[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2008 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          40


          Parts 53 to 59

          Revised as of July 1, 2008


          Protection of Environment
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2008
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

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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........     357
      Table of CFR Titles and Chapters........................     359
      Alphabetical List of Agencies Appearing in the CFR......     379
      List of CFR Sections Affected...........................     389

[[Page iv]]





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

                     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, 2008), 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, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call 202-741-6010.

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 
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or write to the Director, Office of the Federal Register, National 
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    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    July 1, 2008.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-one 
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 (63.600-63.1199), part 63 (63.1200-63.1439), 
part 63 (63.1440-63.6175), part 63 (63.6580-63.8830), part 63 (63.8980-
End) parts 64-71, parts 72-80, parts 81-84, part 85-Sec.  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, 2008.

    Chapter I--Environmental Protection Agency appears in all thirty-one 
volumes. Regulations issued by the Council on Environmental Quality, 
including an Index to Parts 1500 through 1508, 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, Bonnie Fritts was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of Michael L. 
White, assisted by Ann Worley.


[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                    (This book contains parts 53-59)

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

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

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         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.

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
53              Ambient air monitoring reference and 
                    equivalent methods......................           5
54              Prior notice of citizen suits...............         115
55              Outer continental shelf air regulations.....         116
56              Regional consistency........................         140
57              Primary nonferrous smelter orders...........         142
58              Ambient air quality surveillance............         216
59              National volatile organic compound emission 
                    standards for consumer and commercial 
                    products................................         272

[[Page 5]]



                  SUBCHAPTER C_AIR PROGRAMS (CONTINUED)





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




                      Subpart A_General Provisions

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

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 [Reserved]
53.32 Test procedures for methods for SO2, CO, O3, 
          and NO2.
53.33 Test procedure for methods for Pb.
53.34 Test procedures for methods for PM10 and Class I 
          methods for PM2.5.
53.35 Test procedures for Class II and Class III methods for 
          PM2.5 and PM10-2.5.

Table C-1 to Subpart C of Part 53--Test Concentration Ranges, Number of 
          Measurements Required, and Maximum Discrepancy Specification
Table C-2 to Subpart C of Part 53--Sequence of Test Measurements
Table C-3 to Subpart C of Part 53--Test Specifications for Pb Methods
Table C-4 to Subpart C of Part 53--Test Specifications for 
          PM10, PM2.5, and PM10-2.5 
          Candidate Equivalent Methods
Table C-5 to Subpart C of Part 53--Summary of Comparability Field 
          Testing Campaign Site and Seasonal Requirements for Class II 
          and III FEMs for PM10-2.5 and PM2.5
Figure C-1 to Subpart C of Part 53--Suggested Format for Reporting Test 
          Results for Methods for SO2, CO, O3, 
          NO2
Figure C-2 to Subpart C of Part 53--Illustration of the Slope and 
          Intercept Limits for Class II and Class III PM2.5 
          Candidate Equivalent Methods
Figure C-3 to Subpart C of Part 53--Illustration of the Slope and 
          Intercept Limits for Class II and Class III 
          PM10-2.5 Candidate Equivalent Methods
Figure C-4 to Subpart C of Part 53--Illustration of the Minimum Limits 
          for Correlation Coefficient for PM2.5 and 
          PM10-2.5 Class II and III Methods
Appendix A to Subpart C of Part 53--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.

[[Page 6]]

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.
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.
    Additive and multiplicative bias means the linear regression 
intercept and slope of a linear plot fitted to corresponding candidate 
and reference method mean measurement data pairs.
    Administrator means the Administrator of the Environmental 
Protection Agency (EPA) or his or her authorized representative.
    Agency means the Environmental Protection Agency.
    Applicant means a person or entity who submits an application for a 
Federal reference method or Federal 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 
Federal reference method determination or a Federal 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 or PM10-2.5 which is based on a sampler that 
is very similar to the sampler specified for reference methods in 
appendix L or appendix O (as applicable) of part 50 of this chapter, 
with only minor deviations or modifications, as determined by EPA.
    Class II equivalent method means an equivalent method for 
PM2.5 or PM10-2.5 that utilizes a PM2.5 
sampler or

[[Page 7]]

PM10-2.5 sampler in which integrated PM2.5 samples 
or PM10-2.5 samples are obtained from the atmosphere by 
filtration and 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 or appendix O (as applicable) of part 50 of this chapter, as 
determined by EPA.
    Class III equivalent method means an equivalent method for 
PM2.5 or PM10-2.5 that is an analyzer capable of 
providing PM2.5 or PM10-2.5 ambient air 
measurements representative of one-hour or less integrated 
PM2.5 or PM10-2.5 concentrations as well as 24-
hour measurements determined as, or equivalent to, the mean of 24 one-
hour consecutive measurements.
    CO means carbon monoxide.
    Collocated means two or more air samplers, analyzers, or other 
instruments that are operated simultaneously 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.
    Federal equivalent method (FEM) 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.
    Federal reference method (FRM) 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.
    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; or
    (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 Federal reference 
method and Federal 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 thereof, 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.
    NO means nitrogen oxide.
    NO2 means nitrogen dioxide.
    NOX means oxides of nitrogen and is defined as the sum of the 
concentrations of NO2 and NO.
    O3 means ozone.
    Operated simultaneously means that two or more collocated samplers 
or analyzers are operated concurrently with no significant difference in 
the start time, stop time, and duration of the sampling or measurement 
period.
    Pb means lead.
    PM means PM10, PM10C, PM2.5, 
PM10-2.5, or particulate matter of unspecified size range.

[[Page 8]]

    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 appendix L of part 50 of this chapter and designated in 
accordance with part 53 of this chapter, by an equivalent method 
designated in accordance with part 53 of this chapter, or by an approved 
regional method designated in accordance with appendix C to this part.
    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 this part or by an equivalent method designated in 
accordance with this part.
    PM10C 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 O of part 50 of this chapter and designated in 
accordance with this part or by an equivalent method designated in 
accordance with this part.
    PM10-2.5 means particulate matter with an aerodynamic diameter less 
than or equal to a nominal 10 micrometers and greater than a nominal 2.5 
micrometers as measured by a reference method based on appendix O to 
part 50 of this chapter and designated in accordance with this part or 
by an equivalent method designated in accordance with this part.
    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.
    PM10C sampler means a PM10 sampler that meets the special 
requirements for a PM10C sampler that is part of a 
PM10-2.5 reference method sampler, as specified in appendix O 
to part 50 of this chapter, or a PM10 sampler that is part of 
a PM10-2.5 sampler that has been designated as an equivalent 
method for PM10-2.5.
    PM10-2.5 sampler means a sampler, or a collocated pair of samplers, 
associated with a manual method for measuring PM10-2.5 and 
designed to collect either PM10-2.5 directly or 
PM10C and PM2.5 separately and simultaneously from 
concurrent ambient air samples, but lacking the ability to automatically 
analyze or measure the collected sample(s) to determine the mass 
concentrations of PM10-2.5 in the sampled air.
    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.
    SO2 means sulfur dioxide.
    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, PM2.5 
sampler, or PM10-2.5 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 
Federal reference method or a Federal equivalent method for purposes 
other than resale.

[71 FR 61271, Oct. 17, 2006]



Sec. 53.2  General requirements for a reference method determination.

    The following general requirements for a Federal reference method 
(FRM) determination are summarized in table A-1 of this subpart.
    (a) Manual methods--(1) Sulfur dioxide (SO2) and lead. For measuring 
SO2 and lead, appendices A and G of part 50 of this chapter 
specify unique manual FRM for measuring these pollutants. Except as 
provided in Sec. 53.16, other manual methods for SO2 and 
lead will not be considered for FRM determinations under this part.
    (2) PM10. A FRM for measuring PM10 must be a manual 
method that meets all requirements specified in appendix

[[Page 9]]

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 this subpart A and subpart D of this part.
    (3) PM2.5. A FRM 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 this subpart A and subpart E of this part. Further, FRM 
samplers must be manufactured in an ISO 9001-registered facility, as 
defined in Sec. 53.1 and as set forth in Sec. 53.51.
    (4) PM10-2.5. A FRM for measuring PM10-2.5 must be a 
manual method that meets all requirements specified in appendix O of 
part 50 of this chapter and must include PM10C and 
PM2.5 samplers that have been shown in accordance with this 
part to meet the applicable requirements specified in this subpart A and 
subpart E of this part. Further, PM10-2.5 FRM samplers must 
be manufactured in an ISO 9001-registered facility, as defined in Sec. 
53.1 and as set forth in Sec. 53.51.
    (b) Automated methods. An automated FRM for measuring CO, 
O3, or 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 this subpart A and subpart B of 
this part.

[71 FR 61271, Oct. 17, 2006]



Sec. 53.3  General requirements for an equivalent method determination.

    (a) Manual methods. A manual Federal equivalent method (FEM) must 
have been shown in accordance with this part to satisfy the applicable 
requirements specified in this subpart A and subpart C of this part. In 
addition, a PM sampler associated with a manual method for 
PM10, PM2.5, or PM10-2.5 must have been 
shown in accordance with this part to satisfy the following additional 
requirements, as applicable:
    (1) PM10. A PM10 sampler associated with a manual method 
for PM10 must satisfy the requirements of subpart D of this 
part.
    (2) PM2.5 Class I. A PM2.5 Class I FEM sampler must also 
satisfy all requirements of subpart E of this part, which shall include 
appropriate demonstration that each and every deviation or modification 
from the FRM sampler specifications does not significantly alter the 
performance of the sampler.
    (3) PM2.5 Class II. (i) A PM2.5 Class II FEM sampler must 
also satisfy the applicable requirements of subparts E and F of this 
part or the alternative requirements in paragraph (a)(3)(ii) of this 
section.
    (ii) In lieu of the applicable requirements specified for Class II 
PM2.5 methods in subparts C and F of this part, a Class II 
PM2.5 FEM sampler may alternatively meet the applicable 
requirements in paragraphs (b)(3)(i) through (iii) of this section and 
the testing, performance, and comparability requirements specified for 
Class III equivalent methods for PM2.5 in subpart C of this 
part.
    (4) PM10-2.5 Class I. A PM10-2.5 Class I FEM sampler must 
also satisfy the applicable requirements of subpart E of this part 
(there are no additional requirements specifically for Class I 
PM10-2.5 methods in subpart C of this part).
    (5) PM10-2.5 Class II. (i) A PM10-2.5 Class II FEM 
sampler must also satisfy the applicable requirements of subpart C of 
this part and also the applicable requirements and provisions of 
paragraphs (b)(3)(i) through (iii) of this section, or the alternative 
requirements in paragraph (a)(5)(ii) of this section.
    (ii) In lieu of the applicable requirements specified for Class II 
PM10-2.5 methods in subpart C of this part and in paragraph 
(b)(3)(iii) of this section, a Class II PM10-2.5 FEM sampler 
may alternatively meet the applicable requirements in paragraphs 
(b)(3)(i) and (ii) of this section and the testing, performance, and 
comparability requirements specified for Class III FEMs for 
PM10-2.5 in subpart C of this part.
    (6) ISO 9001. All designated FEMs for PM2.5 or 
PM10-2.5 must be manufactured in an ISO 9001-registered 
facility, as defined in Sec. 53.1 and as set forth in Sec. 53.51.
    (b) Automated methods. All types of automated FEMs must have been 
shown in accordance with this part to

[[Page 10]]

satisfy the applicable requirements specified in this subpart A and 
subpart C of this part. In addition, an automated FEM must have been 
shown in accordance with this part to satisfy the following additional 
requirements, as applicable:
    (1) An automated FEM for pollutants other than PM must be shown in 
accordance with this part to satisfy the applicable requirements 
specified in subpart B of this part.
    (2) An automated FEM for PM10 must be shown in accordance 
with this part to satisfy the applicable requirements of subpart D of 
this part.
    (3) A Class III automated FEM for PM2.5 or 
PM10-2.5 must be shown in accordance with this part to 
satisfy the requirements in paragraphs (b)(3)(i) through (iii) of this 
section, as applicable.
    (i) All pertinent requirements of 40 CFR part 50, appendix L, 
including sampling height, range of operational conditions, ambient 
temperature and pressure sensors, outdoor enclosure, electrical power 
supply, control devices and operator interfaces, data output port, 
operation/instruction manual, data output and reporting requirements, 
and any other requirements that would be reasonably applicable to the 
method, unless adequate (as determined by the Administrator) rationale 
can be provided to support the contention that a particular requirement 
does not or should not be applicable to the particular candidate method.
    (ii) All pertinent tests and requirements of subpart E of this part, 
such as instrument manufacturing quality control; final assembly and 
inspection; manufacturer's audit checklists; leak checks; flow rate 
accuracy, measurement accuracy, and flow rate cut-off; operation 
following power interruptions; effect of variations in power line 
voltage, ambient temperature and ambient pressure; and aerosol 
transport; unless adequate (as determined by the Administrator) 
rationale can be provided to support the contention that a particular 
test or requirement does not or should not be applicable to the 
particular candidate method.
    (iii) Candidate methods shall be tested for and meet any performance 
requirements, such as inlet aspiration, particle size separation or 
selection characteristics, change in particle separation or selection 
characteristics due to loading or other operational conditions, or 
effects of surface exposure and particle volatility, determined by the 
Administrator to be necessary based on the nature, design, and specifics 
of the candidate method and the extent to which it deviates from the 
design and performance characteristics of the reference method. These 
performance requirements and the specific test(s) for them will be 
determined by Administrator for each specific candidate method or type 
of candidate method and may be similar to or based on corresponding 
tests and requirements set forth in subpart F of this part or may be 
special requirements and tests tailored by the Administrator to the 
specific nature, design, and operational characteristics of the 
candidate method. For example, a candidate method with an inlet design 
deviating substantially from the design of the reference method inlet 
would likely be subject to an inlet aspiration test similar to that set 
forth in Sec. 53.63. Similarly, a candidate method having an inertial 
fractionation system substantially different from that of the reference 
method would likely be subject to a static fractionation test and a 
loading test similar to those set forth in Sec. Sec. 53.64 and 53.65, 
respectively. A candidate method with more extensive or profound 
deviations from the design and function of the reference method may be 
subject to other tests, full wind-tunnel tests similar to those 
described in Sec. 53.62, or to special tests adapted or developed 
individually to accommodate the specific type of measurement or 
operation of the candidate method.
    (4) All designated FEM for PM2.5 or PM10-2.5 
must be manufactured in an ISO 9001-registered facility, as defined in 
Sec. 53.1 and as set forth in Sec. 53.51.

[71 FR 61271, Oct. 17, 2006]



Sec. 53.4  Applications for reference or equivalent 
method determinations.

    (a) Applications for FRM or FEM determinations shall be submitted in 
duplicate to: Director, National Exposure Research Laboratory, Reference 
and Equivalent Method Program (MD-D205-03), U.S. Environmental 
Protection

[[Page 11]]

Agency, Research Triangle Park, North Carolina 27711 (Commercial 
delivery address: 4930 Old Page Road, Durham, North Carolina 27703).
    (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 or PM10-2.5 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 descriptions of 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 any applicable appendix 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 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 (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 part 
B, sections 3.3.1 (paragraph 1) and 3.5.1 and part C, section 4.6 of 
reference 2 of

[[Page 12]]

appendix A of this subpart; and in paragraphs 1 through 3 of section 4.8 
(Records) of reference 5 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, PM2.5, and PM10-2.5 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 and PM10-2.5 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 and PM10-2.5 the warranty program must 
ensure that the required specifications (see Table A-1 to this subpart) 
will be 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 reference 1 of 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

[[Page 13]]

that have passed the required inspections and tests are released for 
sale.
    (ii) Section 4.13 in reference 1 of appendix A of this subpart 
requires documented procedures for control of nonconforming product, 
including review and acceptable alternatives for disposition; section 
4.14 in reference 1 of 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 and Class II or Class III equivalent methods for 
PM10-2.5, the applicant, if requested by EPA, 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 Director, 
National Exposure Research Laboratory, Reference and Equivalent Method 
Program (MD-D205-03), U.S. Environmental Protection Agency, 4930 Old 
Page Road, Durham, North Carolina 27703, 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. The EPA does not warrant or assume 
any liability for the condition of the analyzer or sampler upon return 
to the applicant.

[71 FR 61271, Oct. 17, 2006]



Sec. 53.5  Processing of applications.

    After receiving an application for a FRM or FEM determination, the 
Administrator will, 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 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).

[71 FR 61271, Oct. 17, 2006]

[[Page 14]]



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 FRM or 
FEM (as applicable) by and upon publication of a notice of the 
designation in the Federal Register.
    (b) Upon designation, a notice indicating that the method has been 
designated as a FRM or FEM shall be sent to the applicant.
    (c) The Administrator will maintain a current list of methods 
designated as FRM or FEM 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 and 
may be available via the Internet or other sources.

[71 FR 61276, Oct. 17, 2006]



Sec. 53.9  Conditions of designation.

    Designation of a candidate method as a FRM or FEM 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.
    (a) Any method offered for sale as a FRM or FEM shall be accompanied 
by a copy of the manual referred to in Sec. 53.4(b)(3) when delivered 
to any ultimate purchaser, and an electronic copy of the manual suitable 
for incorporating into user-specific standard operating procedure 
documents shall be readily available to any users.
    (b) Any method offered for sale as a FRM or FEM shall generate no 
unreasonable hazard to operators or to the environment during normal use 
or when malfunctioning.
    (c) Any analyzer, PM10 sampler, PM2.5 sampler, 
or PM10-2.5 sampler offered for sale as part of a FRM or FEM 
shall function within the limits of the performance specifications 
referred to in

[[Page 15]]

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, PM2.5 sampler, 
or PM10-2.5 sampler offered for sale as a FRM or FEM shall 
bear a prominent, permanently affixed label or sticker indicating that 
the analyzer or sampler has been designated by EPA as a FRM or FEM (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 FRM or FEM 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 FRM or FEM.
    (f) An applicant who offers analyzers, PM10 samplers, 
PM2.5 samplers, or PM10-2.5 samplers for sale as 
FRM or FEMs 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 FRM or FEM 
designation applicable to such an analyzer or sampler, the applicant 
shall notify all ultimate purchasers of the analyzer or 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, 
PM2.5 sampler, or PM10-2.5 sampler that has been 
designated as a FRM or FEM, 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 or sampler or has applied for and 
received notice under Sec. 53.8(b) of a new FRM or FEM determination 
for the modified analyzer or sampler.
    (h) An applicant who has offered PM2.5 or 
PM10-2.5 samplers or analyzers for sale as part of a FRM or 
FEM 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 FRM or FEM 
designation under Sec. 53.11.
    (i) An applicant who has offered PM2.5 or 
PM10-2.5 samplers or analyzers for sale as part of a FRM or 
FEM 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.

[71 FR 61276, Oct. 17, 2006]



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

[[Page 16]]

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.



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.

[[Page 17]]

    (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 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

[[Page 18]]

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.



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).

[[Page 19]]



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.
    (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

[[Page 20]]

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
                                       Equivalent.............  Manual.................         [check]   [check
                                                                                                              ]
                                                                Automated..............         [check]   [check  [check
                                                                                                              ]       ]
CO...................................  Reference..............  Automated..............                C  [check  [check
                                                                                                              ]       ]
                                       Equivalent.............  Manual.................         [check]   [check
                                                                                                              ]
                                                                Automated..............         [check]   [check  [check
                                                                                                              ]       ]
O3...................................  Reference..............  Automated..............               D   [check  [check
                                                                                                              ]       ]
                                       Equivalent.............  Manual.................         [check]   [check
                                                                                                              ]
                                                                Automated..............         [check]   [check  [check
                                                                                                              ]       ]
NO2..................................  Reference..............  Automated..............               F   [check  [check
                                                                                                              ]       ]
                                       Equivalent.............  Manual.................         [check]   [check
                                                                                                              ]
                                                                Automated..............         [check]   [check  [check
                                                                                                              ]       ]
Pb...................................  Reference..............  Manual.................               G
                                       Equivalent.............  Manual.................         [check]   [check
                                                                                                              ]
PM10.................................  Reference..............  Manual.................               J   [check  [check
                                                                                                              ]       ]
                                       Equivalent.............  Manual.................         [check]   [check  [check
                                                                                                              ]       ]
                                                                Automated..............         [check]   [check  [check
                                                                                                              ]       ]
PM2.5................................  Reference..............  Manual.................               L   [check  [check
                                                                                                              ]       ]
                                       Equivalent Class I.....  Manual.................               L   [check  [check  [check
                                                                                                              ]       ]       ]
                                       Equivalent Class II....  Manual.................            L\1\   [check  [check  [check  [check
                                                                                                              ]    ]\2\       ]    ]1,2
                                       Equivalent Class III...  Automated..............            L\1\   [check  [check  [check  [check
                                                                                                              ]       ]    ]\1\    ]\1\
PM10	2.5.............................  Reference..............  Manual.................            O\2\   [check  [check
                                                                                                              ]       ]
                                       Equivalent Class I.....  Manual.................              O2   [check  [check
                                                                                                              ]       ]
                                       Equivalent Class II....  Manual.................            O\2\   [check  [check  [check  [check
                                                                                                              ]    ]\2\    ]\1\   ]1, 2

[[Page 21]]

 
                                       Equivalent Class III...  Automated..............      L\1\,O1, 2   [check  [check  [check  [check
                                                                                                              ]       ]    ]\1\    ]\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Some requirements may apply, based on the nature of each particular candidate method, as determined by the Administrator.
\2\ Alternative Class III requirements may be substituted.


[71 FR 61276, Oct. 17, 2006]




Sec. 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, P.O. Box 3005, Milwaukee, WI 53202 (http://
qualitypress.asq.org).
    (2) American National Standard Quality Systems for Environmental 
Data and Technology Programs--Requirements with guidance for use, ANSI/
ASQC E4-2004. Available from American Society for Quality P.O. Box 3005, 
Milwaukee, WI 53202 (http://qualitypress.asq.org).
    (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) Quality Assurance Guidance Document 2.12. Monitoring 
PM2.5 in Ambient Air Using Designated Reference or Class I 
Equivalent Methods. U.S. EPA, National Exposure Research Laboratory, 
Research Triangle Park, NC, November 1998 or later edition. Currently 
available at http://www.epa.gov/ttn/amtic/pmqainf.html.

[62 FR 38784, July 18, 1997, as amended at 71 FR 61278, Oct. 17, 2006]



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



Sec. 53.20  General provisions.

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

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

[[Page 22]]

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 instructions before beginning the 
tests.

[[Page 23]]

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 
atmospheres and suggested methods of verifying the concentrations. Only 
one means of establishing the concentration of a test atmosphere is 
normally required. If the method of generation can produce reproducible 
concentrations, verification is optional. If the method of generation is 
not reproducible, then establishment of the concentration by some 
verification method is required. However, when a method of generation 
other than that given in table B-2 is used, the test concentration shall 
be verified.
    (b) The test atmosphere delivery system shall be designed and 
constructed so as not to significantly alter the test atmosphere 
composition or concentration during the period of the test. The delivery 
system shall be fabricated from borosilicate glass or FEP Teflon.
    (c) The output of the test atmosphere generation system shall be 
sufficiently stable to obtain stable response during the required tests. 
If a permeation device is used for generation of a test atmosphere, the 
device, as well as the air passing over it, shall be controlled to 
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 24]]



                                           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 25]]

    (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 26]]

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 27]]



                                                                 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 28]]

    (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 29]]

    (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 30]]

 
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 31]]

[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 32]]

 
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 33]]

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 = C\max.\-
C\min.\. (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 34]]



Sec. 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 35]]




[[Page 36]]




[[Page 37]]




[[Page 38]]




[[Page 39]]

[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: 71 FR 61278, Oct. 17, 2006, 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

[[Page 40]]

ambient air. Minor deviations in testing requirements and acceptance 
requirements set forth in this subpart, in connection with any 
documented extenuating circumstances, may be determined by the 
Administrator to be acceptable, at the discretion of the Administrator.
    (b) Selection of test sites. (1) Each test site shall be in an area 
which can be shown to have at least moderate concentrations of various 
pollutants. Each site shall be clearly identified and shall be justified 
as an appropriate test site with suitable supporting evidence such as a 
description of the surrounding area, characterization of the sources and 
pollutants typical in the area, maps, population density data, vehicular 
traffic data, emission inventories, pollutant measurements from previous 
years, concurrent pollutant measurements, meteorological data, and other 
information useful in supporting the suitability of the site for the 
comparison test or tests.
    (2) If approval of one or more proposed test sites is desired prior 
to conducting the tests, a written request for approval of the test site 
or sites must be submitted to the address given in Sec. 53.4. The 
request should include information identifying the type of candidate 
method and one or more specific proposed test sites along with a 
justification for each proposed specific site as described in paragraph 
(b)(1) of this section. The EPA will evaluate each proposed site and 
approve the site, disapprove the site, or request more information about 
the site. Any such pre-test approval of a test site by the EPA shall 
indicate only that the site meets the applicable test site requirements 
for the candidate method type; it shall not indicate, suggest, or imply 
that test data obtained at the site will necessarily meet any of the 
applicable data acceptance requirements. The Administrator may exercise 
discretion in selecting a different site (or sites) for any additional 
tests the Administrator decides to conduct.
    (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) Sampling or sample collection. All test concentration 
measurements or samples shall be taken in such a way that both the 
candidate method and the reference method obtain air samples that are 
alike or as nearly identical as practical.
    (e) Operation. Set-up and start-up of the test analyzer(s), test 
sampler(s), and reference method analyzers or samplers shall be in 
strict accordance with the applicable operation manual(s).
    (f) 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 method (or portion thereof) shall 
be calibrated according to the applicable operation manual(s), if such 
calibration is a part of the method.
    (g) 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 and 
PM10-2.5, all submitted information must meet the 
requirements of the ANSI/ASQC E4 Standard, sections 6 (reference 1 of 
appendix A of this subpart).



