59.401
  Method for Chemical Resistance of Coatings Used 
  in Light-Water Nuclear Power Plants.
ASTM D4082-89, Standard Test Method for Effects of                59.401
  Gamma Radiation on Coatings for Use in Light-
  Water Nuclear Power Plants.
ASTM Method E220-86, Standard Method for                    59.208(m)(4)
  Calibration of Thermocouples by Comparison 
  Techniques.
ASTM Method E380-93, Standard Practice for Use of              59.208(k)
  the SI International System of Units.


South Coast Air Quality Management District (SCAQMD)

  P.O. Box 4932, 21865 Copley Drive, Diamond Bar, 
  CA 91765-0932
SCAQMD Method 25.1, March 1989, Determination of          59.208(g)(2); 
  Total Gaseous Non-Methane Organic Emissions as            59.208(j)(3)
  Carbon (amended February 26, 1991).

[[Page 345]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2004)

                      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--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  [Reserved]
        II  Office of Management and Budget Circulars and Guidance 
                [Reserved]
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements [Reserved]


                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)

                   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)
      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)

[[Page 346]]

        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)
     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)
        LV  National Endowment for the Arts (Part 6501)
       LVI  National Endowment for the Humanities (Part 6601)
      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)
     LXVII  Institute of Museum and Library Services (Part 7701)
      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)

[[Page 347]]

     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                      Title 6--Homeland Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 0--99)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and 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)
       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)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)

[[Page 348]]

      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)
    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  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of 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)

[[Page 349]]

       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)
        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, Department of 
                Commerce (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board, 
                Department of Commerce (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)

[[Page 350]]

       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

[[Page 351]]

          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  Bureau of Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Bureau of Immigration and Customs Enforcement, 
                Department of Homeland Security (Parts 400--599)

                     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)

[[Page 352]]

        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)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        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]

[[Page 353]]

       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--1699)
         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)

                           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 (Parts 1000--1199)
       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--899)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

[[Page 354]]

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security 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)

[[Page 355]]

        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
       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)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)

[[Page 356]]

        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)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         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)
        XV  Oklahoma City National Memorial Trust (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

[[Page 357]]

             Title 37--Patents, Trademarks, and Copyrights

         I  United States 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--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       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)
        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 Service, 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)

[[Page 358]]

       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 of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10010)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (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

[[Page 359]]

        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)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (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)

[[Page 360]]

       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)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        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)

[[Page 361]]

        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        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 Homeland Security (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)
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1599)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International 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)

[[Page 362]]

         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 363]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2004)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
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
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
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

[[Page 364]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
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
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
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
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
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  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, United States      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
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs and Border Protection Bureau              19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 365]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  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
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
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
Employee Benefits Security Administration         29, XXV
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, IV, 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                5, III, LXXVII; 14, VI; 
                                                  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

[[Page 366]]

  Trade Representative, Office of the United      15, XX
       States
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
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               31, IX
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
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5

[[Page 367]]

  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
  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
  Centers for Medicare & Medicaid Services        42, IV
  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
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V; 42, I
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  6, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection Bureau            19, I
  Federal Emergency Management Agency             44, I
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
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
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Customs Enforcement Bureau        19, IV
Immigration and Naturalization                    8, I
Immigration Review, Executive Office for          8, V
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; 42, I
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General

[[Page 368]]

  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
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
  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, XI; 40, 
                                                  IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  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
  Employee Benefits Security Administration       29, XXV
  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
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A

[[Page 369]]

  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of 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
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  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
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
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 Crime Prevention and Privacy Compact     28, IX
     Council
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 Interstate Low-Level Radioactive Waste  10, XVIII
   Commission
[[Page 370]]

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, United States        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 Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential 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; 28, XI
  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

[[Page 371]]

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
  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
  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 Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection Bureau            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 Service,        41, 61; 20, IX
     Office of the 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 373]]



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, 
2001, 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, 2001, see the ``List of CFR Sections Affected, 1964-
1972, 1973-1985, and 1986-2000'' published in ten separate volumes.

                                  2001

40 CFR
                                                                   66 FR
                                                                    Page
Chapter I
55.14 (e)(2)(i)(A) revised..................................12984, 53534
55 Appendix A amended.......................................12984, 53534

                                  2002

40 CFR
                                                                   67 FR
                                                                    Page
Chapter I
55 State operating permit program approvals.........................5490
    Technical correction...........................................20651
55.14 (e)(2)(i)(A) Revised.........................................14648
55 Appendix A amended..............................................14648
58 Appendix D amended..............................................57334
    Appendix A amended.............................................80328

                                  2003

                       (No Regulations published)

                                  2004

   (Regulations published from January 1, 2004, through July 1, 2004)

40 CFR
                                                                   69 FR
                                                                    Page
Chapter I
Title 40 nomenclature change.......................................18803


                                  [all]