Sec. 53.31  [Reserved]



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

    (a) Comparability. Comparability is shown for SO2, CO, 
O3, and NO2 methods when the differences between:
    (1) Measurements made by a candidate manual method or by a test 
analyzer representative of a candidate automated method, and;
    (2) Measurements made simultaneously by a reference method are less 
than or equal to the values for maximum discrepancy specified in table 
C-1 of this subpart.
    (b) Test measurements. All test measurements are to be made at the 
same

[[Page 41]]

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, as described under 
paragraph (f)(4) of this section.
    (c) Requirements for measurements or samples. All test measurements 
made or test samples collected by means of a sample manifold as 
specified in paragraph (f)(4) of this section shall be at a room 
temperature between 20[deg] and 30 [deg]C, and at a line voltage between 
105 and 125 volts. All methods shall be calibrated as specified in Sec. 
53.30(f) prior to initiation of the tests.
    (d) Set-up and start-up. (1) Set-up and start-up of the test 
analyzer, test sampler(s), and reference method 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 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.
    (e) Range. (1) Except as provided in paragraph (e)(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.
    (f) 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.
    (4) Ambient air shall be sampled from a common intake and 
distribution

[[Page 42]]

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 particulate matter and trace gases, 
and to insure 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.
    (g) Tests. (1) Conduct the first set of simultaneous measurements 
with the candidate and reference methods:
    (i) 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.
    (ii) The pollutant concentration must fall within the specified 
range as measured by the reference method.
    (iii) 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.
    (2) 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.
    (3) The results of the first set of measurements shall be 
interpreted as follows:
    (i) Zero failures: The candidate method passes the test for 
comparability.
    (ii) Three or more failures: The candidate method fails the test for 
comparability.
    (iii) 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:
    (A) One or two failures: The candidate method passes the test for 
comparability.
    (B) Three or more failures: The candidate method fails the test for 
comparability.
    (iv) 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.
    (4) 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.
    (5) A 24-hour measurement consists of the integral of the 
instantaneous concentration over a 24-hour continuous period divided by 
the time period. This integration may be performed by any appropriate 
means such as chemical, electronic, mechanical, or by calculating the 
mean of twenty-four (24) sequential 1-hour measurements.
    (6) For O3 and CO, no more than six 1-hour measurements 
shall be made per day. For SO2, 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.
    (7) 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

[[Page 43]]

made with the method, and the correction procedure shall become a part 
of the method.



Sec. 53.33  Test procedure for methods for Pb.

    (a) Comparability. Comparability is shown for Pb methods when the 
differences between:
    (1) Measurements made by a candidate method, and
    (2) Measurements made by the reference method on simultaneously 
collected Pb samples (or the same sample, if applicable), are less than 
or equal to the value specified in table C-3 of this subpart.
    (b) Test measurements. 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 Pb concentrations in the specified range.
    (c) Collocated samplers. The ambient air intake points of all the 
candidate and reference method collocated samplers shall be positioned 
at the same height above the ground level, and between 2 meters (1 meter 
for samplers with flow rates less than 200 liters per minute (L/min)) 
and 4 meters apart. The samplers shall be oriented in a manner that will 
minimize spatial and wind directional effects on sample collection.
    (d) Sample collection. Collect simultaneous 24-hour samples 
(filters) of Pb at the test site or sites with both the reference and 
candidate methods until at least 10 filter pairs have been obtained. A 
candidate method which employs a sampler and sample collection procedure 
that are identical to the sampler and sample collection procedure 
specified in the reference method, but uses 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 each shall be divided for 
respective analysis in accordance with the analytical procedures of the 
candidate method and the reference method.
    (e) Audit samples. Three audit samples must be obtained from the 
address given in Sec. 53.4(a). The audit samples are \3/4\ x 8-inch 
glass fiber strips containing known amounts of Pb at the following 
nominal levels: 100 micrograms per strip ([micro]g/strip); 300 [micro]g/
strip; 750 [micro]g/strip. The true amount of Pb, in total [micro]g/
strip, will be provided with each audit sample.
    (f) 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 times in sequence. Calculate the indicated 
Pb concentrations for the reference method samples in micrograms per 
cubic meter ([micro]g/m\3\) for each analysis of each filter. Calculate 
the indicated total Pb amount for the audit samples in [micro]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 Pb concentration in [micro]g/m\3\ 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 Pb concentrations without a separable procedure, 
C1A=C1B=C1C, 
C2A=C2B=C2C, etc.
    (g) Average Pb concentration. For the reference method, calculate 
the average Pb concentration for each filter by averaging the 
concentrations calculated from the three analyses using equation 1 of 
this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.015

Where, i is the filter number.

    (h) Accuracy. (1)(i) For the audit samples, calculate the average Pb 
concentration for each strip by averaging

[[Page 44]]

the concentrations calculated from the three analyses using equation 2 
of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.016

Where, i is audit sample number.

    (ii) Calculate the percent difference (Dq) between the 
indicated Pb concentration for each audit sample and the true Pb 
concentration (Tq) using equation 3 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.017

    (2) If any difference value (Dqi) exceeds 5 percent, the accuracy of the reference method 
analytical procedure is out-of-control. Corrective action must be taken 
to determine the source of the error(s) (e.g., calibration standard 
discrepancies, extraction problems, etc.) and the reference method and 
audit sample determinations must be repeated according to paragraph (f) 
of this section, or the entire test procedure (starting with paragraph 
(d) of this section) must be repeated.
    (i) Acceptable filter pairs. Disregard all filter pairs for which 
the Pb concentration, as determined in paragraph (g) of this section by 
the average of the three reference method determinations, falls outside 
the range of 0.5 to 4.0 [micro]g/m\3\. All remaining filter pairs must 
be subjected to the tests for precision and comparability in paragraphs 
(j) and (k) of this section. At least five filter pairs must be within 
the 0.5 to 4.0 [micro]g/m\3\ range for the tests to be valid.
    (j) 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, using equation 4 or equation 5 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.018


or
[GRAPHIC] [TIFF OMITTED] TR17OC06.019

 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 (f) of this section, or the entire 
test procedure (starting with paragraph (d) 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.
    (k) Test for comparability. (1) For each filter or analytical sample 
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 using equation 6 
of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.020

 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) exceed 20 percent, the candidate method fails the test for 
comparability.
    (4) The candidate method must pass both the precision test 
(paragraph (j) of this section) and the comparability test (paragraph 
(k) of this section) to qualify for designation as an equivalent method.

[[Page 45]]



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

    (a) Comparability. Comparability is shown for PM10 
methods and for Class I methods for PM2.5 when the 
relationship between:
    (1) Measurements made by a candidate method, and
    (2) Measurements made by a corresponding reference method on 
simultaneously collected samples (or the same sample, if applicable) at 
each of one or more test sites (as required) is such that the linear 
regression parameters (slope, intercept, and correlation coefficient) 
describing the relationship meet the requirements specified in table C-4 
of this subpart.
    (b) 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 the minimum number of test PM10 
concentrations in the ranges specified in table C-4 of this subpart. The 
tests at the two sites may be conducted in different calendar seasons, 
if appropriate, to provide PM10 concentrations in the 
specified ranges.
    (c) 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.
    (d) Methods for PM2.5. Augmentation of pollutant concentrations is 
not permitted, hence appropriate test sites must be selected to provide 
the minimum number of test measurement sets to meet the requirements for 
PM2.5 concentrations in the ranges specified in table C-4 of 
this subpart. Only one test site is required, and the site need only 
meet the PM2.5 ambient concentration levels required by table 
C-4 of this subpart and the requirements of Sec. 53.30(b) of this 
subpart. A total of 10 valid measurement sets is required.
    (e) Collocated measurements. (1) 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.
    (2) The ambient air intake points of all the candidate and reference 
method collocated samplers or analyzers shall be positioned at the same 
height above the ground level, and between 2 meters (1 meter for 
samplers or analyzers with flow rates less than 200 L/min) and 4 meters 
apart. The samplers shall be oriented in a manner that will minimize 
spatial and wind directional effects on sample collection.
    (3) At each site, obtain as many sets of simultaneous 
PM10 or PM2.5 measurements as necessary (see table 
C-4 of this subpart), each set consisting of three reference method and 
three candidate method measurements, all obtained simultaneously.
    (4) Candidate PM10 method measurements shall be nominal 
24-hour (1 hour) integrated measurements or shall 
be averaged to obtain the mean concentration for a nominal 24-hour 
period. PM2.5 measurements may be either nominal 24-or 48-
hour integrated measurements. All collocated measurements in a 
measurement set must cover the same nominal 24-or 48-hour time period.
    (5) 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 [micro]g/m\3\. If the conditions of 
paragraph (c) of this section apply, collect sample sets only with the 
three reference method samplers. Guidance for quality assurance 
procedures for PM2.5 methods is found in ``Quality Assurance 
Document 2.12'' (reference (2) in appendix A to this subpart).

[[Page 46]]

    (f) 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.
    (g) Calculation of reference method averages and precisions. (1) For 
each of the measurement sets, calculate the average PM10 or 
PM2.5 concentration obtained with the reference method 
samplers, using equation 7 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.021

Where:

R = The concentration measurements from the reference methods;
i = The sampler number; and
j = The measurement set number.

    (2) For each of the measurement sets, calculate the precision of the 
reference method PM10 or PM2.5 measurements as the 
standard deviation, PRj, using equation 8 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.022

    (3) For each measurement set, also calculate the precision of the 
reference method PM10 or PM2.5 measurements as the 
relative standard deviation, RPRj, in percent, using equation 
9 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.023

    (h) Acceptability of measurement sets. Each measurement set is 
acceptable and valid only if the three reference method measurements and 
the three candidate method measurements are obtained and are valid, 
Rj falls within the acceptable concentration range specified 
in table C-4 of this subpart, and either PRj or 
RPRj is within the corresponding limit for reference method 
precision specified in table C-4 of this subpart. For each site, table 
C-4 of this subpart specifies the minimum number of measurement sets 
required having Rj above and below specified concentrations 
for 24- or 48-hour samples. Additional measurement sets shall be 
obtained, as necessary, to provide the minimum number of acceptable 
measurement sets for each category and the minimum total number of 
acceptable measurement sets for each test site. If more than the minimum 
number of measurement sets are collected that meet the acceptability 
criteria, all such measurement sets shall be used to demonstrate 
comparability.
    (i) Candidate method average concentration measurement. For each of 
the acceptable measurement sets, calculate the average PM10 
or PM2.5 concentration measurements obtained with the 
candidate method samplers, using equation 10 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.024

Where:

C = The concentration measurements from the candidate methods;
i = The measurement number in the set; and
j = The measurement set number.

    (j) Test for comparability. (1) For each site, plot all of the 
average PM10 or PM2.5 measurements obtained with 
the candidate method (Cj) 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.
    (2) To pass the test for comparability, the slope, intercept, and 
correlation coefficient calculated under paragraph (j)(1) of this 
section must be within the limits specified in table C-4 of this subpart 
for all test sites.

[[Page 47]]



Sec. 53.35  Test procedure for Class II and Class III methods for
PM2.5 and PM10-2.5.

    (a) Overview. Class II and Class III candidate equivalent methods 
shall be tested for comparability of PM2.5 or 
PM10-2.5 measurements to corresponding collocated 
PM2.5 or PM10-2.5 reference method measurements at 
each of multiple field sites, as required. Comparability is shown for 
the candidate method when simultaneous collocated measurements made by 
candidate and reference methods meet the comparability requirements 
specified in this section Sec. 53.35 and in table C-4 of this subpart 
at each of the required test sites.
    (b) Test sites and seasons. A summary of the test site and seasonal 
testing requirements is presented in table C-5 of this subpart.
    (1) Test sites. Comparability testing is required at each of the 
applicable U.S. test sites required by this paragraph (b). Each test 
site must also meet the general test site requirements specified in 
Sec. 53.30(b).
    (i) PM2.5 Class II and Class III candidate methods. Test sites 
should be chosen to provide representative chemical and meteorological 
characteristics with respect to nitrates, sulfates, organic compounds, 
and various levels of temperature, humidity, wind, and elevation. For 
Class III methods, one test site shall be selected in each of the 
following four general locations (A, B, C, and D). For Class II methods, 
two test sites, one western site (A or B) and one midwestern or eastern 
site (C or D), shall be selected from these locations.
    (A) Test site A shall be in the Los Angeles basin or California 
Central Valley area in a location that is characterized by relatively 
high PM2.5, nitrates, and semi-volatile organic pollutants.
    (B) Test site B shall be in a western city such as Denver, Salt Lake 
City, or Albuquerque in an area characterized by cold weather, higher 
elevation, winds, and dust.
    (C) Test site C shall be in a midwestern city characterized by 
substantial temperature variation, high nitrates, and wintertime 
conditions.
    (D) Test site D shall be in a northeastern or mid-Atlantic city that 
is seasonally characterized by high sulfate concentrations and high 
relative humidity.
    (ii) PM10-2.5 Class II and Class III candidate methods. Test sites 
shall be chosen to provide modest to high levels of PM10-2.5 
representative of locations in proximity to urban sources of 
PM10-2.5 such as high-density traffic on paved roads, 
industrial sources, and construction activities. For Class III methods, 
one test site shall be selected in each of the four following general 
locations (A, B, C, and D), and at least one of the test sites shall 
have characteristic wintertime temperatures of 0 [deg]C or lower. For 
Class II methods, two test sites, one western site (A or B) and one 
midwestern or eastern site (C or D), shall be selected from these 
locations.
    (A) Test site A shall be in the Los Angeles basin or the California 
Central Valley area in a location that is characterized by relatively 
high PM2.5, nitrates, and semi-volatile organic pollutants.
    (B) Test site B shall be in a western city characterized by a high 
ratio of PM10-2.5 to PM2.5, with exposure to 
windblown dust, such as Las Vegas or Phoenix.
    (C) Test site C shall be in a midwestern city characterized by 
substantial temperature variation, high nitrates, and wintertime 
conditions.
    (D) Test site D shall be in a large city east of the Mississippi 
River, having characteristically high sulfate concentrations and high 
humidity levels.
    (2) Test seasons. (i) For PM2.5 and PM10-2.5 
Class III candidate methods, test campaigns are required in both summer 
and winter seasons at test site A, in the winter season only at test 
sites B and C, and in the summer season only at test site D. (A total of 
five test campaigns is required.) The summer season shall be defined as 
the typically warmest three or four months of the year at the site; the 
winter season shall be defined as the typically coolest three or four 
months of the year at the site.
    (ii) For Class II PM2.5 and PM10-2.5 candidate 
methods, one test campaign is required at test site A or B and a second 
test campaign at test site C or D (total of two test campaigns).

[[Page 48]]

    (3) Test concentrations. The test sites should be selected to 
provide ambient concentrations within the concentration limits specified 
in table C-4 of this subpart, and also to provide a wide range of test 
concentrations. A narrow range of test concentrations may result in a 
low concentration coefficient of variation statistic for the test 
measurements, making the test for correlation coefficient more difficult 
to pass (see paragraph (h) of this section, test for comparison 
correlation).
    (4) Pre-approval of test sites. The EPA recommends that the 
applicant seek EPA approval of each proposed test site prior to 
conducting test measurements at the site. To do so, the applicant should 
submit a request for approval as described in Sec. 53.30(b)(2).
    (c) Collocated measurements. (1) For each test campaign, three 
reference method samplers and three candidate method samplers or 
analyzers shall be installed and operated concurrently at each test site 
within each required season (if applicable), as specified in paragraph 
(b) of this section. All reference method samplers shall be of single-
filter design (not multi-filter, sequential sample design). Each 
candidate method shall be setup and operated in accordance with its 
associated manual referred to in Sec. 53.4(b)(3) and in accordance with 
applicable guidance in ``Quality Assurance Document 2.12'' (reference 
(2) in appendix A to this subpart). All samplers or analyzers shall be 
placed so that they sample or measure air representative of the 
surrounding area (within one kilometer) and are not unduly affected by 
adjacent buildings, air handling equipment, industrial operations, 
traffic, or other local influences. The ambient air inlet points of all 
samplers and analyzers shall be positioned at the same height above the 
ground level and between 2 meters (1 meter for instruments having sample 
inlet flow rates less than 200 L/min) and 4 meters apart.
    (2) A minimum of 23 valid and acceptable measurement sets of 
PM2.5 or PM10-2.5 24-hour (nominal) concurrent 
concentration measurements shall be obtained during each test campaign 
at each test site. To be considered acceptable for the test, each 
measurement set shall consist of at least two valid reference method 
measurements and at least two valid candidate method measurements, and 
the PM2.5 or PM10-2.5 measured concentration, as 
determined by the average of the reference method measurements, must 
fall within the acceptable concentration range specified in table C-4 of 
this subpart. Each measurement set shall include all valid measurements 
obtained. For each measurement set containing fewer than three reference 
method measurements or fewer than three candidate method measurements, 
an explanation and appropriate justification shall be provided to 
account for the missing measurement or measurements.
    (3) More than 23 valid measurement sets may be obtained during a 
particular test campaign to provide a more advantageous range of 
concentrations, more representative conditions, additional higher or 
lower measurements, or to otherwise improve the comparison of the 
methods. All valid data sets obtained during each test campaign shall be 
submitted and shall be included in the analysis of the data.
    (4) The integrated-sample reference method measurements shall be of 
at least 22 hours and not more than 25 hours duration. Each reference 
method sample shall be retrieved promptly after sample collection and 
analyzed according to the reference method to determine the 
PM2.5 or PM10-2.5 measured concentration in 
[micro]g/m\3\. Guidance and quality assurance procedures applicable to 
PM2.5 or PM10-2.5 reference methods are found in 
``Quality Assurance Document 2.12'' (reference (2) in appendix A to this 
subpart).
    (5) Candidate method measurements shall be timed or processed and 
averaged as appropriate to determine an equivalent mean concentration 
representative of the same time period as that of the concurrent 
integrated-sample reference method measurements, such that all 
measurements in a measurement set shall be representative of the same 
time period. In addition, hourly average concentration measurements 
shall be obtained from each of the Class III candidate method analyzers 
for each valid measurement set and submitted as part of the application 
records.

[[Page 49]]

    (6) In the following tests, all measurement sets obtained at a 
particular test site, from both seasonal campaigns if applicable, shall 
be combined and included in the test data analysis for the site. Data 
obtained at different test sites shall be analyzed separately. All 
measurements should be reported as normally obtained, and no measurement 
values should be rounded or truncated prior to data analysis. In 
particular, no negative measurement value, if otherwise apparently 
valid, should be modified, adjusted, replaced, or eliminated merely 
because its value is negative. Calculated mean concentrations or 
calculated intermediate quantities should retain at least one order-of-
magnitude greater resolution than the input values. All measurement data 
and calculations shall be recorded and submitted in accordance with 
Sec. 53.30(g), including hourly test measurements obtained from Class 
III candidate methods.
    (d) Calculation of mean concentrations--(1) Reference method outlier 
test. For each of the measurement sets for each test site, check each 
reference method measurement to see if it might be an anomalous value 
(outlier) as follows, where Ri,j is the measurement of 
reference method sampler i on test day j. In the event that one of the 
reference method measurements is missing or invalid due to a specific, 
positively-identified physical cause (e.g., sampler malfunction, 
operator error, accidental damage to the filter, etc.; see paragraph 
(c)(2) of this section), then substitute zero for the missing 
measurement, for the purposes of this outlier test only.
    (i) Calculate the quantities 2 x R1,j/(R1,j + 
R2,j) and 2 x R1,j/(R1,j + 
R3,j). If both quantities fall outside of the interval, 
(0.93, 1.07), then R1,j is an outlier.
    (ii) Calculate the quantities 2 x R2,j/(R2,j + 
R1,j) and 2 x R2,j/(R2,j + 
R3,j). If both quantities fall outside of the interval, 
(0.93, 1.07), then R2,j is an outlier.
    (iii) Calculate the quantities 2 x R3,j/(R3,j 
+ R1,j) and 2 x R3,j/(R3,j + 
R2,j). If both quantities fall outside of the interval, 
(0.93, 1.07), then R3,j is an outlier.
    (iv) If this test indicates that one of the reference method 
measurements in the measurement set is an outlier, the outlier 
measurement shall be eliminated from the measurement set, and the other 
two measurements considered valid. If the test indicates that more than 
one reference method measurement in the measurement set is an outlier, 
the entire measurement set (both reference and candidate method 
measurements) shall be excluded from further data analysis for the tests 
of this section.
    (2) For each of the measurement sets for each test site, calculate 
the mean concentration for the reference method measurements, using 
equation 11 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.025

Where:

Rj = The mean concentration measured by the reference method 
for the measurement set;
Ri,j = The measurement of reference method sampler i on test 
day j; and
n = The number of valid reference method measurements in the measurement 
set (normally 3).

    (3) Any measurement set for which Rj does not fall in the 
acceptable concentration range specified in table C-4 of this subpart is 
not valid, and the entire measurement set (both reference and candidate 
method measurements) must be eliminated from further data analysis.
    (4) For each of the valid measurement sets at each test site, 
calculate the mean concentration for the candidate method measurements, 
using equation 12 of this section. (The outlier test in paragraph (d)(1) 
of this section shall not be applied to the candidate method 
measurements.)
[GRAPHIC] [TIFF OMITTED] TR41AD07.000

Where:


[[Page 50]]


Cj = The mean concentration measured by the candidate method 
for the measurement set;
Ci,j = The measurement of the candidate method sampler or 
analyzer i on test day j; and
m = The number of valid candidate method measurements in the measurement 
set (normally 3).

    (e) Test for reference method precision. (1) For each of the 
measurement sets for each site, calculate an estimate for the relative 
precision of the reference method measurements, RPj, using 
equation 13 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.001

    (2) For each site, calculate an estimate of reference method 
relative precision for the site, RP, using the root mean square 
calculation of equation 14 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.028

Where, J is the total number of valid measurement sets for the site.

    (3) Verify that the estimate for reference method relative precision 
for the site, RP, is not greater than the value specified for reference 
method precision in table C-4 of this subpart. A reference method 
relative precision greater than the value specified in table C-4 of this 
subpart indicates that quality control for the reference method is 
inadequate, and corrective measures must be implemented before 
proceeding with the test.
    (f) Test for candidate method precision. (1) For each of the 
measurement sets, for each site, calculate an estimate for the relative 
precision of the candidate method measurements, CPj, using 
equation 15 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.002

    (2) For each site, calculate an estimate of candidate method 
relative precision for the site, CP, using the root mean square 
calculation of equation 16 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.030

Where, J is the total number of valid measurement sets for the site.

    (3) To pass the test for precision, the mean candidate method 
relative precision at each site must not be greater than the value for 
candidate method precision specified in table C-4 of this subpart.
    (g) Test for additive and multiplicative bias (comparative slope and 
intercept). (1) For each test site, calculate the mean concentration 
measured by the reference method, R, using equation 17 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.003

    (2) For each test site, calculate the mean concentration measured by 
the candidate method, C, using equation 18 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.032

    (3) For each test site, calculate the linear regression slope and 
intercept of

[[Page 51]]

the mean candidate method measurements (Cj) against the mean 
reference method measurements (Rj), using equations 19 and 20 
of this section, respectively:
[GRAPHIC] [TIFF OMITTED] TR17OC06.033

[GRAPHIC] [TIFF OMITTED] TR17OC06.034

    (4) To pass this test, at each test site:
    (i) The slope (calculated to at least 2 decimal places) must be in 
the interval specified for regression slope in table C-4 of this 
subpart; and
    (ii) The intercept (calculated to at least 2 decimal places) must be 
in the interval specified for regression intercept in table C-4 of this 
subpart.
    (iii) The slope and intercept limits are illustrated in figures C-2 
and C-3 of this subpart.
    (h) Tests for comparison correlation. (1) For each test site, 
calculate the (Pearson) correlation coefficient, r (not the coefficient 
of determination, r\2\), using equation 21 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.004

    (2) For each test site, calculate the concentration coefficient of 
variation, CCV, using equation 22 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.036

    (3) To pass the test, the correlation coefficient, r, for each test 
site must not be less than the values, for various values of CCV, 
specified for correlation in table C-4 of this subpart. These limits are 
illustrated in figure C-4 of this subpart.

[71 FR 61278, Oct. 17, 2006, as amended at 72 FR 32202, June 12, 2007]


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

----------------------------------------------------------------------------------------------------------------
                                                          Simultaneous measurements required
                                                     --------------------------------------------     Maximum
                                     Concentration            1-hr                  24-hr           discrepancy
            Pollutant              range, parts per  -------------------------------------------- specification,
                                        million                    Second                Second      parts per
                                                      First set     set     First set     set         million
----------------------------------------------------------------------------------------------------------------
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
                                                     -----------------------------------------------------------
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

[[Page 52]]

 
                                  Med 0.10 to 0.20..  .........  .........          2          3             .03
                                  High 0.25 to 0.35.  .........  .........          2          2             .03
                                                     -----------------------------------------------------------
                                  Total.............  .........  .........          7          8  ..............
----------------------------------------------------------------------------------------------------------------


[72 FR 32203, June 12, 2007]


 Table C-2 to Subpart 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 Pb 
                                 Methods

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Concentration range, [micro]g/m\3\........  0.5-4.0
Minimum number of 24-hr measurements......  5
Maximum analytical precision, percent.....  15
Maximum analytical accuracy, percent......   5
Maximum difference, percent of reference     20
 method.
------------------------------------------------------------------------


 Table C-4 to Subpart C of Part 53--Test Specifications for 
  PM10, PM2.5 and PM10-2.5 Candidate 
                           Equivalent Methods

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                 PM2.5                                           PM10	2.5
          Specification                  PM10        ---------------------------------------------------------------------------------------------------
                                                            Class I            Class II            Class III           Class II            Class III
--------------------------------------------------------------------------------------------------------------------------------------------------------
Acceptable concentration range    15-300............  3-200.............  3-200               3-200               3-200               3-200
 (Rj), [micro]g/m3.
Minimum number of test sites....  2.................  1.................  2                   4                   2                   4
Minimum number of candidate       3.................  3.................  3 \1\               3 \1\               3 \1\               3 \1\
 method samplers or analyzers
 per site.
Number of reference method        3.................  3.................  3 \1\               3 \1\               3 \1\               3 \1\
 samplers per site.
Minimum number of acceptable
 sample sets per site for PM10
 methods:
    Rj < 60 [micro]g/m3.........  3
    Rj > 60 [micro]g/m3.........  3
    Total.......................  10
Minimum number of acceptable
 sample sets per site for PM2.5
 and PM10-2.5 candidate
 equivalent methods:
    Rj < 30 [micro]g/m3 for 24-   ..................  3
     hr or Rj < 20 [micro]g/m3
     for 48-hr samples.
    Rj > 30 [micro]g/m3 for 24-   3
     hr or Rj > 20 [micro]g/m3
     for 48-hr samples.

[[Page 53]]

 
    Each season.................  10................  23................  23                  23                  23
    Total, each site............  10................  23................  23 (46 for two-     23                  23 (46 for two-
                                                                           season sites)                           season sites)
Precision of replicate reference  5 [micro]g/m3 or    2 [micro]g/m3 or    10% 2               10% 2               10% 2               10% 2
 method measurements, PRj or       7%.                 5%.
 RPRj, respectively; RP for
 Class II or III PM2.5 or PM10-
 2.5, maximum.
Precision of PM2.5 or PM10-2.5    10% 2.............  15% 2.............  15% 2               15% 2
 candidate method, CP, each site.
Slope of regression relationship  1  0.10.       thn-eq> 0.05.       thn-eq> 0.10        thn-eq> 0.10        thn-eq> 0.10        thn-eq> 0.12
Intercept of regression           0  5.          thn-eq> 1.          (15.05 x slope),    (17.32 x slope),    (70.5 x slope),     (82.93 x slope),
                                                                           but not less than   but not less than   but not less than   but not less than
                                                                           -1.5; and 16.56 -   -2.0; and 15.05 -   -3.5; and 78.95 -   -7.0; and 70.50 -
                                                                           (15.05 x slope),    (13.20 x slope),    (70.5 x slope),     (61.16 x slope),
                                                                           but not more than   but not more than   but not more than   but not more than
                                                                           +1.5                +2.0                +3.5                +7.0
                                 -----------------------------------------------------------------------------------------------------------------------
Correlation of reference method   = 0.97.  = 0.97.   = 0.93--for CCV <= 0.4; = 0.85 + 0.2 x CCV--for 0.4 <=
 and candidate method                                                                 CCV <= 0.5; = 0.95--for CCV = 0.5
 measurements.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Some missing daily measurement values may be permitted; see test procedure.
\2\ Calculated as the root mean square over all measurement sets.


[72 FR 32203, June 12, 2007]



 Table C-5 to Subpart C of Part 53--Summary of Comparability Field 
  Testing Campaign Site and Seasonal Requirements for Class II and III 
            FEMs for PM10-2.5 and PM2.5

--------------------------------------------------------------------------------------------------------------------------------------------------------
          Candidate method                  Test site                   A                      B                      C                      D
--------------------------------------------------------------------------------------------------------------------------------------------------------
PM2.5..............................  Test site location      Los Angeles basin or    Western city such as   Midwestern city......  Northeastern or mid-
                                      area.                   California Central      Denver, Salt Lake                             Atlantic city.
                                                              Valley.                 City, or Albuquerque.
                                     Test site               Relatively high PM2.5,  Cold weather, higher   Substantial            High sulfate and high
                                      characteristics.        nitrates, and semi-     elevation, winds,      temperature            relative humidity.
                                                              volatile organic        and dust.              variation, high
                                                              pollutants.                                    nitrates, wintertime
                                                                                                             conditions.
                                     Class III Field test    Winter and summer.....  Winter only..........  Winter only..........  Summer only.
                                      campaigns (Total: 5).
                                                            --------------------------------------------------------------------------------------------
                                     Class II Field test                Site A or B, any season
                                      campaigns (Total: 2).
                                                Site C or D, any season.
                                                            --------------------------------------------------------------------------------------------
PM10-2.5...........................  Test site location      Los Angeles basin or    Western city such as   Midwestern city......  Large city east of
                                      area.                   California Central      Las Vegas or Phoenix.                         the Mississippi
                                                              Valley.                                                               River.
                                                            --------------------------------------------------------------------------------------------
                                     Test site               Relatively high PM2.5,  High PM10-2.5 to       Substantial            High sulfate and high
                                      characteristics.        nitrates, and semi-     PM2.5 ratio,           temperature            relative humidity.
                                                              volatile organic        windblown dust.        variation, high
                                                              pollutants.                                    nitrates, wintertime
                                                                                                             conditions.
                                     Class III Field test    Winter and summer.....  Winter only..........  Winter only..........  Summer only.
                                      campaigns (Total: 5).
                                                            --------------------------------------------------------------------------------------------

[[Page 54]]

 
                                     Class II Field test                Site A or B, any season
                                      campaigns (Total: 2).
                                                Site C or D, any season.
--------------------------------------------------------------------------------------------------------------------------------------------------------



 Figure C-1 to Subpart C of Part 53--Suggested Format for Reporting 
  Test Results for Methods for SO 2, CO, O 3, NO 
                              2

 Candidate Method_______________________________________________________

 Reference Method_______________________________________________________

 Applicant______________________________________________________________

[msqu] First Set [msqu] Second Set [msqu] Type [msqu] 1 Hour [msqu] 24 
Hour


--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                           Concentration, ppm
              Concentration range                                      Date      Time   ------------------------ Difference     Table C-1      Pass or
                                                                                          Candidate   Reference                   spec.          fail
--------------------------------------------------------------------------------------------------------------------------------------------------------
                      Low                       1
                                               ---------------------------------------------------------------------------------------------------------
-------- ppm                                    2
                                               ---------------------------------------------------------------------------------------------------------
to -------- ppm                                 3
                                               ---------------------------------------------------------------------------------------------------------
                                                4
                                               ---------------------------------------------------------------------------------------------------------
                                                5
                                               ---------------------------------------------------------------------------------------------------------
                                                6
--------------------------------------------------------------------------------------------------------------------------------------------------------
                    Medium                      1
                                               ---------------------------------------------------------------------------------------------------------
-------- ppm                                    2
                                               ---------------------------------------------------------------------------------------------------------
to -------- ppm                                 3
                                               ---------------------------------------------------------------------------------------------------------
                                                4
                                               ---------------------------------------------------------------------------------------------------------
                                                5
                                               ---------------------------------------------------------------------------------------------------------
                                                6
--------------------------------------------------------------------------------------------------------------------------------------------------------
                     High                       1
                                               ---------------------------------------------------------------------------------------------------------
-------- ppm                                    2
                                               ---------------------------------------------------------------------------------------------------------
to -------- ppm                                 3
                                               ---------------------------------------------------------------------------------------------------------
                                                4
                                               ---------------------------------------------------------------------------------------------------------
                                                5
                                               ---------------------------------------------------------------------------------------------------------
                                                6
                                               ---------------------------------------------------------------------------------------------------------
                                                7
                                               ---------------------------------------------------------------------------------------------------------
                                                8
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                ...................  ........  ........  ..........  ..........  ..........           Total
                                                                                                                                  Failures:
--------------------------------------------------------------------------------------------------------------------------------------------------------


[72 FR 32204, June 12, 2007]

[[Page 55]]

[GRAPHIC] [TIFF OMITTED] TR41AD07.009


[72 FR 32204, June 12, 2007]

[[Page 56]]

[GRAPHIC] [TIFF OMITTED] TR41AD07.010


[72 FR 32204, June 12, 2007]

[[Page 57]]

[GRAPHIC] [TIFF OMITTED] TR41AD07.011


[72 FR 32204, June 12, 2007]



Sec. Appendix A to Subpart C of Part 53--References

    (1) American National Standard Quality Systems for Environmental 
Data and Technology Programs--Requirements with guidance for use, ANSI/
ASQC E4-2004. Available from American Society for Quality, P.O. Box 
3005, Milwaukee, WI 53202 (http://qualitypress.asq.org).
    (2) Quality Assurance Guidance Document 2.12. Monitoring 
PM2.5 in Ambient Air Using Designated Reference or Class I 
Equivalent Methods. U.S. EPA, National Exposure Research Laboratory, 
Research Triangle Park, NC, November 1998 or later edition. Currently 
available at http://www.epa.gov/ttn/amtic/pmqainf.html.



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

[[Page 58]]

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 ([micro]m) for each of 
the three wind speeds. These plots shall be used to calculate the 
expected mass concentration for the test sampler, using the procedure in 
Sec. 53.43(a). The candidate method passes the liquid particle sampling 
effectiveness test if the expected mass concentration calculated for the 
test sampler at each wind speed differs by no more than 10 percent from that predicted for the ``ideal'' 
sampler.*
---------------------------------------------------------------------------

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

    (e) For the 50 percent cutpoint parameter, the test result for each 
wind speed shall be reported as the particle size at which the curve 
specified in Sec. 53.40(d) crosses the 50 percent effectiveness line. 
The candidate method passes the 50 percent cutpoint test if the test 
result at each wind speed falls within 100.5 
[micro]m.
    (f) The solid particle sampling effectiveness of a test sampler 
shall be determined in a wind tunnel using 25 [micro]m particles at 2 
wind speeds as specified in table D-2. A minimum of three replicate 
measurements of sampling effectiveness for the 25 [micro]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 [micro]m solid particles and the average of the 
replicate measurements obtained for the 25 [micro]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.

[[Page 59]]

 
2. 50 Percent cutpoint                  [micro]m..................  10[micro].5 [micro]m
                                                                     aerodynamic diameter.
3. Precision                            [micro]g/m\3\ or percent..  5 [micro]g/m\3\ or 7 percent for three
                                                                     collocated samplers.
4. Flow rate stability                  Percent...................  Average flow rate over 24 hours within 5 percent of initial flow
                                                                     rate; all measured flow rates over 24 hours
                                                                     within 10 percent of
                                                                     initial flow rate.
----------------------------------------------------------------------------------------------------------------



Sec. 53.41  Test conditions.

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



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

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

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

    (b) The size of the test particles delivered to the test section of 
the wind tunnel shall be established using the operating parameters of 
the vibrating orifice aerosol generator and shall be verified during the 
tests by microscopic examination of samples of the particles collected 
on glass slides or other suitable substrates. When sizing liquid 
particles on glass slides, the slides should be pretreated with an

[[Page 60]]

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 
[micro]m or better, and particle size determined by the verification 
technique shall not differ by more than 0.5 [micro]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 ([micro]5 percent), the solid particle test atmosphere is 
unacceptable for purposes of these tests.
    (d) The concentration of particles in the wind tunnel is not 
critical. However, the cross-sectional uniformity of the particle 
concentration in the sampling zone of the test section shall be 
established during the tests using isokinetic samplers. An array of not 
less than five evenly spaced isokinetic samplers shall be used to 
determine the particle concentration uniformity in the sampling zone. If 
the particle concentration measured by any single isokinetic sampler in 
the sampling zone differs by more than 10 percent from the mean 
concentration, the particle delivery system is unacceptable in terms of 
uniformity of particle concentration. The sampling zone shall be a 
rectangular area having a horizontal dimension not less than 1.2 times 
the width of the test sampler at its inlet opening and a vertical 
dimension not less than 25 centimeters. The sampling zone is an area in 
the test section of the wind tunnel that is horizontally and vertically 
symmetrical with respect to the test sampler inlet opening.
    (e) The wind speed in the wind tunnel shall be determined during the 
tests using an appropriate technique capable of a precision of 5 percent 
or better (e.g., hot-wire anemometry). The mean wind speed in the test 
section of the wind tunnel during the tests shall be within 10 percent 
of the value specified in table D-2. The wind speed measured at any test 
point in the test section shall not differ by more than 10 percent from 
the mean wind speed in the test section. The turbulence intensity 
(longitudinal component and macroscale) in the test section shall be 
determined during the tests using an appropriate technique (e.g., hot-
wire anemometry).
    (f) The accuracy of all flow measurements used to calculate the test 
atmosphere concentrations and the test results shall be documented to be 
within 2 percent, referenced to a primary 
standard. Any flow measurement corrections shall be clearly shown. All 
flow measurements shall be given in actual volumetric units.
    (g) Schematic drawings of the particle delivery system (wind tunnel 
and blower system) and other information showing complete procedural 
details of the test atmosphere generation, verification, and delivery 
techniques shall 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

[[Page 61]]

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 [micro]m or 10 percent of the aerodynamic diameter 
calculated from the operating parameters of the vibrating orifice 
aerosol generator. The geometric standard deviation must not exceed 1.1.
    (iv) Determine the population of multiplets (doublets and triplets) 
in the collected sample by counting a minimum of 100 particles in three 
viewing fields. The multiplet population of the particle test atmosphere 
must not exceed 10 percent.
    (v) Introduce the particles into the wind tunnel and allow the 
particle concentration to stabilize.
    (vi) Install an array of five or more evenly spaced isokinetic 
samplers in the sampling zone (see Sec. 53.42(d)) of the wind tunnel. 
Collect particles on appropriate filters (e.g., glass fiber) over a time 
period such that the relative error of the measured particle 
concentration is less than 5 percent. Relative error is defined as 
(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

[[Page 62]]

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

[[Page 63]]

    (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 [micro]m and Ecorr = 0 
percent at a particle size of 50 [micro]m.
    (B) Determine the value of Ecorr at each of the particle 
sizes specified in the first column of table D-3. Record each 
Ecorr value as a decimal between 0 and 1 in the second column 
of table D-3.
    (C) Multiply the values of Ecorr in column 2 by the 
interval mass concentration values in column 3 and enter the products in 
column 4 of table D-3.
    (D) Sum the values in column 4 and enter the total as the expected 
mass concentration for the test sampler at the bottom of column 4 of 
table D-3.
    (E) Calculate and record the percent difference in expected mass 
concentration between the test sampler and the ideal sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.022

where:

Csam(exp) = expected mass concentration for the test sampler, 
[micro]g/m\3\
Cideal(exp) = expected mass concentration for the ideal 
sampler, [micro]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 [micro]m solid particles and the average sampling 
effectiveness value for the 25 [micro]m liquid particles (uncorrected 
for multiplets).
    (xxii) The candidate method passes the solid particle sampling 
effectiveness test if each such difference meets the specification in 
table D-1.

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

[[Page 64]]

 
              09.0    ....................               5.864    ....................               0.628                 5.864                 3.683
              09.5    ....................               5.822    ....................               0.590                 5.822                 3.435
              10.0    ....................               5.750    ....................               0.551                 5.750                 3.168
              10.5    ....................               5.653    ....................               0.509                 5.653                 2.877
              11.0    ....................               8.257    ....................               0.465                 8.257                 3.840
              12.0    ....................              10.521    ....................               0.371                10.521                 3.903
              13.0    ....................               9.902    ....................               0.269                 9.902                 2.664
              14.0    ....................               9.250    ....................               0.159                 9.250                 1.471
              15.0    ....................               8.593    ....................               0.041                 8.593                 0.352
              16.0    ....................               7.948    ....................               0.000                 7.948                 0.000
              17.0    ....................               7.329    ....................               0.000                 7.329                 0.000
              18.0    ....................               9.904    ....................               0.000                 9.904                 0.000
              20.0    ....................              11.366    ....................               0.000                11.366                 0.000
              22.0    ....................               9.540    ....................               0.000                 9.540                 0.000
              24.0    ....................               7.997    ....................               0.000                 7.997                 0.000
              26.0    ....................               6.704    ....................               0.000                 6.704                 0.000
              28.0    ....................               5.627    ....................               0.000                 5.627                 0.000
              30.0    ....................               7.785    ....................               0.000                 7.785                 0.000
              35.0    ....................               7.800    ....................               0.000                 7.800                 0.000
              40.0    ....................               5.192    ....................               0.000                 5.192                 0.000
              45.0    ....................               4.959    ....................               0.000                 4.959                 0.000
                      ....................       Csam(exp) = D    ....................  ....................       Cideal(exp) =               143.889
--------------------------------------------------------------------------------------------------------------------------------------------------------

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

    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

[[Page 65]]

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 [micro]g/m\3\ for any test day, 
data from that test day are unacceptable and the tests for that day must 
be repeated.
    (iv) Calculate and record the precision for each of the 10 test days 
as:


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


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.

[[Page 66]]



   Subpart E_Procedures for Testing Physical (Design) and Performance 
Characteristics of Reference Methods and Class I and Class II Equivalent 
                Methods for PM2.5 or PM10-2.5

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



Sec. 53.50  General provisions.

    (a) A candidate method for PM2.5 or PM10-2.5 
described in an application for a FRM or FEM determination submitted 
under Sec. 53.4 shall be determined by the EPA to be a FRM or a Class 
I, II, or III FEM on the basis of the definitions for such methods given 
in Sec. 53.1. 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 or PM10-2.5 sampler associated with a 
candidate reference method or Class I or Class II equivalent method 
meets all design and performance specifications set forth in appendix L 
or O, respectively, of part 50 of this chapter as well as additional 
requirements specified in this subpart E. Some or all of these tests may 
also be applicable to a candidate Class III equivalent method or 
analyzer, as may be determined under Sec. 53.3(b)(3).
    (b) PM2.5 methods--(1) Reference method. A sampler associated with a 
candidate reference method for PM2.5 shall be subject to the 
provisions, specifications, and test procedures prescribed in Sec. Sec. 
53.51 through 53.58.
    (2) Class I method. A sampler associated with a candidate Class I 
equivalent method for PM2.5 shall be subject to the 
provisions, specifications, and test procedures prescribed in all 
sections of this subpart.
    (3) Class II method. A sampler associated with a candidate Class II 
equivalent method 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 or as specified in Sec. 53.3(a)(3).
    (c) PM10-2.5 methods--(1) Reference method. A sampler 
associated with a reference method for PM10-2.5, as specified 
in appendix O to part 50 of this chapter, shall be subject to the 
requirements in this paragraph (c)(1).
    (i) The PM2.5 sampler of the PM10-2.5 sampler 
pair shall be verified to be either currently designated under this part 
53 as a FRM for PM2.5, or shown to meet all requirements for 
designation as a FRM for PM2.5, in accordance with this part 
53.
    (ii) The PM10C sampler of the PM10-2.5 sampler 
pair shall be verified to be of like manufacturer, design, 
configuration, and fabrication to the PM2.5 sampler of the 
PM10-2.5 sampler pair, except for replacement of the particle 
size separator specified in section 7.3.4 of appendix L to part 50 of 
this chapter with the downtube extension as specified in Figure O-1 of 
appendix O to part 50 of this chapter.
    (iii) For samplers that meet the provisions of paragraphs (c)(1)(i) 
and (ii) of this section, the candidate PM10-2.5 reference 
method may be determined to be a FRM without further testing.
    (2) Class I method. A sampler associated with a Class I candidate 
equivalent method for PM10-2.5 shall meet the requirements in 
this paragraph (c)(2).
    (i) The PM2.5 sampler of the PM10-2.5 sampler 
pair shall be verified to be either currently designated under this part 
53 as a FRM or Class I FEM for PM2.5, or shown to meet all 
requirements for designation as a FRM or Class I FEM for 
PM2.5, in accordance with this part 53.
    (ii) The PM10c sampler of the PM10-2.5 sampler 
pair shall be verified to be of similar design to the 
PM10-2.5 sampler and to meet all requirements for designation 
as a FRM or Class I FRM for PM2.5, in accordance with this 
part 53, except for replacement of the particle size separator specified 
in section 7.3.4 of appendix L to part 50 of this chapter with the 
downtube extension as specified in Figure O-1 of appendix O to part 50 
of this chapter.
    (iii) For samplers that meet the provisions of paragraphs (c)(2)(i) 
and (ii) of this section, the candidate PM10-2.5 method may 
be determined to be a Class I FEM without further testing.

[[Page 67]]

    (3) Class II method. A sampler associated with a Class II candidate 
equivalent method for PM10-2.5 shall be subject to the 
applicable requirements of this subpart E, as described in Sec. 
53.3(a)(5).
    (d) 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 or O, as applicable. 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 CFR part 50, appendix L or O, 
as applicable, 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.
    (e) Test procedures prescribed in Sec. 53.59 do not apply to 
candidate reference method samplers. These procedures apply primarily to 
candidate Class I or Class II equivalent method samplers for 
PM2.5 or PM10-2.5 that have a sample air flow path 
configuration upstream of the sample filter that is modified from that 
specified for the FRM sampler, as set forth in 40 CFR part 50, appendix 
L, Figures L-1 to L-29 or 40 CFR part 50 appendix O, Figure O-1, if 
applicable, 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 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.
    (f) A 10-day operational field test of measurement precision is 
required under Sec. 53.58 for both FRM and Class I FEM samplers for 
PM2.5. This test requires collocated operation of three 
candidate method samplers at a field test site. For candidate FEM 
samplers, this test may be combined and carried out concurrently with 
the test for comparability to the FRM specified under Sec. 53.34, which 
requires collocated operation of three FRM samplers and three candidate 
FEM samplers.
    (g) 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 6) and Part C, (section 7) 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.

[71 FR 61289, Oct. 17, 2006]



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

    (a) Overview. (1) Paragraphs (a) through (f) of this section specify 
certain documentation that must be submitted and tests that are required 
to demonstrate that samplers associated with a designated FRM or FEM for 
PM2.5 or PM10-2.5 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 or PM10-2.5 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 by paragraph (d) of 
this section to verify that critical features of FRM samplers--the 
particle size separator and the surface finish of surfaces specified to 
be anodized--meet the specifications of 40 CFR part 50, appendix L or 
appendix O, as applicable. 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,

[[Page 68]]

another checklist is required initially 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). The EPA has determined 
that acceptable technical judgment for review of this 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. The applicant must 
submit documentation verifying that the samplers identified and sold as 
part of a designated PM2.5 or PM10-2.5 FRM or FEM 
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.
    (c) Sampler manufacturing quality control. The manufacturer must 
ensure that all components used in the manufacture of PM2.5 
or PM10-2.5 samplers to be sold as part of a FRM or FEM and 
that are specified by design in 40 CFR part 50, appendix L or O (as 
applicable), 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 (WINS) impactor jet diameter. For samplers utilizing 
the WINS impactor particle size separator specified in paragraphs 
7.3.4.1, 7.3.4.2, and 7.3.4.3 of appendix L to part 50 of this chapter, 
the diameter of the jet of each impactor manufactured for a 
PM2.5 or PM10-2.5 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. 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) VSCC separator. For samplers utilizing the BGI VSCCTM 
Very Sharp Cut Cyclone particle size separator specified in paragraph 
7.3.4.4 of appendix L to part 50 of this chapter, the VSCC

[[Page 69]]

manufacturer shall identify the critical dimensions and manufacturing 
tolerances for the device, develop appropriate test procedures to verify 
that the critical dimensions and tolerances are maintained during the 
manufacturing process, and carry out those procedures on each VSCC 
manufactured to verify conformance of the manufactured products. The 
manufacturer shall also maintain records of these tests and their 
results and 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.
    (3) 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 or O (as applicable), 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 FRM or FEM 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 FRM or FEM devices. The completed checklist 
shall be submitted with the application for FRM or FEM determination.

[71 FR 61290, Oct. 17, 2006]



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 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

[[Page 70]]

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 PM 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.

[62 FR 38799, July 18, 1997, as amended at 71 FR 61291, Oct. 17, 2006]



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

[[Page 71]]

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-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

[[Page 72]]

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


[[Page 73]]


    (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.

[62 FR 38799, July 18, 1997, as amended at 71 FR 61291, Oct. 17, 2006]



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 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

[[Page 74]]

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 PM 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 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.

[[Page 75]]

    (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%).
    (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

[[Page 76]]

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, as amended at 71 
FR 61291, Oct. 17, 2006]



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 or PM10-2.5 method (as 
applicable) 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 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.

[[Page 77]]

    (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 PM 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 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

[[Page 78]]

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.
    (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

[[Page 79]]

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:
[GRAPHIC] [TIFF OMITTED] TR17OC06.037

Where:

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

[62 FR 38799, July 18, 1997, as amended at 71 FR 61291, Oct. 17, 2006]



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 or PM10-2.5 method (as 
applicable) 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 
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

[[Page 80]]

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 
PM 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 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

[[Page 81]]

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.
    (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.

[[Page 82]]

    (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, as amended at 71 
FR 61292, Oct. 17, 2006]



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 PM 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 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 insulation of 1000 50 W/m\2\ 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 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.

[[Page 83]]

    (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/m\2\. 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 PM 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 five 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 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/m\2\, 
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 insulation angles or directions.
    (4) The solar radiometer shall be installed in a location where it 
measures thermal radiation that is generally

[[Page 84]]

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 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.

[[Page 85]]

    (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, as amended at 71 
FR 61292, Oct. 17, 2006]



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 PM 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 PM 
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 (or 
PM10-2.5, as applicable) 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 PM samples 
in accordance with the instructions in the associated manual referred to 
in Sec. 53.4(b)(3) and also 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 (1 for samplers with flow rates less than 200 L/
min.) and 4 meters apart horizontally. The samplers shall be arranged or 
oriented in a manner that will minimize the spatial and 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

[[Page 86]]

sequential samplers, install a conditioned, preweighed specified filter 
in each available channel or station intended for automatic sequential 
sample filter collection (or at least five 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 PM test samples.
    (2) Collect either a nominal 24-hour or 48-hour atmospheric PM 
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 PM mass concentration for each sample in 
accordance with the applicable procedures prescribed for the candidate 
method in appendix L or appendix O, as applicable, of part 50 of this 
chapter, and in accordance with the associated manual referred to in 
Sec. 53.4(b)(3) and 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 (nominal) 24-hour or 48-hour PM 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 PM 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 PM concentrations as Cave,j where j is the 
test period using equation 26 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.005

    (ii) If Cave,j < 3 [micro]g/m\3\ 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 
periods, as the standard deviation, using equation 27 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.039

    (ii) For each of the 10 test periods, also calculate and record the 
precision as the relative standard deviation, in percent, using equation 
28 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.040

    (h) Test results. (1) The candidate method passes the precision test 
if either Pj or RPj is less than or equal to the 
corresponding specification in table E-1 of this subpart for all 10 test 
periods.
    (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 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 [micro]g.

[71 FR 61292, Oct. 17, 2006,as amended at 72 FR 32208, June 12, 2007]



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

    (a) Overview. This test is intended to verify adequate aerosol 
transport

[[Page 87]]

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 significantly from that specified for 
reference method samplers as specified in 40 CFR part 50, appendix L or 
appendix O, as applicable. 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 or appendix O, as applicable, 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 [micro]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.
    (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 [micro]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

[[Page 88]]

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.

[62 FR 38799, July 18, 1997, as amended at 71 FR 61293, Oct. 17, 2006]



 Table E-1 to Subpart E of Part 53--Summary of Test Requirements for 
   Reference and Class I Equivalent Methods for PM2.5 and 
                           PM10-2.5

----------------------------------------------------------------------------------------------------------------
                                                          Performance                         Part 50,  appendix
       Subpart E procedure         Performance test      specification      Test conditions      L  reference
----------------------------------------------------------------------------------------------------------------
Sec. 53.52 Sample 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     operational test   Sec. 7.4.2.
                                  2. Regulation.....   5%, 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) Normal          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 60   restriction used
                                                        30
                                                       seconds.
Sec. 53.54 Power interruption   Sample flow rate..  1. 16.67     operational test.  Sec. 7.4.2.
                                  2. Regulation.....   5%, 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.
----------------------------------------------------------------------------------------------------------------
Sec. 53.55 Temperature and      Sample flow rate..  1. 16.67     operational test.  Sec. 7.4.2.
                                  2. Regulation.....   5%, L/ min.        (b) Normal          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                                loaded filter.
                                   operation..                            (d) Ambient
                                                                           temperature at -
                                                                           20 and +40 [deg]C.
                                                                          (e) Line voltage:
                                                                           105 Vac to 125
                                                                           Vac.
----------------------------------------------------------------------------------------------------------------

[[Page 89]]

 
Sec. 53.56 Barometric pressure  Sample flow rate..  1. 16.67     operational test.  Sec. 7.4.2.
                                  2. Regulation.....   5%, L/ min.        (b) Normal          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                                loaded filter.
                                   operation..                            (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
                                                                           1000 
                                                                           50 W/m 2.
----------------------------------------------------------------------------------------------------------------
Sec. 53.58 Field precision      1. Measurement      1. Pj < 2 [micro]g/ (a) 3 collocated    Sec. 5.1.
 test.                             precision.          m3 or RPj < 5%.     samplers at 1      Sec. 7.3.5.
                                  2. Storage          2. 50 [micro]g       site for at least  Sec. 8.
                                   deposition test     max. average        10 days.           Sec. 9.
                                   for sequential      weight gain/blank  (b) PM2.5 conc. >   Sec. 10.
                                   samplers.           filter.             3 [micro]g/m3.
                                                                          (c) 24- or 48-hour
                                                                           samples.
                                                                          (d) 5- or 10-day
                                                                           storage period
                                                                           for inactive
                                                                           stored filters.
----------------------------------------------------------------------------------------------------------------
              The Following Requirement Is Applicable to Class I 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.
----------------------------------------------------------------------------------------------------------------


[72 FR 32208, June 12, 2007]



 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           0.28 to 0.32 0.32   0.40 to 0.78     0.78 to 3.00
 ([micro]m)          to 0.40
Irradiance (W/      5 56                450 to 550       439
 m\2\)
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

------------------------------------------------------------------------
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)
------------------------------------------------------------------------

[[Page 90]]

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

[[Page 91]]

 
       .....  .....   Surface finish (Sec. 53.51(
                      d)(2)) (L-7.3.7)
------------------------------------------------------------------------



Sec. Appendix A to Subpart E 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, P.O. Box 3005, Milwaukee, WI 53202 (http://
qualitypress.asq.org).
    (2) American National Standard Quality Systems for Environmental 
Data and Technology Programs--Requirements with guidance for use, ANSI/
ASQC E4-2004. Available from American Society for Quality, P.O. Box 
3005, Milwaukee, WI 53202 (http://qualitypress.asq.org).
    (3) Quality Assurance Guidance Document 2.12. Monitoring 
PM2.5 in Ambient Air Using Designated Reference or Class I 
Equivalent Methods. U.S. EPA, National Exposure Research Laboratory, 
Research Triangle Park, NC, November 1998 or later edition. Currently 
available at http://www.epa.gov/ttn/amtic/pmqainf.html.
    (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 National Technical Information 
Service, Springfield, VA 22161, (800-553-6847, http://www.ntis.gov). 
NTIS number PB95-199782INZ.
    (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.

[62 FR 38799, July 18, 1997, as amended at 71 FR 61295, Oct. 17, 2006]



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 FRM or FEM 
determination 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 FEM in Sec. 53.1.
    (c) Any sampler associated with a Class II candidate equivalent 
method (Class II sampler) must meet all applicable requirements for FRM 
samplers or Class I FEM samplers specified in subpart E of this part, as 
appropriate. Except as provided in Sec. 53.3(a)(3), a Class II 
PM2.5 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 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

[[Page 92]]

meet the requirements for reference method or Class I equivalent method 
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. 53.63 (wind tunnel inlet aspiration test), or Sec. 
53.64 (static fractionator test). If the results of the appropriate test 
meet the criteria presented in table F-1 of this subpart, then the 
candidate sampler

[[Page 93]]

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.

[62 FR 38814, July 18, 1997, as amended at 71 FR 61295, Oct. 17, 2006]



Sec. 53.61  Test conditions.

    (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.
    (1) Particle aerodynamic diameter. The VOAG produces near-
monodisperse

[[Page 94]]

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, [micro]m;
Q = liquid volumetric flow rate, [micro]m\3\/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/cm\3\) 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, [micro]m;
[rho]p = particle density, g/cm\3\;
[rho]o = aerodynamic particle density = 1 g/cm\3\;
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/cm\3\ 
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/cm\3\. 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 95]]

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/cm\3\. 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/cm\3\;
Moleic = oleic acid mass, g; and
[rho]oleic = oleic acid density, g/cm\3\.

    (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 96]]

(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 [micro]m 
or less. The accuracy of the particle size verification technique shall 
be 0.15 [micro]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 97]]

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 [micro]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 98]]

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 99]]

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 [micro]m and 0 percent at an 
aerodynamic particle size of 10 [micro]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, [micro]g/m\3\; and
Cref(est) = estimated mass concentration measurement for the 
reference sampler, [micro]g/m\3\ (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 100]]

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 101]]

    (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 102]]

    (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 [micro]m, a resolution of 0.1 [micro]m, and an accuracy of 
0.15 [micro]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 103]]

                               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 104]]

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 105]]

    (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 106]]

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 107]]

    (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 [micro]g/m\3\ 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 [micro]g/m\3\ 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 [micro]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 108]]

    (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 [micro]g/m\3\ 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 109]]

    (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 [micro]m and smaller than 2.5 [micro]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 [micro]m, an accuracy of 
0.5 [micro]m, and a resolution of 0.2 [micro]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 
[micro]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 m\3\ 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/m\3\ 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 110]]

    (9) Balance. Minimum range 0 - 200 mg, certified accuracy to within 
10 [micro]g, resolution of 1 [micro]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 [micro]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 2 hours for a candidate 
sampler operating at 16.7 L/min or higher, or proportionately longer for 
a candidate sampler operating at a lower flow rate.
    (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:


[[Page 111]]


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

[62 FR 38814, July 18, 1997, as amended at 71 FR 61295, Oct. 17, 2006]



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

------------------------------------------------------------------------
      Performance test           Specifications      Acceptance criteria
------------------------------------------------------------------------
Sec. 53.62 Full Wind        Solid VOAG produced   Dp50 = 2.5 [micro]m
 Tunnel Evaluation.            aerosol at 2 km/hr     0.2
                               and 24 km/hr.         [micro]m Numerical
                                                     Analysis Results:
                                                     95% <= Rc <= 105%.
Sec. 53.63 Wind Tunnel      Liquid VOAG produced  Relative Aspiration:
 Inlet Aspiration Test.        aerosol at 2 km/hr    95% <= A <= 105%.
                               and 24 km/hr.
Sec. 53.64 Static           Evaluation of the     Dp50 = 2.5 [micro]m
 Fractionator Test.            fractionator under     0.2
                               static conditions.    [micro]m Numerical
                                                     Analysis Results:
                                                     95% <= Rc <= 105%.
Sec. 53.65 Loading Test...  Loading of the clean  Acceptance criteria
                               candidate under       as specified in the
                               laboratory            post-loading
                               conditions.           evaluation test
                                                     (Sec. 53.62, Sec.
                                                       53.63, or Sec.
                                                     53.64).
Sec. 53.66 Volatility Test  Polydisperse liquid   Regression
                               aerosol produced by   Parameters Slope =
                               air nebulization of   1  0.1,
                               grade glycerol,       Intercept = 0 
                               purity.               0.15 mg, r = 0.97.
------------------------------------------------------------------------


[72 FR 32209, June 12, 2007]



 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\     ------------------------------------------------ Fractionator  Volatility
              ([micro]m)                  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                        MMD     Geo. Std.     Conc.        MMD     Geo. Std.     Conc.       PM10    Mass Conc.
                                                             ([micro]m)     Dev.    ([micro]g/  ([micro]m)     Dev.    ([micro]g/    Ratio    ([micro]g/
                                                                                       m\3\)                              m\3\)                  m\3\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coarse.....................................................        0.50          2        12.0          10          2        88.0       0.27      13.814

[[Page 112]]

 
``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
--------------------------------------------------------------------------------------------------------------------------------------------------------



 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                                      Estimated Mass                                  Estimated Mass
  Aerodynamic       Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    Diameter         Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
   ([micro]m)     Effectiveness     ([micro]g/      ([micro]g/     Effectiveness    ([micro]g/      ([micro]g/
                                       m\3\)           m\3\)                           m\3\)           m\3\)
----------------------------------------------------------------------------------------------------------------
      (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
----------------------------------------------------------------------------------------------------------------


[[Page 113]]



   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                                      Estimated Mass                                  Estimated Mass
  Aerodynamic       Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    Diameter         Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
   ([micro]m)     Effectiveness     ([micro]g/      ([micro]g/     Effectiveness    ([micro]g/      ([micro]g/
                                       m\3\)           m\3\)                           m\3\)           m\3\)
----------------------------------------------------------------------------------------------------------------
      (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
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                                      Estimated Mass                                  Estimated Mass
  Aerodynamic       Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    Diameter         Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
   ([micro]m)     Effectiveness     ([micro]g/      ([micro]g/     Effectiveness    ([micro]g/      ([micro]g/
                                       m\3\)           m\3\)                           m\3\)           m\3\)
----------------------------------------------------------------------------------------------------------------
      (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

[[Page 114]]

 
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
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 F-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
------------------------------------------------------------------------

[[Page 115]]

 
        ......  ......  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
------------------------------------------------------------------------
        ......  ......  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
------------------------------------------------------------------------



Sec. 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

[[Page 116]]

violation of an emission standard or limitation, or an order issued with 
respect to an emission standard or limitation. Where the alleged 
violator is a corporation, a copy of such notice shall be sent by 
certified mail to the registered agent, if any, of such corporation in 
the State in which such violation is alleged to have occurred.
    (d) Notice served in accordance with the provisions of this part 
shall be deemed given on the postmark date, if served by mail, or on the 
date of receipt, if personally served.



Sec. 54.3  Contents of notice.

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

[[Page 117]]

closest to the source or another onshore area that the Administrator 
designates as the COA, pursuant to Sec. 55.5 of this part.
    Delegated agency means any agency that has been delegated authority 
to implement and enforce requirements of this part by the Administrator, 
pursuant to Sec. 55.11 of this part. It can refer to a State agency, a 
local agency, or an Indian tribe, depending on the delegation status of 
the program.
    Existing source or existing OCS source shall have the meaning given 
in the applicable requirements incorporated into 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

[[Page 118]]

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 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.

[[Page 119]]

    (c) Exploratory sources and modifications to existing sources with 
designated COAs shall be exempt from the requirement in paragraph 
(b)(10) of this section.
    (d) The scope and contents of the NOI shall in no way limit the 
scope and contents of the required permit application or applicable 
requirements given in this part.



Sec. 55.5  Corresponding onshore area designation.

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

[[Page 120]]

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

[[Page 121]]

shall not relieve any owner or operator of the responsibility to comply 
fully with the applicable provisions of any other requirements under 
Federal law.
    (iv) The owner or operator of an OCS source to whom the approval to 
construct or permit to operate is issued under this part shall notify 
all other owners and operators, contractors, and the subsequent owners 
and operators associated with emissions from the source, of the 
conditions of the permit issued under this part.
    (5) Delegation of authority. If the Administrator delegates any of 
the authority to implement and enforce the requirements of this section, 
the following provisions shall apply:
    (i) The applicant shall send a copy of any permit application 
required by this section to the Administrator through the EPA Regional 
Office at the same time as the application is submitted to the delegated 
agency.
    (ii) The delegated agency shall send a copy of any public comment 
notice required under this section or 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:

[[Page 122]]

    (i) The modification is necessary to comply with this part, and no 
other physical change or change in the method of operation is made in 
conjunction with the modification;
    (ii) The modification is made within 24 months of promulgation of 
this part; and
    (iii) The modification does not result in an increase, in excess of 
any de minimus levels contained in the applicable requirements of 
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

[[Page 123]]

believes is technically infeasible or will cause an unreasonable threat 
to health and safety;
    (D) An air quality screening analysis demonstrating whether the 
source has or is expected in the future to cause or contribute to a 
violation of any applicable State or Federal ambient air quality 
standard or exceed any applicable increment. If no air quality analysis 
is required by the applicable requirements of 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.

[[Page 124]]

    (4) Content of request. (i) The request shall include information 
that demonstrates that compliance with a control technology requirement 
of this part would be technically infeasible or would cause an 
unreasonable threat to health and safety.
    (ii) The request shall include a proposed substitute requirement(s) 
as close in stringency to the original requirement as possible.
    (iii) The request shall include an estimate of emission reductions 
that would be achieved by compliance with the original requirement, an 
estimate of emission reductions that would be achieved by compliance 
with the proposed substitute requirement(s) and an estimate of residual 
emissions.
    (iv) The request shall identify emission reductions of a sufficient 
quantity to offset the estimated residual emissions. Sources located 
beyond 25 miles from States' seaward boundaries shall consult with the 
Administrator to identify suitable emission reductions.
    (c) Consultation requirement. If the authority to grant or deny 
exemptions has been delegated, the delegated agency shall consult with 
the Minerals Management Service of the U.S. Department of Interior and 
the U.S. Coast 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:

[[Page 125]]

    (i) If offsets are required in the COA, a new source shall offset 
residual emissions in the same manner as all other new source emissions 
in accordance with the requirements of Sec. 55.5(d) of this part.
    (ii) If offsets are not required in the COA, a new source shall 
comply with an offset ratio of 1:1.
    (iii) An existing OCS source shall comply with an offset at a ratio 
of 1:1.
    (3) An OCS source located beyond 25 miles from States' seaward 
boundaries shall obtain emission reductions at a ratio determined by the 
Administrator to be adequate to protect State and Federal ambient air 
quality standards and to comply with part C of title I of the Act.
    (f) Administrative procedures and public participation--(1) Request 
submitted with a permit application. If a request is submitted with a 
permit application, the request shall be considered part of the permit 
application and shall be processed accordingly for the purpose of 
administrative procedures and public notice and comment requirements. 
The Administrator shall comply with the requirements of 40 CFR part 124 
and the requirements set forth at Sec. 55.6 of this part. If the 
Administrator has delegated authority to 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

[[Page 126]]

will notify, in writing, the applicant and each person who has submitted 
written comments, or from whom a written request of such notice has been 
received, of the final decision and will set forth the reasons. Such 
notification will be made available for public inspection.
    (5) Within 30 days after the final decision has been made on a 
request, the requester, or any person who filed comments on the 
preliminary determination, may petition the Administrator to review any 
aspect of the decision. Any person who failed to file comments on the 
preliminary decision may petition for administrative review only on the 
changes from the preliminary to the final determination.



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

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

[[Page 127]]



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 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 any authority it possesses under State law to 
require monitoring and reporting and to conduct inspections.
    (f) Nothing in this part shall prohibit the Administrator from 
enforcing any requirement of this part.
    (g) The Administrator will withdraw a delegation of any authority to 
implement and enforce any or all of this part if the Administrator 
determines that: (1) The requirements of this part are not being 
adequately implemented or enforced by the delegated agency, or (2) The 
delegated agency no longer has adequate regulations as required by Sec. 
55.11(b) of this part.
    (h) Sharing of information. Any information obtained or used in the 
administration of a delegated program shall be made available to EPA 
upon request without restriction. If the information has been submitted 
to the delegated agency under a claim of confidentiality, the delegated 
agency must notify the source of this obligation and submit that claim 
to EPA. Any information obtained from a delegated agency accompanied by 
a claim of confidentiality will be treated in accordance with the 
requirements of 40 CFR part 2.
    (i) Grant of exemptions. A decision by a delegated agency to grant 
or deny an exemption request may be appealed to the Administrator in 
accordance with Sec. 55.7 of this part.
    (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]

[[Page 128]]



Sec. 55.12  Consistency updates.

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

[[Page 129]]

sources or to sources within State boundaries shall not apply.
    (c) 40 CFR part 60 (NSPS) shall apply to OCS sources in the same 
manner as in the COA, except that any source determined to be an 
existing source pursuant to Sec. 55.3(e) of this part shall not be 
considered a ``new source'' for the purpose of NSPS adopted before 
December 5, 1991.
    (d) 40 CFR 52.21 (PSD) shall apply to OCS sources:
    (1) Located within 25 miles of a State's seaward boundary if the 
requirements of 40 CFR 52.21 are in effect in the COA;
    (2) Located beyond 25 miles of States' seaward boundaries.
    (e) 40 CFR part 61, together with any other provisions promulgated 
pursuant to section 112 of the Act, shall apply if rationally related to 
the attainment and maintenance of Federal or State ambient air quality 
standards or the requirements of part C of title I of the Act.
    (f) 40 CFR part 71 shall apply to OCS sources:
    (1) Located within 25 miles of States' seaward boundaries if the 
requirements of 40 CFR part 71 are in effect in the COA.
    (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

[[Page 130]]

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]
    (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, December 
3, 2005.
    (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, 
February 2006.
    (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, December 2007.
    (G) South Coast Air Quality Management District Requirements 
Applicable to OCS Sources (Part I, II and Part III), December 2007.
    (H) Ventura County Air Pollution Control District Requirements 
Applicable to OCS Sources, December 2007.
    (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]

    Editorial Note: For Federal Register citations affecting Sec. 
55.14, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.

[[Page 131]]



Sec. 55.15  Specific designation of corresponding onshore areas.

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



Sec. 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, December 3, 2005, 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 10/1/04)
18 AAC 50.010. Ambient Air Quality Standards (effective 10/1/04)
18 AAC 50.015. Air Quality Designations, Classification, and Control 
          Regions (effective 10/10/04) except (d)(2)

                  Table 1. Air Quality Classifications

18 AAC 50.020. Baseline Dates and Maximum Allowable Increases (effective 
          10/1/04)

                         Table 2. Baseline Dates

                  Table 3. Maximum Allowable Increases

    18 AAC 50.025. Visibility and Other Special Protection Areas 
(effective 6/21/98)
18 AAC 50.030. State Air Quality Control Plan (effective 10/1/04)
18 AAC 50.035. Documents, Procedures, and Methods Adopted by Reference 
          (effective 12/3/05)
18 AAC 50.040. Federal Standards Adopted by Reference (effective 12/3/
          05) except (b), (c) (d), and (g)
18 AAC 50.045. Prohibitions (effective 10/1/04)
18 AAC 50.050. Incinerator Emissions Standards (effective 5/3/02)

         Table 4. Particulate Matter Standards for Incinerators

18 AAC 50.055. Industrial Processes and Fuel-Burning Equipment 
          (effective 10/1/04) except (a)(3) through (a)(9), (b)(4) 
          through (b)(6), (e) and (f)
18 AAC 50.065. Open Burning (effective 1/18/97) except (g) and (h)
18 AAC 50.075. Wood-Fired Heating Device Visible Emission Standards 
          (effective 1/18/97)
18 AAC 50.080. Ice Fog Standards (effective 1/18/97)
18 AAC 50.085. Volatile Liquid Storage Tank Emission Standards 
          (effective 1/18/97)
18 AAC 50.090. Volatile Liquid Loading Racks and Delivery Tank Emission 
          Standards (effective 10/1/04)
18 AAC 50.100 Nonroad Engines (effective 10/1/04)
18 AAC 50.110. Air Pollution Prohibited (effective 5/26/72)

                    Article 2. Program Administration

18 AAC 50.200. Information Requests (effective 10/1/04)
18 AAC 50.201. Ambient Air Quality Investigation (effective 10/1/04)
18 AAC 50.205. Certification (effective 10/1/04)
18 AAC 50.215. Ambient Air Quality Analysis Methods (effective 10/1/04)

                Table 5. Significant Impact Levels (SILs)

18 AAC 50.220. Enforceable Test Methods (effective 10/1/04)
18 AAC 50.225. Owner-Requested Limits (effective 1/29/05)
18 AAC 50.230. Preapproved Emission Limits (effective 1/29/05)
18 AAC 50.235. Unavoidable Emergencies and Malfunctions (effective 10/1/
          04)
18 AAC 50.240. Excess Emissions (effective 10/1/04)
18 AAC 50.245. Air Episodes and Advisories (effective 10/1/04)

            Table 6. Concentrations Triggering an Air Episode

               Article 3. Major Stationary Source Permits

18 AAC 50.301. Permit Continuity (effective 10/1/04)

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18 AAC 50.302. Construction Permits (effective 10/1/04)
18 AAC 50.306. Prevention of Significant Deterioration (PSD) Permits 
          (effective 10/1/04) except (e)
18 AAC 50.311. Nonattainment Area Major Stationary Source Permits 
          (effective 10/1/04)
18 AAC 50.316. Preconstruction Review for Construction or Reconstruction 
          of a Major Source of Hazardous Air Pollutants (effective 12/1/
          04) except (c)
18 AAC 50.326. Title V Operating Permits (effective 12/1/04) except 
          (j)(1), (k)(3), (k)(5), and (k)(6)
18 AAC 50.345. Construction and Operating Permits: Standard Permit 
          Conditions (effective 10/1/04)
18 AAC 50.346. Construction and Operating Permits: Other Permit 
          Conditions (effective 10/1/04)

      Table 7. Emission Unit or Activity, Standard Permit Condition

                          Article 4. User Fees

18 AAC 50.400. Permit Administration Fees (effective 1/29/05) except 
          (a), (b), (c)(1), (c)(3), (c)(6), (i)(2), (i)(3), (m)(3) and 
          (m)(4)
18 AAC 50.403. Negotiated Service Agreements (effective 12/3/05) except 
          (8) and (9)
18 AAC 50.405. Transition Process for Permit Fees (effective 1/29/05)
18 AAC 50.410. Emission Fees (effective 12/3/05)
18 AAC 50.499. Definition for User Fee Requirements (effective 1/29/05)

                        Article 5. Minor Permits

18 AAC 50.502. Minor Permits for Air Quality Protection (effective 12/3/
          05) except (b)(1), (b)(2), (b)(3) and (b)(5)
18 AAC 50.508. Minor Permits Requested by the Owner or Operator 
          (effective 10/1/04)
18 AAC 50.509. Construction of a Pollution Control Project without a 
          Permit (effective 10/1/04)
18 AAC 50.540. Minor Permit: Application (effective 12/3/05)
18 AAC 50.542. Minor Permit: Review and Issuance (effective 12/1/04) 
          except (b)(1), (b)(2), (b)(5), and (d)
18 AAC 50.544. Minor Permits: Content (effective 1/29/05)
18 AAC 50.546. Minor Permits: Revisions (effective 10/1/04)
18 AAC 50.560. General Minor Permits (effective 10/1/04) except (b)

                      Article 9. General Provisions

18 AAC 50.990. Definitions (effective 12/3/05)

                               California

    (a) State requirements.
    (1) The following requirements are contained in State of California 
Requirements Applicable to OCS Sources, February 2006:

                 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)
17 Sec. 93115--Airborne Toxic Control Measure for Stationary 
          Compression Ignition Engines (Adopted 2/26/04)

                         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:
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)

[[Page 133]]

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 contained in Santa Barbara County 
Air Pollution Control District Requirements Applicable to OCS Sources:

Rule 102 Definitions (Adopted 01/20/05)
Rule 103 Severability (Adopted 10/23/78)
Rule 106 Notice to Comply for Minor Violations (Repealed 01/01/2001)
Rule 107 Emergencies (Adopted 04/19/01)
Rule 201 Permits Required (Adopted 04/17/97)
Rule 202 Exemptions to Rule 201 (Adopted 03/17/05)
Rule 203 Transfer (Adopted 04/17/97)
Rule 204 Applications (Adopted 04/17/97)
Rule 205 Standards for Granting Permits (Adopted 04/17/97)
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 03/17/05)
Rule 212 Emission Statements (Adopted 10/20/92)
Rule 219 Equipment Not Requiring a Written Permit Pursuant to Regulation 
II (Adopted 6/1/07)
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 10/02/90)
Rule 316 Storage and Transfer of Gasoline (Adopted 04/17/97)
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 09/18/97)
Rule 322 Metal Surface Coating Thinner and Reducer (Adopted 10/23/78)
Rule 323 Architectural Coatings (Adopted 11/15/01)
Rule 324 Disposal and Evaporation of Solvents (Adopted 10/23/78)
Rule 325 Crude Oil Production and Separation (Adopted 07/19/01)
Rule 326 Storage of Reactive Organic Compound Liquids (Adopted 01/18/01)
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 Metal Parts and Products (Adopted 01/20/00)
Rule 331 Fugitive Emissions Inspection and Maintenance (Adopted 12/10/
91)
Rule 332 Petroleum Refinery Vacuum Producing Systems, Wastewater 
Separators and Process Turnarounds (Adopted 06/11/79)
Rule 333 Control of Emissions from Reciprocating Internal Combustion 
Engines (Adopted 04/17/97)
Rule 342 Control of Oxides of Nitrogen (NOX from Boilers, 
Steam Generators and Process Heaters) (Adopted 04/17/97)
Rule 343 Petroleum Storage Tank Degassing (Adopted 12/14/93)
Rule 344 Petroleum Sumps, Pits, and Well Cellars (Adopted 11/10/94)

[[Page 134]]

Rule 346 Loading of Organic Liquid Cargo Vessels (Adopted 01/18/01)
Rule 352 Natural Gas-Fired Fan-Type Central Furnaces and Residential 
Water Heaters (Adopted 09/16/99)
Rule 353 Adhesives and Sealants (Adopted 08/19/99)
Rule 359 Flares and Thermal Oxidizers (Adopted 06/28/94)
Rule 360 Emissions of Oxides of Nitrogen From Large Water Heaters and 
Small Boilers (Adopted 10/17/02)
Rule 370 Potential To Emit--Limitations for Part 70 Sources (Adopted 06/
15/95)
Rule 505 Breakdown Conditions Sections A.,B.1., and D. Only (Adopted 10/
23/78)
Rule 603 Emergency Episode Plans (Adopted 06/15/81)
Rule 702 General Conformity (Adopted 10/20/94)
Rule 801 New Source Review (Adopted 04/17/97)
Rule 802 Nonattainment Review (Adopted 04/17/97)
Rule 803 Prevention of Significant Deterioration (Adopted 04/17/97)
Rule 804 Emission Offsets (Adopted 04/17/97)
Rule 805 Air Quality Impact Analysis and Modeling (Adopted 04/17/97)
Rule 808 New Source Review for Major Sources of Hazardous Air Pollutants 
(Adopted 05/20/99)
Rule 1301 Part 70--Operating Permits--General Information (Adopted 06/
19/03)
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):

Rule 102 Definition of Terms (Adopted 12/3/04)
Rule 103 Definition of Geographical Areas (Adopted 01/9/76)
Rule 104 Reporting of Source Test Data and Analyses (Adopted 01/9/76)
Rule 108 Alternative Emission Control Plans (Adopted 04/6/90)
Rule 109 Recordkeeping for Volatile Organic Compound Emissions (Adopted 
08/18/00)
Rule 112 Definition of Minor Violation and Guidelines for Issuance of 
Notice To Comply (Adopted 11/13/98)
Rule 118 Emergencies (Adopted 12/07/95)
Rule 201 Permit To Construct (Adopted 12/03/04)
Rule 201.1 Permit Conditions in Federally Issued Permits to Construct 
(Adopted 12/03/04)
Rule 202 Temporary Permit To Operate (Adopted 12/03/04)
Rule 203 Permit To Operate (Adopted 12/03/04)
Rule 204 Permit Conditions (Adopted 03/6/92)
Rule 205 Expiration of Permits To Construct (Adopted 01/05/90)
Rule 206 Posting of Permit To Operate (Adopted 01/05/90)
Rule 207 Altering or Falsifying of Permit (Adopted 01/09/76)
Rule 208 Permit and Burn Authorization for Open Burning (Adopted 12/21/
01)
Rule 209 Transfer and Voiding of Permits (Adopted 01/05/90)
Rule 210 Applications (Adopted 01/05/90)
Rule 212 Standards for Approving Permits (Adopted 12/07/95) except 
(c)(3) and (e)
Rule 214 Denial of Permits (Adopted 01/05/90)
Rule 217 Provisions for Sampling and Testing Facilities (Adopted 01/05/
90)
Rule 218 Continuous Emission Monitoring (Adopted 05/14/99)
Rule 218.1 Continuous Emission Monitoring Performance Specifications 
(Adopted 05/14/99)
Rule 218.1 Attachment A--Supplemental and Alternative CEMS Performance 
Requirements (Adopted 05/14/99)
Rule 219 Equipment Not Requiring a Written Permit Pursuant to Regulation 
II (Adopted 6/1/07)
Rule 220 Exemption--Net Increase in Emissions (Adopted 08/07/81)
Rule 221 Plans (Adopted 01/04/85)
Rule 301 Permitting and Associated Fees (Adopted 5/4/07) Except (e)(7) 
and Table IV
Rule 304 Equipment, Materials, and Ambient Air Analyses (Adopted 5/4/07)
Rule 304.1 Analyses Fees (Adopted 5/4/07)
Rule 305 Fees for Acid Deposition (Rescinded 6/9/06)
Rule 306 Plan Fees (Adopted 5/4/07)
Rule 309 Fees for Regulation XVI (Adopted 5/4/07)
Rule 401 Visible Emissions (Adopted 11/09/01)
Rule 403 Fugitive Dust (Adopted 06/03/05)
Rule 404 Particulate Matter--Concentration (Adopted 02/07/86)
Rule 405 Solid Particulate Matter--Weight (Adopted 02/07/86)
Rule 407 Liquid and Gaseous Air Contaminants (Adopted 04/02/82)
Rule 408 Circumvention (Adopted 05/07/76)
Rule 409 Combustion Contaminants (Adopted 08/07/81)
Rule 429 Start-Up and Shutdown Exemption Provisions for Oxides of 
Nitrogen (Adopted 12/21/90)
Rule 430 Breakdown Provisions, (a) and (b) Only (Adopted 07/12/96)
Rule 431.1 Sulfur Content of Gaseous Fuels (Adopted 06/12/98)
Rule 431.2 Sulfur Content of Liquid Fuels (Adopted 09/15/00)

[[Page 135]]

Rule 431.3 Sulfur Content of Fossil Fuels (Adopted 05/7/76)
Rule 441 Research Operations (Adopted 05/7/76)
Rule 442 Usage of Solvents (Adopted 12/15/00)
Rule 444 Open Burning (Adopted 12/21/01)
Rule 463 Organic Liquid Storage (Adopted 05/06/05)
Rule 465 Refinery Vacuum-Producing Devices or Systems (Adopted 08/13/99)
Rule 468 Sulfur Recovery Units (Adopted 10/08/76)
Rule 473 Disposal of Solid and Liquid Wastes (Adopted 05/07/76)
Rule 474 Fuel Burning Equipment--Oxides of Nitrogen (Adopted 12/04/81)
Rule 475 Electric Power Generating Equipment (Adopted 08/07/78)
Rule 476 Steam Generating Equipment (Adopted 10/08/76)
Rule 480 Natural Gas Fired Control Devices (Adopted 10/07/77) Addendum 
to Regulation IV (Effective 1977)
Rule 518 Variance Procedures for Title V Facilities (Adopted 08/11/95)
Rule 518.1 Permit Appeal Procedures for Title V Facilities (Adopted 08/
11/95)
Rule 518.2 Federal Alternative Operating Conditions (Adopted 12/21/01)
Rule 701 Air Pollution Emergency Contingency Actions (Adopted 06/13/97)
Rule 702 Definitions (Adopted 07/11/80)
Rule 708 Plans (Rescinded 09/08/95)
Regulation IX Standard of Performance For New Stationary Sources 
(Adopted 4/6/07)
Reg. X National Emission Standards for Hazardous Air Pollutants 
(NESHAPS) (Adopted 12/2/05)
Rule 1105.1 Reduction of PM10 And Ammonia Emissions From 
Fluid Catalytic Cracking Units (Adopted 11/07/03)
Rule 1106 Marine Coating Operations (Adopted 01/13/95)
Rule 1107 Coating of Metal Parts and Products (Adopted 1/6/06)
Rule 1109 Emissions of Oxides of Nitrogen for Boilers and Process 
Heaters in Petroleum Refineries (Adopted 08/05/88)
Rule 1110 Emissions From Stationary Internal Combustion Engines 
(Demonstration) (Repealed 11/14/97)
Rule 1110.1 Emissions From Stationary Internal Combustion Engines 
(Rescinded 06/03/05)
Rule 1110.2 Emissions from Gaseous- and Liquid Fueled Engines (Adopted 
06/03/05)
Rule 1113 Architectural Coatings (Adopted 6/9/06)
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 09/03/04)
Rule 1122 Solvent Degreasers (Adopted 10/01/04)
Rule 1123 Refinery Process Turnarounds (Adopted 12/07/90)
Rule 1125 Metal Container, Closure, and Coil Coating Operations (Adopted 
01/13/95)
Rule 1129 Aerosol Coatings (Adopted 03/08/96)
Rule 1132 Further Control of VOC Emissions From High-Emitting Spray 
Booth Facilities (Adopted 5/5/06)
Rule 1134 Emissions of Oxides of Nitrogen From Stationary Gas Turbines 
(Adopted 08/08/97)
Rule 1136 Wood Products Coatings (Adopted 06/14/96)
Rule 1137 PM10 Emission Reductions From Woodworking 
Operations (Adopted 02/01/02)
Rule 1140 Abrasive Blasting (Adopted 08/02/85)
Rule 1142 Marine Tank Vessel Operations (Adopted 07/19/91)
Rule 1146 Emissions of Oxides of Nitrogen From Industrial, 
Institutional, and Commercial Boilers, Steam Generators, and Process 
Heaters (Adopted 11/17/00)
Rule 1146.1 Emission of Oxides of Nitrogen From Small Industrial, 
Institutional, and Commercial Boilers, Steam Generators, and Process 
Heaters (Adopted 05/13/94)
Rule 1146.2 Emissions of Oxides of Nitrogen from Large Water Heaters and 
Small Boilers (Adopted 5/5/06)
Rule 1148 Thermally Enhanced Oil Recovery Wells (Adopted 11/05/82)
Rule 1149 Storage Tank Cleaning And Degassing (Adopted 07/14/95)
Rule 1162 Polyester Resin Operations (Adopted 7/8/05)
Rule 1168 Adhesive and Sealant Applications (Adopted 01/07/05)
Rule 1171 Solvent Cleaning Operations (Adopted 7/14/06)
Rule 1173 Control of Volatile Organic Compounds Leaks and Releases From 
Components at Petroleum Facilities and Chemical Plants (Adopted 6/1/07)
Rule 1176 VOC Emissions From Wastewater Systems (Adopted 09/13/96)
Rule 1178 Further Reductions of VOC Emissions From Storage Tanks at 
Petroleum Facilities (Adopted 4/7/06)
Rule 1301 General (Adopted 12/07/95)
Rule 1302 Definitions (Adopted 12/06/02)
Rule 1303 Requirements (Adopted 12/06/02)
Rule 1304 Exemptions (Adopted 06/14/96)
Rule 1306 Emission Calculations (Adopted 12/06/02)
Rule 1313 Permits To Operate (Adopted 12/07/95)
Rule 1403 Asbestos Emissions From Demolition/Renovation Activities 
(Adopted 11/3/06)
Rule 1470 Requirements for Stationary Diesel-Fueled Internal Combustion 
and Other Compression Ignition Engines (Adopted 6/1/07)
Rule 1605 Credits for the Voluntary Repair of On-Road Motor Vehicles 
Identified

[[Page 136]]

Through Remote Sensing Devices (Adopted 10/11/96)
Rule 1610 Old-Vehicle Scrapping (Adopted 2/12/99)
Rule 1612 Credits for Clean On-Road Vehicles (Adopted 07/10/98)
Rule 1612.1 Mobile Source Credit Generation Pilot Program (Adopted 03/
16/01)
Rule 1620 Credits for Clean Off-Road Mobile Equipment (Adopted 07/10/98)
Rule 1701 General (Adopted 08/13/99)
Rule 1702 Definitions (Adopted 08/13/99)
Rule 1703 PSD Analysis (Adopted 10/07/88)
Rule 1704 Exemptions (Adopted 08/13/99)
Rule 1706 Emission Calculations (Adopted 08/13/99)
Rule 1713 Source Obligation (Adopted 10/07/88)
Regulation XVII Appendix (effective 1977)
Rule 1901 General Conformity (Adopted 09/09/94)
Regulation XX Regional Clean Air Incentives Market (Reclaim)
Rule 2000 General (Adopted 05/06/05)
Rule 2001 Applicability (Adopted 05/06/05)
Rule 2002 Allocations for Oxides of Nitrogen (NOX) and Oxides 
of Sulfur (SOx) (Adopted 01/07/05)
Rule 2004 Requirements (Adopted 4/6/07) except (l)
Rule 2005 New Source Review for RECLAIM (Adopted 05/06/05) except (i)
Rule 2006 Permits (Adopted 05/11/01)
Rule 2007 Trading Requirements (Adopted 4/6/07)
Rule 2008 Mobile Source Credits (Adopted 10/15/93)
Rule 2009 Compliance Plan for Power Producing Facilities (Adopted 01/07/
05)
Rule 2010 Administrative Remedies and Sanctions (Adopted 4/6/07)
Rule 2011 Requirements for Monitoring, Reporting, and Recordkeeping for 
Oxides of Sulfur (SOx) Emissions (Adopted 05/06/05)
Appendix A Volume IV--(Protocol for Oxides of sulfur) (Adopted 05/06/05)
Rule 2012 Requirements for Monitoring, Reporting, and Recordkeeping for 
Oxides of Nitrogen (NOX) Emissions (Adopted 05/06/05)
Appendix A Volume V--(Protocol for Oxides of Nitrogen) (Adopted 05/06/
05)
Rule 2015 Backstop Provisions (Adopted 06/04/04) except (b)(1)(G) and 
(b)(3)(B)
Rule 2020 RECLAIM Reserve (Adopted 05/11/01)
Rule 2100 Registration of Portable Equipment (Adopted 07/11/97)
Rule 2506 Area Source Credits for NOX and SOX 
(Adopted 12/10/99)
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 03/16/01)
Rule 3004 Permit Types and Content (Adopted 12/12/97)
Rule 3005 Permit Revisions (Adopted 03/16/01)
Rule 3006 Public Participation (Adopted 11/14/97)
Rule 3007 Effect of Permit (Adopted 10/08/93)
Rule 3008 Potential To Emit Limitations (Adopted 03/16/01)
XXXI Acid Rain Permit Program (Adopted 02/10/95)

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

Rule 2 Definitions (Adopted 04/13/04)
Rule 5 Effective Date (Adopted 04/13/04)
Rule 6 Severability (Adopted 11/21/78)
Rule 7 Zone Boundaries (Adopted 06/14/77)
Rule 10 Permits Required (Adopted 04/13/04)
Rule 11 Definition for Regulation II (Adopted 03/14/06)
Rule 12 Applications for Permits (Adopted 06/13/95)
Rule 13 Action on Applications for an Authority To Construct (Adopted 
06/13/95)
Rule 14 Action on Applications for a Permit to Operate (Adopted 06/13/
95)
Rule 15.1 Sampling and Testing Facilities (Adopted 10/12/93)
Rule 16 BACT Certification (Adopted 06/13/95)
Rule 19 Posting of Permits (Adopted 05/23/72)
Rule 20 Transfer of Permit (Adopted 05/23/72)
Rule 23 Exemptions From Permits (Adopted 09/12/06)
Rule 24 Source Recordkeeping, Reporting, and Emission Statements 
(Adopted 09/15/92)
Rule 26 New Source Review--General (Adopted 03/14/06)
Rule 26.1 New Source Review--Definitions (Adopted 11/14/06)
Rule 26.2 New Source Review--Requirements (Adopted 05/14/02)
Rule 26.3 New Source Review--Exemptions (Adopted 03/14/06)
Rule 26.6 New Source Review--Calculations (Adopted 03/14/06)
Rule 26.8 New Source Review--Permit To Operate (Adopted 10/22/91)
Rule 26.10 New Source Review--PSD (Adopted 01/13/98)
Rule 26.11 New Source Review--ERC Evaluation At Time of Use (Adopted 05/
14/02)
Rule 26.12 Federal Major Modifications (Adopted 06/27/06)
Rule 28 Revocation of Permits (Adopted 07/18/72)
Rule 29 Conditions on Permits (Adopted 03/14/06)
Rule 30 Permit Renewal (Adopted 04/13/04)
Rule 32 Breakdown Conditions: Emergency Variances, A., B.1., and D. 
only. (Adopted 02/20/79)
Rule 33 Part 70 Permits--General (Adopted 09/12/06)

[[Page 137]]

Rule 33.1 Part 70 Permits--Definitions (Adopted 09/12/06)
Rule 33.2 Part 70 Permits--Application Contents (Adopted 04/10/01)
Rule 33.3 Part 70 Permits--Permit Content (Adopted 09/12/06)
Rule 33.4 Part 70 Permits--Operational Flexibility (Adopted 04/10/01)
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 04/10/01)
Rule 33.8 Part 70 Permits--Reopening of Permits (Adopted 10/12/93)
Rule 33.9 Part 70 Permits--Compliance Provisions (Adopted 04/10/01)
Rule 33.10 Part 70 Permits--General Part 70 Permits (Adopted 10/12/93)
Rule 34 Acid Deposition Control (Adopted 03/14/95)
Rule 35 Elective Emission Limits (Adopted 11/12/96)
Rule 36 New Source Review--Hazardous Air Pollutants (Adopted 10/06/98)
Rule 42 Permit Fees (Adopted 04/10/07)
Rule 44 Exemption Evaluation Fee (Adopted 09/10/96)
Rule 45 Plan Fees (Adopted 06/19/90)
Rule 45.2 Asbestos Removal Fees (Adopted 08/04/92)
Rule 47 Source Test, Emission Monitor, and Call-Back Fees (Adopted 06/
22/99)
Rule 50 Opacity (Adopted 04/13/04)
Rule 52 Particulate Matter--Concentration (Grain Loading)(Adopted 04/13/
04)
Rule 53 Particulate Matter--Process Weight (Adopted 04/13/04)
Rule 54 Sulfur Compounds (Adopted 06/14/94)
Rule 56 Open Burning (Adopted 11/11/03)
Rule 57 Incinerators (Adopted 01/11/05)
Rule 57.1 Particulate Matter Emissions from Fuel Burning Equipment 
(Adopted 01/11/05)
Rule 62.7 Asbestos--Demolition and Renovation (Adopted 09/01/92)
Rule 63 Separation and Combination of Emissions (Adopted 11/21/78)
Rule 64 Sulfur Content of Fuels (Adopted 04/13/99)
Rule 67 Vacuum Producing Devices (Adopted 07/05/83)
Rule 68 Carbon Monoxide (Adopted 04/13/04)
Rule 71 Crude Oil and Reactive Organic Compound Liquids (Adopted 12/13/
94)
Rule 71.1 Crude Oil Production and Separation (Adopted 06/16/92)
Rule 71.2 Storage of Reactive Organic Compound Liquids (Adopted 09/26/
89)
Rule 71.3 Transfer of Reactive Organic Compound Liquids (Adopted 06/16/
92)
Rule 71.4 Petroleum Sumps, Pits, Ponds, and Well Cellars (Adopted 06/08/
93)
Rule 71.5 Glycol Dehydrators (Adopted 12/13/94)
Rule 72 New Source Performance Standards (NSPS) (Adopted 09/13/05)
Rule 73 National Emission Standards for Hazardous Air Pollutants 
(NESHAPS (Adopted 09/13/05)
Rule 74 Specific Source Standards (Adopted 07/06/76)
Rule 74.1 Abrasive Blasting (Adopted 11/12/91)
Rule 74.2 Architectural Coatings (Adopted 11/13/01)
Rule 74.6 Surface Cleaning and Degreasing (Adopted 11/11/03--effective 
07/01/04)
Rule 74.6.1 Batch Loaded Vapor Degreasers (Adopted 11/11/03--effective 
07/01/04)
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 07/05/83)
Rule 74.9 Stationary Internal Combustion Engines (Adopted 11/08/05)
Rule 74.10 Components at Crude Oil Production Facilities and Natural Gas 
Production and Processing Facilities (Adopted 03/10/98)
Rule 74.11 Natural Gas-Fired Residential Water Heaters--Control of 
NOX (Adopted 04/09/85)
Rule 74.11.1 Large Water Heaters and Small Boilers (Adopted 09/14/99)
Rule 74.12 Surface Coating of Metal Parts and Products (Adopted 11/11/
03)
Rule 74.15 Boilers, Steam Generators and Process Heaters (Adopted 11/08/
94)
Rule 74.15.1 Boilers, Steam Generators and Process Heaters (Adopted 06/
13/00)
Rule 74.16 Oil Field Drilling Operations (Adopted 01/08/91)
Rule 74.20 Adhesives and Sealants (Adopted 01/11/05)
Rule 74.23 Stationary Gas Turbines (Adopted 1/08/02)
Rule 74.24 Marine Coating Operations (Adopted 11/11/03)
Rule 74.24.1 Pleasure Craft Coating and Commercial Boatyard Operations 
(Adopted 01/08/02)
Rule 74.26 Crude Oil Storage Tank Degassing Operations (Adopted 11/08/
94)
Rule 74.27 Gasoline and ROC Liquid Storage Tank Degassing Operations 
(Adopted 11/08/94)
Rule 74.28 Asphalt Roofing Operations (Adopted 05/10/94)
Rule 74.30 Wood Products Coatings (Adopted 06/27/06)
Rule 75 Circumvention (Adopted 11/27/78)
Rule 101 Sampling and Testing Facilities (Adopted 05/23/72)
Rule 102 Source Tests (Adopted 04/13/04)
Rule 103 Continuous Monitoring Systems (Adopted 02/09/99)
Rule 154 Stage 1 Episode Actions (Adopted 09/17/91)

[[Page 138]]

Rule 155 Stage 2 Episode Actions (Adopted 09/17/91)
Rule 156 Stage 3 Episode Actions (Adopted 09/17/91)
Rule 158 Source Abatement Plans (Adopted 09/17/91)
Rule 159 Traffic Abatement Procedures (Adopted 09/17/91)
Rule 220 General Conformity (Adopted 05/09/95)
Rule 230 Notice To Comply (Adopted 11/09/99)

                                 Florida

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

[[Page 139]]

296.700 Reasonably Available Control Technology (RACT)--Particulate 
Matter, except (2)(f) (Adopted 11/23/94)
296.800 Standards of Performance for New Stationary Sources (NSPS) 
(Adopted 11/23/94)
296.810 National Emission Standards for Hazardous Air Pollutants 
(NESHAP)--Part 61 (Adopted 11/23/94)
296.820 National Emission Standards for Hazardous Air Pollutants 
(NESHAP)--Part 63 (Adopted 11/23/94)
297.100 Purpose and Scope (Adopted 11/23/94)
297.200 Definitions (Adopted 11/23/94)
297.310 General Test Requirements (Adopted 11/23/94)
297.330 Applicable Test Procedures (Adopted 11/23/94)
297.340 Frequency of Compliance Tests (Adopted 11/23/94)
297.345 Stack Sampling Facilities Provided by the Owner of an Air 
Pollution Point Source (Adopted 11/23/94)
297.350 Determination of Process Variables (Adopted 11/23/94)
297.400 EPA Methods Adopted by Reference (Adopted 11/23/94)
297.401 EPA Test Procedures (Adopted 11/23/94)
297.411 DER Method 1 (Adopted 11/23/94)
297.412 DER Method 2 (Adopted 12/2/92)
297.413 DER Method 3 (Adopted 12/2/92)
297.414 DER Method 4 (Adopted 12/2/92)
297.415 DER Method 5 (Adopted 11/23/94)
297.416 DER Method 5A (Adopted 12/2/92)
297.417 DER Method 6 (Adopted 11/23/94)
297.418 DER Method 7 (Adopted 12/2/92)
297.419 DER Method 8 (Adopted 12/2/92)
297.420 DER Method 9 (Adopted 11/23/94)
297.421 DER Method 10 (Adopted 12/2/92)
297.422 DER Method 11 (Adopted 12/2/92)
297.423 DER Method 12--Determination of Inorganic Lead Emissions from 
Stationary Sources (Adopted 11/23/94)
297.424 DER Method 13 (Adopted 12/2/92)
297.440 Supplementary Test Procedures (Adopted 11/23/94)
297.450 EPA VOC Capture Efficiency Test Procedures (Adopted 11/23/94)
297.520 EPA Performance Specifications (Adopted 11/23/94)
297.570 Test Report (Adopted 11/23/94)
297.620 Exceptions and Approval of Alternate Procedures and Requirements 
(Adopted 11/23/94)

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

                             North Carolina

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

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

[[Page 140]]

2D.0914 Determination of VOC Emission Control System Efficiency (Adopted 
1/1/85)
2D.0925 Petroleum Liquid Storage (Adopted 12/1/89)
2D.0933 Petroleum Liquid Storage in External Floating Roof Tanks 
(Adopted 12/1/89)
2D.0939 Determination of Volatile Organic Compound Vapor Emissions 
(Adopted 7/1/88)
2D.1101 Purpose (Adopted 5/1/90)
2D.1102 Applicability (Adopted 5/1/90)
2D.1103 Definition (Adopted 5/1/90)
2D.1104 Toxic Air Pollutant Guidelines (Adopted 5/1/90)
2D.1105 Facility Reporting, Recordkeeping (Adopted 5/1/90)
2D.1106 Determination of Ambient Air Concentrations (Adopted 5/1/90)
2D.1107 Multiple Facilities (Adopted 5/1/90)
2D.1108 Multiple Pollutants (Adopted 5/1/90)
2H.0601 Purpose and Scope (Adopted 10/1/89)
2H.0602 Definitions (Adopted 5/1/90)
2H.0603 Applications (Adopted 12/1/89)
2H.0609 Permit Fees (Adopted 8/1/88)
2H.0610 Permit Requirements for Toxic Air Pollutants (Adopted 5/1/90)

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

[57 FR 40806, Sept. 4, 1992]

    Editorial Note: For Federal Register citations affecting Appendix A 
to Part 55, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



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

[[Page 141]]

    (c) Insure an adequate quality audit for each State's performance in 
implementing and enforcing the act.



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

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

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

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



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

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



Sec. 56.6  Dissemination of policy and guidance.

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

[[Page 142]]



PART 57_PRIMARY NONFERROUS SMELTER ORDERS--Table of Contents




                            Subpart A_General

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

              Subpart B_The Application and the NSO Process

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

          Subpart C_Constant Controls and Related Requirements

57.301 General requirements.
57.302 Performance level of interim constant controls.
57.303 Total plantwide emission limitation.
57.304 Bypass, excess 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:

[[Page 143]]

    (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 requirements. Nothing in 
this part shall preclude a State from imposing more stringent 
requirements, as provided by section 116 of the Clean Air Act.



Sec. 57.102  Eligibility.

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

[[Page 144]]

that smelter is the most economically feasible for use at that smelter.

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



Sec. 57.103  Definitions.

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

[[Page 145]]

can be anticipated and scheduled in advance. In sulfuric acid plants, it 
includes among other items the screening or replacement of catalyst, the 
re-tubing of heat exchangers, and the routine repair and cleaning of gas 
handling/cleaning equipment.
    (t) Smelter owner and operator means the owner or operator of the 
smelter, without distinction.
    (u) Supplementary control system (SCS) means any technique for 
limiting the concentration of a pollutant in the ambient air by varying 
the emissions of that pollutant according to atmospheric conditions. For 
the purposes of this part, the term supplementary control system does 
not include any dispersion technique based solely on the use of a stack 
the height of which exceeds good engineering practice (as determined 
under regulations implementing section 123 of the Act).
    (v) Unauthorized dispersion technique refers to any dispersion 
technique which, under section 123 of the Act and the regulations 
promulgated pursuant to that section, may not be used to reduce the 
degree of emission limitation otherwise required in the applicable SIP.
    (w) Unless otherwise specified in this part, all terms shall have 
the same meaning given them by the Act.

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



Sec. 57.104  Amendment of the NSO.

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

[[Page 146]]

    (2) Revoke the order after notice and opportunity for hearing;
    (3) Give notice of noncompliance and commence action under section 
120 of the act; or
    (4) Take any appropriate combinations of these actions.
    (c) Under section 304 of the Act, any person may commence a civil 
action against an owner or operator of a smelter which is alleged to be 
in violation or any order approved under this part.



Sec. 57.106  Expiration date.

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



Sec. 57.107  The State 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.

[[Page 147]]



              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 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)).

[[Page 148]]

    (3) At any time during the term of an NSO which does not contain a 
SIP compliance schedule, EPA or the issuing agency may reevaluate the 
availability of technology to the smelter. If EPA or the issuing agency 
determines that adequately demonstrated technology is reasonably 
available to permit the smelter to comply with its SIP by or before 
January 1, 1988, the NSO shall be amended within 3 months time after 
such determination. The amendment shall require compliance with all SIP 
requirements by or before January 1, 1988, and shall include a 
compliance schedule meeting the requirements of Sec. 57.705. The 
determination that adequately demonstrated technology is reasonably 
available shall be made by reapplying the same appendix A financial 
eligibility tests required by subpart B, updated by economic data 
reflecting current operating conditions and currently demonstrated 
control technology. Any such determination and amendment shall be 
governed by the provisions of this part and section 119 of the Clean Air 
Act.
    (4) Notice and opportunity for public hearing in accordance with 
section 119 of the Clean Air Act must be provided before issuance of any 
NSO.
    (e) A smelter that does not have any constant SO2 
controls or whose existing constant SO2 controls when in full 
operation and optimally maintained are not sufficient to treat all 
strong SO2 streams may apply for a waiver of the requirements 
of subpart C to install interim constant controls by submitting an 
application under subpart H. A waiver may be granted only with respect 
to the requirement to eliminate bypass of constant controls through the 
installation of new constant control equipment, not with respect to the 
requirements for optimum maintenance and operation of existing 
equipment. EPA shall then determine the smelter's ability to afford 
installation of the required additional interim constant SO2 
control equipment at the smelter based on financial eligibility 
information analyzed according to the financial test prescribed in 
appendix A. A waiver of the requirement for additional interim constant 
controls will be granted if EPA determines in accordance with the 
procedures of subpart H that imposition of this requirement would 
necessitate closure of the smelter for at least one year.



Sec. 57.202  How to apply.

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

[[Page 149]]

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

[[Page 150]]

proposals in any way it deems necessary in order to comply with the 
requirements of this part.
    (e) A smelter may submit as part of its application, information 
necessary to determine any SIP compliance schedule which might be 
required under Sec. 57.201(d)(2).
    (f) Additional information. The smelter owner shall designate in its 
application a corporate officer responsible and authorized to supply 
supplemental technical and economic information and explanations as 
required by the issuing agency during the formulation of the NSO. 
Failure to supply such information and explanations shall constitute a 
failure to submit a complete application.
    (g) Request for a waiver of constant controls. Any request for a 
waiver of the requirement interim constant control of all strpmg streams 
of Sec. 57.301 shall be made in accordance with Sec. 57.802. The 
criteria and procedures for granting the waiver are governed by subpart 
H of this part.
    (h) Unless a smelter applies for a waiver in accordance with subpart 
H, a smelter shall submit as part of its application a proposed schedule 
for compliance with the interim constant control requirements of subpart 
C which satisfies the requirements of Sec. 57.702.



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

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



Sec. 57.205  Submission of supplementary information upon relaxation
of an SO[bdi2] 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

[[Page 151]]

by Sec. 57.202(a) after receipt of the supplementary information. Such 
amendment shall require compliance with the new SO2 SIP limit 
as expeditiously as practicable in accordance with Sec. 57.201(d)(3). 
The issuing agency, if not EPA, shall promptly submit its determination 
and any necessary NSO amendments to EPA.
    (c) EPA shall take action to approve or disapprove the issuing 
agency's determination and NSO amendment, if any, within a reasonable 
time after receipt of such determination and amendment.
    (d) If EPA disapproves the issuing agency's determination or NSO 
amendment, or if a smelter fails to submit any supplementary information 
as required under paragraph (a), EPA and/or the issuing agency shall 
take appropriate remedial action. EPA shall take appropriate remedial 
action if the issuing agency does not make any determination and 
amendment required by this section within the time contemplated by Sec. 
57.202(a).



          Subpart C_Constant Controls and Related Requirements



Sec. 57.301  General requirements.

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



Sec. 57.302  Performance level of interim constant controls.

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

[[Page 152]]

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



Sec. 57.303  Total plantwide emission limitation.

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

[[Page 153]]

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

[[Page 154]]

the maximum extent feasible the potential for bypass of existing interim 
constant controls.
    (ii) Upon application for a waiver under subpart H, the smelter 
shall submit to the issuing agency for its approval and to EPA proposed 
maintenance and operation measures for compliance with the requirements 
of paragraph (i).
    (iii) The remainder of this subpart shall apply except that: (A) The 
emission limitations required under this subpart shall be based only on 
existing constant control equipment as upgraded through the improved 
maintenance and operation required by this paragraph, and (B) bypass of 
existing controls shall not constitute excess emissions, provided the 
maintenance and operation requirements and emission limitations 
prescribed by the NSO are satisfied.
    (2) After any denial of a waiver by the issuing Agency, or any 
disapproval by EPA of a waiver granted by the issuing agency, the NSO 
shall be amended consistent with the requirements of this subpart and 
Sec. 57.702.



Sec. 57.305  Compliance monitoring and reporting.

    (a) Monitoring. (1) Each NSO shall require compliance with the 
control system performance requirements established pursuant to this 
subpart to be determined through the use of continuous monitors for 
measuring SO2 concentration.
    (i) Such monitors must be installed, operated and maintained in 
accordance with the performance specifications and other requirements 
contained in appendix D to 40 CFR part 52 or part 60. The monitors must 
take and record at least one measurement of SO2 concentration 
from the effluent of each control system in each 15-minute period. 
Failure of the monitors to record at least 95% of the 15-minute periods 
in any 30-day period shall constitute a violation of the NSO.
    (ii) The sampling point shall be located at least 8 stack diameters 
(diameter measured at sampling point) downstream and 2 diameters 
upstream from any flow disturbance such as a bend, expansion, 
constriction, or flame, unless another location is approved by the 
Administrator.
    (iii) The sampling point for monitoring emissions shall be in the 
duct at the centroid of the cross section if the cross sectional area is 
less than 4.645m\2\ (50 ft\2\) or at a point no closer to the wall than 
0.914m (3 ft) if the cross sectional area is 4.645m\2\ (50 ft\2\) 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.

[[Page 155]]

    (3) The report required under Sec. 57.304(b) shall accompany the 
report required under paragraph (b)(1) of this section.
    (c) Quality assurance and continuous data--(1) Quality assurance. 
Each NSO shall require that the smelter submit a plan for quality 
assurance to the issuing agency for approval and that all monitoring 
performed by continuous monitors shall be verified for quality assurance 
by the smelter. Such plans must follow current EPA guidelines for 
quality assurance, in order to be approvable.
    (2) Continuous data. Manual source testing methods equivalent to 40 
CFR part 60, appendix A shall be used to determine compliance if the 
continuous monitoring system malfunctions.



           Subpart D_Supplementary Control System Requirements



Sec. 57.401  General requirements.

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



Sec. 57.402  Elements of the supplementary control system.

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

[[Page 156]]

 
32..................................  8,000.................         24
40..................................  10,000................         32
48 or more..........................  12,000 or more........         40
------------------------------------------------------------------------
\1\ Maximum emission rates for periods not to exceed 24 hours. Minimum
  radii may be determined from the table by linear interpolation.

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

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

[[Page 157]]

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

[[Page 158]]

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

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



Sec. 57.404  Measurements, records, and reports.

    (a) Measurements. Each NSO shall require the smelter owner to 
install, operate, and maintain a measurement system(s) for continuously 
monitoring sulfur dioxide emissions and stack gas volumetric flow rates 
in each stack (except a stack used exclusively for bypassing control 
equipment) which could emit 5 percent or more of the smelter's total 
potential (uncontrolled) hourly sulfur dioxide emissions.
    (1) Such monitors shall be installed, operated, and maintained in 
accordance with the performance specifications and other requirements 
contained in appendices D and E to 40 CFR part 52. The monitors must 
take and record at least one measurement of sulfur dioxide concentration 
and stack gas flow rate from the effluent of each affected stack in each 
fifteen-minute period. (The NSO shall require the smelter operator to 
devise and implement any procedures necessary for compliance with these 
performance specifications.)
    (2) The sampling point shall be located at least eight stack 
diameters (diameter measured at sampling point) downstream and two 
diameters upstream from any flow disturbance such as a bend, expansion, 
constriction, or flame, unless another location is approved by the 
Administrator.
    (3) The sampling point for monitoring emissions shall be in the duct 
at the centroid of the cross section if the cross sectional area is less 
than 4.645 m\2\ (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 m\2\ (50 ft\2\) 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

[[Page 159]]

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, 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

[[Page 160]]

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.
    (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.

[[Page 161]]



Sec. 57.504  Continuing evaluation of fugitive emission
control measures.

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



Sec. 57.505  Amendments of the NSO.

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



             Subpart F_Research and Development Requirements



Sec. 57.601  General requirements.

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



Sec. 57.602  Approval of proposal.

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

[[Page 162]]

under paragraph (a) of this section. A preproposal may be submitted to 
EPA any time prior to the submission of a proposal under paragraph (a) 
of this section. As soon as possible after the receipt of a preproposal, 
EPA shall certify to the applicant (and to any other issuing agency, as 
applicable) whether or not the project would be approvable. This 
certification may include comments indicating necessary modifications 
which would make the project approvable.



Sec. 57.603  Criteria for approval.

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



Sec. 57.604  Evaluation of projects.

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



Sec. 57.605  Consent.

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

[[Page 163]]

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 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

[[Page 164]]

evaluation of the SCS shall be complied with at the times specified in 
subpart D and Sec. 57.701.
    (b) Compliance schedule for smelters with no existing SCS system. 
Where a smelter has no SCS at the time of issuance of the NSO, the NSO 
shall require compliance with the requirements of subpart D according to 
the following schedule:
    (1) Within six months after the effective date of the NSO the 
smelter shall install all operating elements of the SCS system, begin 
operating the system, complete all other measures specified in its 
approved SCS development plan, begin compliance with the requirements of 
Sec. 57.404, and assume liability for any violations of the NAAQS 
within its designated liability area (except as provided by subpart D), 
detected by the SCS monitors in place.
    (2) Within nine months thereafter the smelter shall submit the SCS 
Report, assume liability for all violations of the NAAQS detected 
anywhere within its designated liability area, and comply with all other 
requirements of subpart D, except for those which subpart D specifies 
are to be satisfied at or after the close of such nine-month period, 
including requirements for submission of studies, reports, and records, 
and the requirements for continued review and evaluation of the SCS.



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

    This section applies only to smelters not required to submit SIP 
Compliance Schedules under Sec. 57.705. Each NSO shall require that 
smelters satisfy each of the requirements of subpart E as expeditiously 
as practicable, taking into account the extent to which those 
requirements have already been satisfied, and in any event, within any 
deadlines specified below.
    (a) Plan for fugitive emission control. The NSO shall provide that 
within a reasonable period after the submission of the report on the 
fugitive emission control study required by Sec. 57.502, but within a 
period allowing sufficient time for compliance with the requirement of 
Sec. 57.503 for amendment of the NSO, the smelter owner shall submit to 
the issuing agency for its approval a proposed fugitive emission control 
plan, including increments of progress, for compliance with the 
requirements of 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 
paragraphs (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.

[[Page 165]]



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

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



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



Sec. 57.801  Purpose and scope.

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



Sec. 57.802  Request for waiver.

    (a) General. (1) Each smelter owner requesting a waiver shall 
complete, sign, and submit appendix A (Test for Eligibility for Interim 
Waiver). Copies of appendix A may be obtained from any EPA Regional 
Administrator, or from the Director, Stationary Source Compliance 
Division (EN-341), U.S. Environmental Protection Agency, 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 specifically 
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

[[Page 166]]

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:
    (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.

[[Page 167]]

    (d) Request for individual notice. EPA shall mail notice of its 
tentative determination to grant or deny an application for waiver to 
any person upon request. Each such request shall be submitted to the 
Administrator in writing, shall state that the request is for individual 
notice of tentative determination to grant or deny any application for a 
waiver under section 119(d) of the Clean Air Act, and shall describe the 
notice or types of notices desired (e.g., all notices, notices for a 
particular Region, notices for a particular State, notice for a 
particular city).
    (e) Form of notice. The notice of tentative determination required 
to be distributed under paragraphs (b), (c), and (d) of this section 
shall include, in addition to any other materials, the following:
    (1) A summary of the information contained in appendix A;
    (2) The tentative determination prepared under paragraph (a) of this 
section: Provided, that except in the case of the smelter owner, a 
summary of the basis for the grant or denial of the waiver may be 
provided in lieu of the formal determinations required by paragraph 
(a)(1) of this section;
    (3) A brief description of the procedures set forth in Sec. 57.804 
for requesting a public hearing on the waiver request, including a 
statement that such request must be filed within 30 days of the date of 
the notice;
    (4) A statement that written comments on the tentative determination 
submitted to EPA within 60 days of the date of the notice will be 
considered by EPA in making a final decision on the application; and
    (5) The location of the administrative record and the location at 
which interested persons may obtain further information on the tentative 
determination, including a copy of the index to the record, the 
tentative determination prepared under paragraph (a) of this section, 
and any other nonconfidential record materials.



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

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

[[Page 168]]

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).



Sec. 57.805  Submission of written comments on tentative 
determination.

    (a) Main comments. Each person who has filed a request to 
participate 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

[[Page 169]]

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

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



Sec. 57.807  Hearing.

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



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

[[Page 170]]

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



Sec. 57.809  Ex parte communications.

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

[[Page 171]]

presiding at the stage of the hearing then in progress may, to the 
extent consistent with justice and the policy of the Clean Air Act, 
require the party to show cause why its claim or interest in the 
proceedings should not be dismissed, denied, disregarded, or otherwise 
adversely affected on account of such violation.
    (c) Definitions. For purposes of this section, the following 
definitions shall apply:
    (1) Agency trial staff means those Agency employees, whether 
temporary or permanent, who have been designated by the Agency as 
available to investigate, litigate, and present the evidence arguments 
and position of the Agency in the evidentiary hearing or non-adversary 
panel hearing. Appearance as a witness does not necessarily require a 
person to be designated as a member of the Agency trial staff;
    (2) Decisional body means any Agency employee who is or may be 
reasonably expected to be involved in the decisional process of the 
proceeding including the Administrator, Presiding Officer, the Regional 
Administrator (if he does not designate himself as a member of the 
Agency trial staff), and any of their staff participating in the 
decisional process. In the case of a non-adversary panel hearing, the 
decisional body shall also include the panel members whether or not 
permanently employed by the Agency;
    (3) Ex parte communication means any communication, written or oral, 
relating to the merits of the proceeding between the decisional body and 
an interested person outside the Agency or the Agency trial staff which 
was not originally filed or stated in the administrative record or in 
the hearing. Ex parte communications do not include:
    (i) Communications between Agency employees other than between the 
Agency trial staff and the member of the decisional body;
    (ii) Discussions between the decisional body and either:
    (A) Interested persons outside the Agency, or;
    (B) The Agency trial staff if all parties have received prior 
written notice of such proposed communications and have been given the 
opportunity to be present and participate therein.
    (4) Interested person outside the Agency includes the smelter owner, 
any person who filed written comments in the proceeding, any person who 
requested the hearing, any person who requested to participate or 
intervene in the hearing, any participant or party in the hearing and 
any other interested person not employed by the Agency at the time of 
the communications, and the attorney of record for such persons.

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



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

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

[[Page 172]]

Officer. Such employee(s) may consult with and receive assistance from 
any member of the hearing panel in drafting a recommended decision and 
may also delegate the preparation of the recommended decision to the 
panel or to any member or members of it. This decision shall contain the 
same elements as the tentative determination. After the recommended 
decision has been filed, the Hearing Clerk shall serve a copy of such 
decision on each hearing participant and upon the Administrator.



Sec. 57.812  Appeal from or review of recommended decision.

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



Sec. 57.813  Final decision.

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

[[Page 173]]

interim requirement that each NSO provide for the use of constant 
controls shall not occur until EPA approves or disapproves the issuance 
of an NSO to the source requesting such a waiver.



Sec. 57.814  Administrative record.

    (a) Establishment of record. (1) Upon receipt of request for a 
waiver, an administrative record for that request shall be established, 
and a Record and Hearing Clerk appointed to supervise the filing of 
documents in the record and to carry out all other duties assigned to 
him under this subpart.
    (2) All material required to be included in the record shall be 
added to the record as soon as feasible after its receipt by EPA. All 
material in the record shall be appropriately indexed. The Hearing Clerk 
shall make appropriate arrangements to allow members of the public to 
copy all nonconfidential record materials during normal EPA business 
hours.
    (3) Confidential record material shall be indexed under paragraph 
(a)(2). Confidential record material shall, however, be physically 
maintained in a separate location from public record material.
    (4) Confidential record material shall consist of the following:
    (i) Any material submitted pursuant to Sec. 57.802 for which a 
proper claim of confidentiality has been made under section 114(c) of 
the Act and 40 CFR part 2; and
    (ii) The Staff Computational Anaylsis prepared under Sec. 57.803
    (b) Record for issuing tentative determination. The administrative 
record for issuing the tentative determination required by Sec. 57.803 
shall consist of the material submitted under Sec. 57.802 and any 
additional materials supporting the tentative determination.
    (c) Record for acting on requests for cross-examination. The 
administrative record for acting on requests for cross-examination under 
Sec. 57.808 shall consist of the record for issuing the tentative 
determination, all comments timely submitted under 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 recommendation.

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



Sec. 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

[[Page 174]]

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

                 Detailed Instructions for Each Schedule

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

                         1. General Instructions

    1.1 Purpose of the application. This application provides financial 
reporting schedules and the accompanying instructions for EPA's 
determination of eligibility for a nonferrous smelter order (NSO), and 
for a waiver of the interim constant controls requirement of an NSO. 
Although the determination of eligibility for an NSO is prerequisite 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

[[Page 175]]

standard is not reasonably available. An applicant will determine 
financial eligibility for an NSO by passing at least one of the 
following two tests.
    (a) Profit Protection Test. The smelter will experience a reduction 
in pre-tax profits of 50 percent or more after undertaking the required 
installation of constant controls.
    (b) Rate of Return Test. The smelter will earn a rate of return on 
historical net investment, expressed in constant dollars, below the 
industry average cost of capital after undertaking the required 
installation of constant controls.
    1.2.2 Temporary Waiver from Interim Controls. Applicants that do not 
have an existing constant control system or whose constant controls are 
not sufficient when in operation and optimally maintained to treat all 
strong streams in accordance with subpart C, may apply for a waiver of 
the requirements of subpart C with respect to any interim constant 
controls not already installed. Applicants will be eligible for a 
temporary waiver of the requirement for interim constant controls not 
already installed, if they can establish pursuant to the procedures in 
this application that the imposition of such control requirements would 
economically necessitate closure of the smelter facility for a period of 
one year or longer. The economic justification for a non-permanent 
closure under this temporary waiver test is defined as a situation in 
which the smelter's projected operating revenues for one or more years 
during which the NSO is in effect are inadequate to cover variable 
operating costs anticipated after installing the required interim 
control technology. Temporary waivers will be granted for only the 
period of time over which applicants can establish an inability by the 
firm to cover its variable operating costs. Interim control waiver 
requests based on the smelter's projected inability to earn adequate 
income after installation of interim pollution control equipment will be 
subject to the permanent waiver test.
    1.2.3 Permanent Waiver from Interim Controls. Applicants that do not 
have an existing constant control system or whose constant controls are 
not sufficient when in operation and optimally maintained to treat all 
strong streams in accordance with subpart C, may apply for a waiver of 
the requirements of subpart C with respect to any interim constant 
controls not already installed. Applicants will be eligible for a 
permanent waiver of the requirement for interim constant controls not 
already installed, if they can establish pursuant to the procedures in 
this application that an imposition of such control requirements would 
necessitate permanent closure of the smelter. Economic justification for 
a permanent closure is defined as a situation in which the present value 
of future cash flows anticipated from the smelter after installing the 
required interim control technology is less than the smelter's current 
salvage value under an orderly plan of liquidation. Future cash flows 
are determined under two alternative assumptions. The higher present 
value of cash flows computed under these assumptions is then compared to 
salvage value.
    1.2.4 EPA Contact for NSO Inquiries. Inquiries concerning this 
portion of the requirements for NSO application should be addressed to 
Laxmi M. Kesari, Environmental Protection Agency, EN 341, 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 specific 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

[[Page 176]]

Test, interest on long-term debt financing arrangements. Provide a 
detailed explanation of amounts classified as nontraceable on a separate 
schedule and attach as part of Exhibit B.
    2.2 Transfer Prices on Affiliated Part Transactions. Certain 
transactions by the smelter subject to an NSO application may reflect 
sales to or purchases from ``affiliated'' customers or suppliers with 
whom the smelter has a common bond of ownership and/or managerial 
control. In preparing this application, affiliated party transactions 
shall be defined as transactions with any entity that the firm, or its 
owners, controls directly or indirectly either through an ownership of 
10 percent or more of the entity's voting interests or through an 
exercise of managerial responsibility. Applicants must attach as part of 
Exhibit B supporting schedules explaining the pricing policies 
established on affiliated party transactions incorporated in the 
financial reporting schedules.
    Prices on inter-segment material and product transfers within a 
firm, or on external purchases from and sales to other affiliated 
suppliers and customers, may differ from the prices on comparable 
transactions with unaffiliated suppliers and customers. In this event, 
applicants also must present in the Exhibit B supporting schedules and 
incorporate in the NSO financial reporting schedules appropriate 
adjustments for restating affiliated party transactions. Affiliated 
party transactions must be restated at either (a) equivalent prices on 
comparable transactions with unaffiliated parties if such price 
quotations can be obtained or (b) prices that provide the selling entity 
with a normal profit margin above its cost of sales if a meaningful 
comparison with unaffiliated transaction prices cannot be established.
    A ``normal'' profit margin is defined as the gross operating profit 
per dollar of operating revenue that will provide an average after-tax 
rate of return on permanent capital (total assets less current 
liabilities). This average rate of return is defined differently for the 
historical and forecast periods. The applicant must use a rate of return 
of 8.0 percent for the historical period. This figure is based on a 
historical 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 adjustments to 
certain revenue and cost estimates in the respective 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 guidelines to an applicant in preparing the 
required cost and revenue estimates. In particular, copper smelting 
charges provided in nominal-dollar terms must be used directly 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,

[[Page 177]]

forecast revenues are computed as the product of the forecast quantity 
of processed concentrate, the forecast average product grade of the 
concentrate (the percent of metal in the concentrate), and the forecast 
smelting charge. Smelters that are not tolling smelters and that do not 
use the copper smelting charges provided by EPA (as described in Section 
2.4.1) can forecast a smelting charge from forecast product grade of the 
concentrate, percent recovery, and product and concentrate prices. The 
forecast prices and derivation of the smelting charge must be in 
accordance with the guidelines in Section 2.5, and the methodology must 
be fully documented in Exhibit B.
    2.4 EPA Furnished Forecast Data. In making projection for the period 
1984 through 1990, applicants must, except as noted below, use the 
indices provided by EPA. The table below presents yearly values for each 
index (expressed as annual percentage rates of change) to be used by 
smelters applying for an NSO before January 1, 1985. If forecasts are 
needed for 1991 and EPA has not provided new forecasts, applicants 
should use the Data Resources, Inc. forecasts for 1991 (Docket Item No. 
IV-A-6c) and the average of CRU's forecasts for 1989 and 1990 (expressed 
in 1991 dollars).

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

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

[[Page 178]]

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

[[Page 179]]

have expertise comparable to that of the forecaster relied upon by EPA. 
(2) As much documentation of the forecasting methodology as can 
reasonably be obtained must be made available to EPA. Such documentation 
must, at a minimum, be comparable to the documentation supporting EPA 
smelting charge forecasts. \2\
---------------------------------------------------------------------------

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

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

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

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

[[Page 180]]

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

[[Page 181]]

return less than the industry average cost of capital.
    2.9.2 Interim Control Waivers. An applicant for a waiver from 
interim controls must complete either a portion or all of Schedules D.1 
through D.7, depending on whether the application is for a temporary or 
permanent waiver.
    (a) Temporary Waiver from Interim Controls Test. The applicant must 
complete Schedules D.1 through D.3 to establish eligibility for a 
temporary waiver from interim controls. Schedules D.1 and D.2 report 
forecast revenue and cost data under the assumption of installation of 
interim constant control equipment and no installation of any additional 
SO2 controls that the smelter would otherwise be required to 
install but for the issuance of the NSO. Schedule D.3 summarizes 
Schedules D.1 and D.2 and calculates gross operating profit. If gross 
operating profit is negative for any year during which the NSO is in 
effect, the applicant is eligible for a temporary waiver.
    (b) Permanent Waiver from Interim Controls Test. The applicant must 
complete Schedules D.1 through D.7. All schedules except for Schedule 
D.5 must be completed twice, based on two alternative assumptions: (1) 
installation of interim constant control equipment, no installation of 
any additional SO2 controls that the smelter would otherwise 
be required to install but for the issuance of the NSO, and closure of 
the smelter after January 1, 1988; and (2) installation of interim 
constant control equipment, installation of any additional 
SO2 controls required to comply with the smelter's SIP 
emission limitation by January 2, 1988, and continued operation of the 
smelter after January 1, 1988.
    Schedules D.1 and D.2 report forecast revenue and cost data under 
each assumption. Schedule D.3 summarizes Schedules D.1 and D.2, and 
Schedule D.4 reports forecast sustaining capital under each assumption. 
Schedule D.5 reports cash proceeds from liquidation.
    Schedule D.6 presents the calculations for the permanent waiver 
test. In Schedule D.6, the applicant reports cash flow projections from 
Schedules D.3 and D.4 and the horizon value from Schedule D.7, computes 
their present value and subtracts the current salvage value (taken from 
Schedule D.5) to yield net present value. The higher of the two net 
present value figures computed under the two alternative assumptions 
must be used in the test. If the higher net present value figure is 
negative, the applicant is eligible for a permanent waiver.
    2.10 Use of exhibits. In addition to data required by the schedules 
included in this application, the following information must be attached 
as exhibits.
    2.10.1 Exhibit A. Background information on the firm's 
organizational structure and its associated accounting and financial 
reporting systems for primary nonferrous activities. This information 
must include, where applicable, the firm's:
    (a) Operating association with an ownership control in consolidated 
subsidiaries, unconsolidated subsidiaries, joint ventures and other 
affiliated companies.
    (b) Organizational subdivision of its primary nonferrous activities 
into profit centers, cost centers and/or related financial reporting 
entities employed to control the operation of its mines, concentrators, 
smelters, refineries and other associated facilities.
    (c) Material and product flows among the smelter subject to this NSO 
application, other integrated facilities and its affiliated suppliers 
and/or customers. In the case of integrated facilities, applicants must 
provide process flow diagrams depicting the operating interrelationships 
among its mines, concentrators, smelters, refineries and other 
integrated facilities. For both integrated and nonintegrated facilities, 
applicants also must describe the proportion contributed to its primary 
nonferrous activities by material purchases from and product sales to 
affiliated suppliers and customers.
    (d) Annual operating capacity over the five most recent fiscal years 
for the smelter subject to this application. Operating capacity must be 
defined in terms of the total quantity of throughput that could have 
been processed with the available facilities after giving appropriate 
allowance to normal 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

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capital expenditure plans. At least the current one-year and five-year 
plans must provide a specific breakdown of investment expenditures and 
operating costs associated with the operation and maintenance of each 
profit center's existing and proposed pollution control facilities.
    2.10.2 Exhibit B. Supplemental description and explanation of items 
appearing in the financial reporting schedules. Other parts of Section 2 
and the detailed instructions for the Schedules specify the information 
required in Exhibit B.
    2.10.3 Exhibit C. Financial data documentation. Applicants must 
document annual balance sheet, income statement and supporting data 
reported for the firm's preceding five fiscal years or for that portion 
of the past five years during which the firm engaged in smelter 
operations. This documentation must be provided by attaching to the 
application:
    (a) SEC 10-K reports filed by the parent corporation for each of the 
preceding five fiscal years.
    (b) Certified financial statements prepared on a consolidated basis 
for the parent corporation and its consolidated subsidiaries. This 
requirement may be omitted for those years in which SEC 10-K reports 
have been attached to this Exhibit.
    (c) Business Segment Information reports filed with the Securities 
and Exchange Commission by the firm for each of the preceding five years 
(as available).

                  Schedule A.1--Historical Revenue Data

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

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

[[Page 183]]

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

                   Schedule A.2--Historical Cost Data

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

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

[[Page 184]]

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

[[Page 185]]

showing the types and amounts of sales reported as other operating 
revenue. The following non-operating revenue and income items should not 
be included as other operating revenue or as a part of revenues reported 
on Lines 01 through 03.

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

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

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

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

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

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

[[Page 186]]

Line 02 as operating revenues. Attach as part of Exhibit B supporting 
schedules showing the:

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

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

[[Page 187]]

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

[[Page 188]]

control components. Identify for each asset component the direct versus 
joint-use investments assigned to the smelter and explain the basis used 
to allocate amounts associated with joint-use facilities to the smelter.
    Line 18--Other Non-Current Assets. Report for each year other assets 
assignable to the smelter's operations. Attach as part of Exhibit B a 
schedule reporting by type and amount the major components of such 
investments.
    Line 19--Total Smelter Capital Investment. Enter for each year the 
total of Lines 08, 17 and 18.
    Line 20 and 21--Trade Accounts and Notes Payable. Report for each 
year trade accounts and notes due on the smelter's purchases from 
unaffiliated suppliers (Line 20) and on its intersegment transfers or 
purchases from affiliated suppliers (Line 21). Trade payables reported 
by the smelter as due to affiliated suppliers should be stated or, if 
necessary, restated on terms equivalent to those received from 
unaffiliated suppliers on a purchase of comparable materials. Attach as 
part of Exhibit B a schedule showing adjustments required on the 
smelter's trade payables to equate trade credit terms received from 
affiliated and unaffiliated suppliers.
    Line 22--Other Expense Accruals. Report for each year payments 
classified as current for salaries and wages, other employee benefits, 
operating taxes and related operating expenses assignable to the 
smelter's operations. Attach as part of Exhibit B a schedule classifying 
by type and amount the major components of such accruals.
    Line 23--Current Notes Payable. Report for each year payments due to 
nontrade creditors on short-term financing arrangements directly 
associated with the smelter's operations. Exclude current installments 
due on long-term debt financing arrangements, notes due to offices and 
directors, intersegment loans or advances and loans or advances from 
affiliated operating segments.
    Line 24--Other Current Liabilities. Report for each year other 
nontrade payables classified as current obligations assignable to the 
smelter's operations.
    Line 25--Total Current Liabilities. Enter for each year the total of 
Lines 20 through 24.
    Line 26--Net Smelter Capital Investment. Enter for each year the 
difference between Lines 19 and 25.

               Schedule B.1--Pre-Control Revenue Forecast

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

[[Page 189]]

other by-products derived from the smelter's operations. Attach as part 
of Exhibit B a schedule providing additional documentation as specified 
in the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

                 Schedule B.2--Pre-Control Cost Forecast

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

[[Page 190]]

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

[[Page 191]]

    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.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,

[[Page 192]]

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

[[Page 193]]

    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.5, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.5, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities. By-product credits 
associated with operation of the pollution control facilities should be 
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10 
and included in Line 03 of this Schedule. Attach a schedule as part of 
Exhibit B classifying pollution control costs by major cost components. 
Explain the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity and price elements. Also identify in the 
supporting schedule any differences in production overhead cost 
classifications used in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 11.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefit of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been 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

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explain any differences between cost classifications included in this 
Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.

                  Schedule B.7--Profit Protection Test

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

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any differences in the ``other'' material cost components shown in this 
Schedule and Schedule A.3 and explain the reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.5, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.5, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities. By-product credits 
associated with operation of the pollution control facilities should be 
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10 
and included in Line 03 of this Schedule. Attach a schedule as part of 
Exhibit B classifying pollution control costs by major cost components. 
Explain the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity and price elements. Also identify in the 
supporting schedule any differences in production overhead cost 
classifications used in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 10.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO Financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefit of the 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.

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    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classification 
included in this Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.
    Line 23--Income Taxes. Enter the product of income from operations 
(Line 22) and the sum of the Federal, State and local marginal tax 
rates. Attach as part of Exhibit B a schedule detailing the estimated 
marginal tax rate by taxing entity.
    Line 24--Net Income From Operations. Enter for each year the 
difference between Lines 23 and 22.

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

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

[[Page 197]]

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

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

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

[[Page 198]]

    Line 11--Marginal Tax Rate. Enter for each year of the horizon 
period the marginal income tax rate applicable to the smelter. This rate 
should incorporate both Federal and State tax liability.
    Line 12--Tax Savings. Enter for each year of the horizon period the 
product of Lines 10 and 11.
    Line 13--Discount Factors. Enter the discount factor for each year 
of the horizon period. This shall be computed according to the 
instructions under Section 2.6, except that the variable N found in the 
discount factor formula represents the number of years in the future, 
counting from the last forecast year. For example, N=1 for the first 
year of the horizon period.
    Line 14--Present Value of Tax Savings. Enter for each year of the 
horizon period the product of Lines 12 and 13.
    Line 15--Total Present Value of Tax Savings. Enter under the Total 
column the sum of values on Line 14 for the horizon years.
    Line 16--Horizon Value. Enter under the Total column the sum of 
Lines 09 and 15.

             Schedule D.1--Interim Controls Revenue Forecast

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

[[Page 199]]

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

[[Page 200]]

controls operations. Identify in the supporting schedule any differences 
in the ``other'' revenue components reported in this Schedule and 
Schedule A.3 and explain the reasons for such differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule D.2, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule D.2, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for operation and maintenance of all pollution control equipment and 
facilities under the two alternative sets of assumptions made in 
corresponding Schedules D.1 and D.2. Byproduct credits associated with 
operation of the pollution control facilities should be eliminated from 
the cost accounts, reclassified to Schedule D.1, Line 10 and included in 
Line 03 of this Schedule. Attach a schedule as part of Exhibit B 
classifying pollution control costs by major cost components. Explain 
the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity 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

[[Page 201]]

charges associated with the smelter's investment in equipment and 
facilities other than those classified as pollution control facilities. 
Attach explanatory supporting schedules as part of Exhibit B.
    Line 19--Interest on Short-Term Debt. Report the estimates of 
interest and other financing charges on forecast short-term obligations 
as classified in the smelter's current liabilities on Schedule A.4. 
Interest and associated financing charges on long-term debt should not 
be included as an expense identifiable with the smelter's operations. 
Attach as part of Exhibit B a schedule showing the interest-bearing, 
short-term debt contracts identifiable with the smelter's operations, 
the interest rate projected for these contracts, and the estimated 
annual interest charges. Identify and explain any differences between 
the classifications used in this Schedule and those used in Line 20 of 
Schedule A.3.
    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classifications 
included in this Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.
    Line 23--Income Taxes. Enter the product of income from operations 
(Line 22) and the sum of the Federal, State and local marginal tax 
rates. Attach as part of Exhibit B a schedule detailing the estimated 
marginal tax rate by taxing entity.
    Line 24--Net Income From Operations. Enter for each year the 
difference between Lines 23 and 22.
    The temporary waiver from interim controls test is on Line 13 of 
Schedule D.3 that 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.

[[Page 202]]

    Line 07--Total Smelter Sustaining Capital. Enter for each year the 
total of Lines 01 through 06. Transfer the reported total for each year 
to Schedule D.6, Line 06.

              Schedule D.5--Cash Proceeds From Liquidation

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

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

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

[[Page 203]]

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

[[Page 204]]

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

[[Page 205]]

________________________________________________________________________

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

[[Page 206]]

 
E. Primary metal revenues.................................       53  .......  .......  .......  .......  .......
F. Tolling service revenues:
    1. Total toll concentrates processed..................       54  .......  .......  .......  .......  .......
    2. Unaffiliated customer revenues:
        a. Concentrates processed.........................       55  .......  .......  .......  .......  .......
        b. Operating revenue..............................       56  .......  .......  .......  .......  .......
        c. Average unit price.............................       57  .......  .......  .......  .......  .......
        d. Average product grade..........................       58  .......  .......  .......  .......  .......
    3. Affiliated customer revenues:
        a. Concentrates processed.........................       59  .......  .......  .......  .......  .......
        b. Operating revenue..............................       60  .......  .......  .......  .......  .......
        c. Average unit price.............................       61  .......  .......  .......  .......  .......
        d. Average product grade..........................       62  .......  .......  .......  .......  .......
    4. Adjusted tolling service revenues:
        a. Total tolling service revenue..................       63  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       64  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       65  .......  .......  .......  .......  .......
        d. Adjusted tolling service revenues..............       66  .......  .......  .......  .......  .......
G. Coproduct and byproduct sales:
    1. Total coproduct revenues...........................       67  .......  .......  .......  .......  .......
    2. Total byproduct revenues:
        a. Pollution control facilities...................       68  .......  .......  .......  .......  .......
        b. Other smelter processing.......................       69  .......  .......  .......  .......  .......
    3. Total coproduct and byproduct revenues.............       70  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                       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  .......  .......  .......  .......  .......

[[Page 207]]

 
    5. Other (specify):
        a. Quantity (specific units)......................       31  .......  .......  .......  .......  .......
        b. Price per unit.................................       32  .......  .......  .......  .......  .......
        c. Total payments.................................       33  .......  .......  .......  .......  .......
    6. Total energy costs.................................       34  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


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

[[Page 208]]

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


                                    Schedule B--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  .......  .......  .......  .......  .......  .......  .......

[[Page 209]]

 
    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  .......  .......  .......  .......  .......  .......  .......
    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 facilities.       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  .......  .......  .......  .......  .......  .......  .......

[[Page 210]]

 
    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.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................

[[Page 211]]

 
    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.....................
    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  .......  .......  .......  .......  .......  .......  .......

[[Page 212]]

 
2. Buildings and improvements...........       02  .......  .......  .......  .......  .......  .......  .......
2. Machinery and equipment..............       03  .......  .......  .......  .......  .......  .......  .......
4. Transportation equipment.............       04  .......  .......  .......  .......  .......  .......  .......
5. Pollution control facilities.........       05  .......  .......  .......  .......  .......  .......  .......
6. Other fixed assets...................       06  .......  .......  .......  .......  .......  .......  .......
7. Total smelter sustaining capital.....       07  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


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

[[Page 213]]

 
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  .......
----------------------------------------------------------------------------------------------------------------


                                    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  .......  .......  .......  .......  .......  .......  .......

[[Page 214]]

 
        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  .......  .......  .......  .......  .......  .......  .......
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  .......  .......  .......  .......  .......  .......  .......

[[Page 215]]

 
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
F. Forecast income taxes................       23  .......  .......  .......  .......  .......  .......  .......
G. Forecast net income from operations..       24  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


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


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

[[Page 216]]

 
    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  .......
----------------------------------------------------------------------------------------------------------------


                                    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 Network

58.10 Annual monitoring network plan and periodic network assessment.
58.11 Network technical requirements.
58.12 Operating schedules.
58.13 Monitoring network completion.
58.14 System modification.
58.15 Annual air monitoring data certification.
58.16 Data submittal and archiving requirements.

                   Subpart C_Special Purpose Monitors

58.20 Special purpose monitors (SPM).

[[Page 217]]

            Subpart D_Comparability of Ambient Data to NAAQS

58.30 Special considerations for data comparisons to the NAAQS.

Subpart E [Reserved]

                  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)
Appendix B to Part 58 [Reserved]
Appendix C to Part 58--Ambient Air Quality Monitoring Methodology
Appendix D to Part 58--Network Design Criteria for Ambient Air Quality 
          Monitoring
Appendix E to Part 58--Probe and Monitoring Path Siting Criteria for 
          Ambient Air Quality Monitoring
Appendix F to Part 58 [Reserved]
Appendix G to Part 58--Uniform Air Quality Index (AQI) and Daily 
          Reporting

    Authority: 42 U.S.C. 7403, 7410, 7601(a), 7611, and 7619.

    Source: 44 FR 27571, May 10, 1979; 59 FR 41628, Aug. 12, 1994, 
unless otherwise noted.



                      Subpart A_General Provisions

    Source: 71 FR 61296, Oct. 17, 2006, unless otherwise noted.



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.)
    Additive and multiplicative bias means the linear regression 
intercept and slope of a linear plot fitted to corresponding candidate 
and reference method mean measurement data pairs.
    Administrator means the Administrator of the Environmental 
Protection Agency (EPA) or his or her authorized representative.
    Air Quality System (AQS) means EPA's computerized system for storing 
and reporting of information relating to ambient air quality data.
    Approved regional method (ARM) means a continuous PM2.5 
method that has been approved specifically within a State or local air 
monitoring network for purposes of comparison to the NAAQS and to meet 
other monitoring objectives.
    AQCR means air quality control region.
    CO means carbon monoxide.
    Combined statistical area (CSA) is defined by the U.S. Office of 
Management and Budget as a geographical area consisting of two or more 
adjacent Core Based Statistical Areas (CBSA) with employment interchange 
of at least 15 percent. Combination is automatic if the employment 
interchange is 25 percent and determined by local opinion if more than 
15 but less than 25 percent (http://www.census.gov/population/estimates/
metro-city/List6.txt).
    Community monitoring zone (CMZ) means an optional averaging area 
with established, well defined boundaries, such as county or census 
block, within an MPA that has relatively uniform concentrations of 
annual PM2.5 as defined by appendix N of part 50 of this 
chapter. Two or more community-oriented SLAMS monitors within a CMZ that 
meet certain requirements as set forth in appendix N of part 50 of this 
chapter may be averaged for making comparisons to the annual 
PM2.5 NAAQS.
    Core-based statistical area (CBSA) is defined by the U.S. Office of 
Management and Budget, as a statistical geographic entity consisting of 
the county or counties associated with at least one urbanized area/urban 
cluster of at least 10,000 population, plus adjacent counties having a 
high degree of social and economic integration. Metropolitan Statistical 
Areas (MSAs) and micropolitan statistical areas are the two categories 
of CBSA (metropolitan areas have populations greater than 50,000; and 
micropolitan areas have populations between 10,000 and 50,000). In the 
case of very large cities where two or more CBSAs are combined, these 
larger areas are referred to as combined statistical areas (CSAs) 
(http://www.census.gov/population/estimates/metro-city/List1.txt).
    Corrected concentration pertains to the result of an accuracy or 
precision assessment test of an open path analyzer in which a high-
concentration

[[Page 218]]

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.
    Design value means the calculated concentration according to the 
applicable appendix of part 50 of this chapter for the highest site in 
an attainment or nonattainment area.
    EDO means environmental data operations.
    Effective concentration pertains to testing an open path analyzer 
with a high-concentration calibration or audit standard gas contained in 
a short test cell inserted into the optical measurement beam of the 
instrument. Effective concentration is the equivalent ambient-level 
concentration that would produce the same spectral absorbance over the 
actual atmospheric monitoring path length as produced by the high-
concentration gas in the short test cell. Quantitatively, effective 
concentration is equal to the actual concentration of the gas standard 
in the test cell multiplied by the ratio of the path length of the test 
cell to the actual atmospheric monitoring path length.
    Federal equivalent method (FEM) 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 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.
    Federal reference method (FRM) 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 of this chapter.
    HNO3 means nitric acid.
    Local agency means any local government agency, other than the State 
agency, which is charged by a State 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, solar 
radiation, ultraviolet radiation, and/or precipitation.
    Metropolitan Statistical Area (MSA) means a CBSA associated with at 
least one urbanized area of 50,000 population or greater. The central 
county plus adjacent counties with a high degree of integration comprise 
the area.
    Monitor means 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 
applicable provisions of appendix C to this part.
    Monitoring agency means a State or local agency responsible for 
meeting the requirements of this part.
    Monitoring organization means a State, local, or other monitoring 
organization responsible for operating a monitoring site for which the 
quality assurance regulations apply.
    Monitoring path for an open path analyzer means 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 means 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 CBSA, county or 
State, having a common area that is used for planning monitoring 
locations for

[[Page 219]]

PM2.5. An MPA may cross State boundaries, such as the 
Philadelphia PA-NJ MSA, and be further subdivided into community 
monitoring zones. MPAs are generally oriented toward CBSAs or CSAs with 
populations greater than 200,000, but for convenience, those portions of 
a State that are not associated with CBSAs can be considered as a single 
MPA.
    NATTS means the national air toxics trends stations. This network 
provides hazardous air pollution ambient data.
    NCore means the National Core multipollutant monitoring stations. 
Monitors at these sites are required to measure particles 
(PM2.5, speciated PM2.5, PM10-2.5), 
O3, SO2, CO, nitrogen oxides (NO/NO2/
NOy), Pb, and basic meteorology.
    Network means all stations of a given type or types.
    NH3 means ammonia.
    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.
    NOy means the sum of all total reactive nitrogen oxides, including 
NO, NO2, and other nitrogen oxides referred to as 
NOZ.
    O3 means ozone.
    Open path analyzer means 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 means the actual length of the 
optical beam over which measurement of the pollutant is determined. The 
path-integrated pollutant concentration measured by the analyzer is 
divided by the optical measurement path length to determine the path-
averaged concentration. Generally, the optical measurement path length 
is:
    (1) Equal to the monitoring path length for a (bistatic) system 
having a transmitter and a receiver at opposite ends of the monitoring 
path;
    (2) Equal to twice the monitoring path length for a (monostatic) 
system having a transmitter and receiver at one end of the monitoring 
path and a mirror or retroreflector at the other end; or
    (3) Equal to some multiple of the monitoring path length for more 
complex systems having multiple passes of the measurement beam through 
the monitoring path.
    PAMS means photochemical assessment monitoring stations.
    Pb means lead.
    Plan means an implementation plan approved or promulgated pursuant 
to section 110 of the Act.
    PM means PM10, PM110C, PM2.5, 
PM10-2.5, or particulate matter of unspecified size range.
    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 appendix L of part 50 of this chapter and designated in 
accordance with part 53 of this chapter, by an equivalent method 
designated in accordance with part 53 of this chapter, or by an approved 
regional method designated in accordance with appendix C to this part.
    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.
    PM10C 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 O 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.
    PM10-2.5 means particulate matter with an aerodynamic 
diameter less than or equal to a nominal 10 micrometers and greater than 
a nominal 2.5 micrometers as measured by a reference method based on 
appendix O to 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.

[[Page 220]]

    Point analyzer means 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) means residential areas, 
commercial areas, recreational areas, industrial areas where workers 
from more than one company are located, and other areas where a 
substantial number of people may spend a significant fraction of their 
day.
    Primary quality assurance organization means a monitoring 
organization or other organization that is responsible for a set of 
stations that monitor the same pollutant and for which data quality 
assessments can be pooled. Each criteria pollutant sampler/monitor at a 
monitoring station in the SLAMS and SPM networks must be associated with 
one, and only one, primary quality assurance organization.
    Probe means 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 this chapter.
    Regional Administrator means the Administrator of one of the ten EPA 
Regional Offices or his or her authorized representative.
    Reporting organization means an entity, such as a State, local, or 
Tribal monitoring agency, that collects and reports air quality data to 
EPA.
    Site means a geographic location. One or more stations may be at the 
same site.
    SLAMS means State or local air monitoring stations. The SLAMS make 
up the ambient air quality monitoring sites that are primarily needed 
for NAAQS comparisons, but may serve other data purposes. SLAMS exclude 
special purpose monitor (SPM) stations and include NCore, PAMS, and all 
other State or locally operated stations that have not been designated 
as SPM stations.
    SO2 means sulfur dioxide.
    Special purpose monitor (SPM) station means a monitor included in an 
agency's monitoring network that the agency has designated as a special 
purpose monitor station in its monitoring network plan and in the Air 
Quality System, and which the agency does not count when showing 
compliance with the minimum requirements of this subpart for the number 
and siting of monitors of various types.
    State agency means the air pollution control agency primarily 
responsible for development and implementation of a plan under the Act.
    State speciation site means a supplemental PM2.5 
speciation station that is not part of the speciation trends network.
    Station means a single monitor, or a group of monitors with a shared 
objective, located at a particular site.
    STN station means a PM2.5 speciation station designated 
to be part of the speciation trends network. This network provides 
chemical species data of fine particulate.
    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.
    Urbanized area means an area with a minimum residential population 
of at least 50,000 people and which generally includes core census block 
groups or blocks that have a population density of at least 1,000 people 
per square mile and surrounding census blocks that have an overall 
density of at least 500 people per square mile. The Census Bureau notes 
that under certain conditions, less densely settled territory may be 
part of each Urbanized Area.
    VOC means volatile organic compounds.



Sec. 58.2  Purpose.

    (a) This part contains requirements for measuring ambient air 
quality and

[[Page 221]]

for reporting ambient air quality data and related 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.
    (5) Minimum ambient air quality monitoring network requirements used 
to provide support to the State implementation plans (SIP), national air 
quality assessments, and policy decisions. These minimums are described 
as part of the network design requirements, including minimum numbers 
and placement of monitors of each type.
    (6) Air quality data reporting, and requirements for the daily 
reporting of an index of ambient air quality.
    (b) The requirements pertaining to provisions for an air quality 
surveillance system in the SIP 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.



Sec. 58.3  Applicability.

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



                      Subpart B_Monitoring Network

    Source: 71 FR 61298, Oct. 17, 2006, unless otherwise noted.



Sec. 58.10  Annual monitoring network plan and periodic network assessment.

    (a)(1) Beginning July 1, 2007, the State, or where applicable local, 
agency shall adopt and submit to the Regional Administrator an annual 
monitoring network plan which shall provide for the establishment and 
maintenance of an air quality surveillance system that consists of a 
network of SLAMS monitoring stations including FRM, FEM, and ARM 
monitors that are part of SLAMS, NCore stations, STN stations, State 
speciation stations, SPM stations, and/or, in serious, severe and 
extreme ozone nonattainment areas, PAMS stations, and SPM monitoring 
stations. The plan shall include a statement of purposes for each 
monitor and evidence that siting and operation of each monitor meets the 
requirements of appendices A, C, D, and E of this part, where 
applicable. The annual monitoring network plan must be made available 
for public inspection for at least 30 days prior to submission to EPA.
    (2) Any annual monitoring network plan that proposes SLAMS network 
modifications including new monitoring sites is subject to the approval 
of the EPA Regional Administrator, who shall provide opportunity for 
public comment and shall approve or disapprove the plan and schedule 
within 120 days. If the State or local agency has already provided a 
public comment opportunity on its plan and has made no changes 
subsequent to that comment opportunity, and has submitted the received 
comments together with the plan, the Regional Administrator is not 
required to provide a separate opportunity for comment.
    (3) The plan for establishing required NCore multipollutant stations 
shall be submitted to the Administrator not later than July 1, 2009. The 
plan shall provide for all required stations to be operational by 
January 1, 2011.
    (b) The annual monitoring network plan must contain the following 
information for each existing and proposed site:
    (1) The AQS site identification number.
    (2) The location, including street address and geographical 
coordinates.
    (3) The sampling and analysis method(s) for each measured parameter.
    (4) The operating schedules for each monitor.
    (5) Any proposals to remove or move a monitoring station within a 
period of 18 months following plan submittal.

[[Page 222]]

    (6) The monitoring objective and spatial scale of representativeness 
for each monitor as defined in appendix D to this part.
    (7) The identification of any sites that are suitable and sites that 
are not suitable for comparison against the annual PM2.5 
NAAQS as described in Sec. 58.30.
    (8) The MSA, CBSA, CSA or other area represented by the monitor.
    (c) The annual monitoring network plan must document how States and 
local agencies provide for the review of changes to a PM2.5 
monitoring network that impact the location of a violating 
PM2.5 monitor or the creation/change to a community 
monitoring zone, including a description of the proposed use of spatial 
averaging for purposes of making comparisons to the annual 
PM2.5 NAAQS as set forth in appendix N to part 50 of this 
chapter. The affected State or local agency must document the process 
for obtaining public comment and include any comments received through 
the public notification process within their submitted plan.
    (d) The State, or where applicable local, agency shall perform and 
submit to the EPA Regional Administrator an assessment of the air 
quality surveillance system every 5 years to determine, at a minimum, if 
the network meets the monitoring objectives defined in appendix D to 
this part, whether new sites are needed, whether existing sites are no 
longer needed and can be terminated, and whether new technologies are 
appropriate for incorporation into the ambient air monitoring network. 
The network assessment must consider the ability of existing and 
proposed sites to support air quality characterization for areas with 
relatively high populations of susceptible individuals (e.g., children 
with asthma), and, for any sites that are being proposed for 
discontinuance, the effect on data users other than the agency itself, 
such as nearby States and Tribes or health effects studies. For 
PM2.5, the assessment also must identify needed changes to 
population-oriented sites. The State, or where applicable local, agency 
must submit a copy of this 5-year assessment, along with a revised 
annual network plan, to the Regional Administrator. The first assessment 
is due July 1, 2010.
    (e) All proposed additions and discontinuations of SLAMS monitors in 
annual monitoring network plans and periodic network assessments are 
subject to approval according to Sec. 58.14.

[71 FR 61298, Oct. 17, 2006, as amended at 72 FR 32210, June 12, 2007]



Sec. 58.11  Network technical requirements.

    (a)(1) State and local governments shall follow the applicable 
quality assurance criteria contained in appendix A to this part when 
operating the SLAMS networks.
    (2) Beginning January 1, 2009, State and local governments shall 
follow the quality assurance criteria contained in appendix A to this 
part that apply to SPM sites when operating any SPM site which uses a 
FRM, FEM, or ARM and meets the requirements of appendix E to this part, 
unless the Regional Administrator approves an alternative to the 
requirements of appendix A with respect to such SPM sites because 
meeting those requirements would be physically and/or financially 
impractical due to physical conditions at the monitoring site and the 
requirements are not essential to achieving the intended data objectives 
of the SPM site. Alternatives to the requirements of appendix A may be 
approved for an SPM site as part of the approval of the annual 
monitoring plan, or separately.
    (3) The owner or operator of an existing or a proposed source shall 
follow the quality assurance criteria in appendix A to this part that 
apply to PSD monitoring when operating a PSD site.
    (b) State and local governments must follow the criteria in appendix 
C to this part to determine acceptable monitoring methods or instruments 
for use in SLAMS networks. Appendix C criteria are optional at SPM 
stations.
    (c) State and local governments must follow the network design 
criteria contained in appendix D to this part in designing and 
maintaining the SLAMS stations. The final network design and all changes 
in design are subject to approval of the Regional Administrator. NCore, 
STN, and PAMS network design and changes are also subject to approval of 
the Administrator. Changes

[[Page 223]]

in SPM stations do not require approvals, but a change in the 
designation of a monitoring site from SLAMS to SPM requires approval of 
the Regional Administrator.
    (d) State and local governments must follow the criteria contained 
in appendix E to this part for siting monitor inlets, paths or probes at 
SLAMS stations. Appendix E adherence is optional for SPM stations.



Sec. 58.12  Operating schedules.

    State and local governments shall collect ambient air quality data 
at any SLAMS station on the following operational schedules:
    (a) For continuous analyzers, consecutive hourly averages must be 
collected except during:
    (1) Periods of routine maintenance,
    (2) Periods of instrument calibration, or
    (3) Periods or monitoring seasons exempted by the Regional 
Administrator.
    (b) For Pb manual methods, at least one 24-hour sample must be 
collected every 6 days except during periods or seasons exempted by the 
Regional Administrator.
    (c) For PAMS VOC samplers, samples must be collected as specified in 
section 5 of appendix D to this part. Area-specific PAMS operating 
schedules must be included as part of the PAMS network description and 
must be approved by the Regional Administrator.
    (d) For manual PM2.5 samplers:
    (1)(i) Manual PM2.5 samplers at required SLAMS stations 
without a collocated continuously operating PM2.5 monitor 
must operate on at least a 1-in-3 day schedule.
    (ii) For SLAMS PM2.5 sites with both manual and 
continuous PM2.5 monitors operating, the monitoring agency 
may request approval for a reduction to 1-in-6 day PM2.5 
sampling or for seasonal sampling from the EPA Regional Administrator. 
The EPA Regional Administrator may grant sampling frequency reductions 
after consideration of factors, including but not limited to the 
historical PM2.5 data quality assessments, the location of 
current PM2.5 design value sites, and their regulatory data 
needs. Required SLAMS stations whose measurements determine the design 
value for their area and that are within plus or minus 10 percent of the 
NAAQS; and all required sites where one or more 24-hour values have 
exceeded the NAAQS each year for a consecutive period of at least 3 
years are required to maintain at least a 1-in-3 day sampling frequency. 
A continuously operating FEM or ARM PM2.5 monitor satisfies 
this requirement.
    (iii) Required SLAMS stations whose measurements determine the 
design value for their area and that are within plus or minus 5 percent 
of the daily PM2.5 NAAQS must have an FRM or FEM operate on a 
daily schedule. A continuously operating FEM or ARM PM2.5 
monitor satisfies this requirement.
    (2) Manual PM2.5 samplers at NCore stations and required 
regional background and regional transport sites must operate on at 
least a 1-in-3 day sampling frequency.
    (3) Manual PM2.5 speciation samplers at STN stations must 
operate on at least a 1-in-3 day sampling frequency.
    (e) For PM10 samplers, a 24-hour sample must be taken 
from midnight to midnight (local standard time) to ensure national 
consistency. The minimum monitoring schedule for the site in the area of 
expected maximum concentration shall be based on the relative level of 
that monitoring site concentration with respect to the 24-hour standard 
as illustrated in Figure 1. If the operating agency demonstrates by 
monitoring data that during certain periods of the year conditions 
preclude violation of the PM10 24-hour standard, the 
increased sampling frequency for those periods or seasons may be 
exempted by the Regional Administrator and permitted to revert back to 
once in six days. The minimum sampling schedule for all other sites in 
the area remains once every six days. No less frequently than as part of 
each 5-year network assessment, the most recent year of data must be 
considered to estimate the air quality status at the site near the area 
of maximum concentration. Statistical models such as analysis of 
concentration frequency distributions as described in ``Guideline for 
the Interpretation of Ozone Air Quality Standards,'' EPA-450/479-003,

[[Page 224]]

U.S. Environmental Protection Agency, Research Triangle Park, NC, 
January 1979, should be used. Adjustments to the monitoring schedule 
must be made on the basis of the 5-year network assessment. The site 
having the highest concentration in the most current year must be given 
first consideration when selecting the site for the more frequent 
sampling schedule. Other factors such as major change in sources of 
PM10 emissions or in sampling site characteristics could 
influence the location of the expected maximum concentration site. Also, 
the use of the most recent 3 years of data might, in some cases, be 
justified in order to provide a more representative database from which 
to estimate current air quality status and to provide stability to the 
network. This multiyear consideration reduces the possibility of an 
anomalous year biasing a site selected for accelerated sampling. If the 
maximum concentration site based on the most current year is not 
selected for the more frequent operating schedule, documentation of the 
justification for selection of an alternative site must be submitted to 
the Regional Office for approval during the 5-year network assessment 
process. Minimum data completeness criteria, number of years of data and 
sampling frequency for judging attainment of the NAAQS are discussed in 
appendix K of part 50 of this chapter.
[GRAPHIC] [TIFF OMITTED] TR41AD07.012

    (f) For manual PM10-2.5 samplers:
    (1) Manual PM10-2.5 samplers at NCore stations must 
operate on at least a 1-in-3 day schedule at sites without a collocated 
continuously operating federal equivalent PM10-2.5 method 
that has been designated in accordance with part 53 of this chapter.
    (2) Manual PM10-2.5 speciation samplers at NCore stations 
must operate on at least a 1-in-3 day sampling frequency.

[71 FR 61298, Oct. 17, 2006, as amended at 72 FR 32210, June 12, 2007]



Sec. 58.13  Monitoring network completion.

    (a) The network of NCore multipollutant sites must be physically 
established no later than January 1, 2011, and at that time, operating 
under all of the requirements of this part, including the requirements 
of appendices A, C, D, E, and G to this part.
    (b) Where existing networks are not in conformance with required 
numbers of monitors specified in this part, additional required monitors 
must be operated by January 1, 2008.

[[Page 225]]



Sec. 58.14  System modification.

    (a) The State, or where appropriate local, agency shall develop and 
implement a plan and schedule to modify the ambient air quality 
monitoring network that complies with the findings of the network 
assessments required every 5 years by Sec. 58.10(e). The State or local 
agency shall consult with the EPA Regional Administrator during the 
development of the schedule to modify the monitoring program, and shall 
make the plan and schedule available to the public for 30 days prior to 
submission to the EPA Regional Administrator. The final plan and 
schedule with respect to the SLAMS network are subject to the approval 
of the EPA Regional Administrator. Plans containing modifications to 
NCore Stations or PAMS Stations shall be submitted to the Administrator. 
The Regional Administrator shall provide opportunity for public comment 
and shall approve or disapprove submitted plans and schedules within 120 
days.
    (b) Nothing in this section shall preclude the State, or where 
appropriate local, agency from making modifications to the SLAMS network 
for reasons other than those resulting from the periodic network 
assessments. These modifications must be reviewed and approved by the 
Regional Administrator. Each monitoring network may make or be required 
to make changes between the 5-year assessment periods, including for 
example, site relocations or the addition of PAMS networks in bumped-up 
ozone nonattainment areas. These modifications must address changes 
invoked by a new census and changes due to changing air quality levels. 
The State, or where appropriate local, agency shall provide written 
communication describing the network changes to the Regional 
Administrator for review and approval as these changes are identified.
    (c) State, or where appropriate, local agency requests for SLAMS 
monitor station discontinuation, subject to the review of the Regional 
Administrator, will be approved if any of the following criteria are met 
and if the requirements of appendix D to this part, if any, continue to 
be met. Other requests for discontinuation may also be approved on a 
case-by-case basis if discontinuance does not compromise data collection 
needed for implementation of a NAAQS and if the requirements of appendix 
D to this part, if any, continue to be met.
    (1) Any PM2.5, O3, CO, PM10, 
SO2, Pb, or NO2 SLAMS monitor which has shown 
attainment during the previous five years, that has a probability of 
less than 10 percent of exceeding 80 percent of the applicable NAAQS 
during the next three years based on the levels, trends, and variability 
observed in the past, and which is not specifically required by an 
attainment plan or maintenance plan. In a nonattainment or maintenance 
area, if the most recent attainment or maintenance plan adopted by the 
State and approved by EPA contains a contingency measure to be triggered 
by an air quality concentration and the monitor to be discontinued is 
the only SLAMS monitor operating in the nonattainment or maintenance 
area, the monitor may not be discontinued.
    (2) Any SLAMS monitor for CO, PM10, SO2, or 
NO2 which has consistently measured lower concentrations than 
another monitor for the same pollutant in the same county (or portion of 
a county within a distinct attainment area, nonattainment area, or 
maintenance area, as applicable) during the previous five years, and 
which is not specifically required by an attainment plan or maintenance 
plan, if control measures scheduled to be implemented or discontinued 
during the next five years would apply to the areas around both monitors 
and have similar effects on measured concentrations, such that the 
retained monitor would remain the higher reading of the two monitors 
being compared.
    (3) For any pollutant, any SLAMS monitor in a county (or portion of 
a county within a distinct attainment, nonattainment, or maintenance 
area, as applicable) provided the monitor has not measured violations of 
the applicable NAAQS in the previous five years, and the approved SIP 
provides for a specific, reproducible approach to representing the air 
quality of the affected county in the absence of actual monitoring data.

[[Page 226]]

    (4) A PM2.5 SLAMS monitor which EPA has determined cannot 
be compared to the relevant NAAQS because of the siting of the monitor, 
in accordance with Sec. 58.30.
    (5) A SLAMS monitor that is designed to measure concentrations 
upwind of an urban area for purposes of characterizing transport into 
the area and that has not recorded violations of the relevant NAAQS in 
the previous five years, if discontinuation of the monitor is tied to 
start-up of another station also characterizing transport.
    (6) A SLAMS monitor not eligible for removal under any of the 
criteria in paragraphs (c)(1) through (c)(5) of this section may be 
moved to a nearby location with the same scale of representation if 
logistical problems beyond the State's control make it impossible to 
continue operation at its current site.



Sec. 58.15  Annual air monitoring data certification.

    (a) The State, or where appropriate local, agency shall submit to 
the EPA Regional Administrator an annual air monitoring data 
certification letter to certify data collected at all SLAMS and at all 
FRM, FEM, and ARM SPM stations that meet criteria in appendix A to this 
part from January 1 to December 31 of the previous year. The senior air 
pollution control officer in each agency, or his or her designee, shall 
certify that the previous year of ambient concentration and quality 
assurance data are completely submitted to AQS and that the ambient 
concentration data are accurate to the best of her or his knowledge, 
taking into consideration the quality assurance findings.
    (1) Through 2009, the annual data certification letter is due by 
July 1 of each year.
    (2) Beginning in 2010, the annual data certification letter is due 
by May 1 of each year.
    (b) Along with each certification letter, the State shall submit to 
the Administrator (through the appropriate Regional Office) an annual 
summary report of all the ambient air quality data collected at all 
SLAMS and at SPM stations using FRM, FEM, or ARMs. The annual report(s) 
shall be submitted for data collected from January 1 to December 31 of 
the previous year. The annual summary report(s) must contain all 
information and data required by the State's approved plan and must be 
submitted on the same schedule as the certification letter, unless an 
approved alternative date is included in the plan. The annual summary 
serves as the record of the specific data that is the object of the 
certification letter.
    (c) Along with each certification letter, the State shall submit to 
the Administrator (through the appropriate Regional Office) a summary of 
the precision and accuracy data for all ambient air quality data 
collected at all SLAMS and at SPM stations using FRM, FEM, or ARMs. The 
summary of precision and accuracy shall be submitted for data collected 
from January 1 to December 31 of the previous year. The summary of 
precision and accuracy must be submitted on the same schedule as the 
certification letter, unless an approved alternative date is included in 
the plan.



Sec. 58.16  Data submittal and archiving requirements.

    (a) The State, or where appropriate, local agency, shall report to 
the Administrator, via AQS all ambient air quality data and associated 
quality assurance data for SO2; CO; O3; 
NO2; NO; NOY; NOX; Pb; PM10 
mass concentration; PM2.5 mass concentration; for filter-
based PM2.5 FRM/FEM the field blank mass, sampler-generated 
average daily temperature, and sampler-generated average daily pressure; 
chemically speciated PM2.5 mass concentration data; 
PM10-2.5 mass concentration; chemically speciated 
PM10-2.5 mass concentration data; meteorological data from 
NCore and PAMS sites; and metadata records and information specified by 
the AQS Data Coding Manual (http://www.epa.gov/ttn/airs/airsaqs/manuals/
manuals.htm). Such air quality data and information must be submitted 
directly to the AQS via electronic transmission on the specified 
quarterly schedule described in paragraph (b) of this section.
    (b) The specific quarterly reporting periods are January 1-March 31, 
April

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1-June 30, July 1-September 30, and October 1-December 31. The data and 
information reported for each reporting period must contain all data and 
information gathered during the reporting period, and be received in the 
AQS within 90 days after the end of the quarterly reporting period. For 
example, the data for the reporting period January 1-March 31 are due on 
or before June 30 of that year.
    (c) Air quality data submitted for each reporting period must be 
edited, validated, and entered into the AQS (within the time limits 
specified in paragraph (b) of this section) pursuant to appropriate AQS 
procedures. The procedures for editing and validating data are described 
in the AQS Data Coding Manual and in each monitoring agency's quality 
assurance project plan.
    (d) The State shall report VOC and if collected, carbonyl, 
NH3, and HNO3 data, from PAMS sites to AQS within 
6 months following the end of each quarterly reporting period listed in 
paragraph (b) of this section.
    (e) The State shall also submit any portion or all of the SLAMS and 
SPM data to the appropriate Regional Administrator upon request.
    (f) The State, or where applicable, local agency shall archive all 
PM2.5, PM10, and PM10-2.5 filters from 
manual low-volume samplers (samplers having flow rates less than 200 
liters/minute) from all SLAMS sites for a minimum period of 1 year after 
collection. These filters shall be made available during the course of 
that year for supplemental analyses at the request of EPA or to provide 
information to State and local agencies on particulate matter 
composition. Other Federal agencies may request access to filters for 
purposes of supporting air quality management or community health--such 
as biological assay--through the applicable EPA Regional Administrator. 
The filters shall be archived according to procedures approved by the 
Administrator. The EPA recommends that particulate matter filters be 
archived for longer periods, especially for key sites in making NAAQS 
related decisions or for supporting health-related air pollution 
studies.



                   Subpart C_Special Purpose Monitors

    Source: 71 FR 61302, Oct. 17, 2006, unless otherwise noted.



Sec. 58.20  Special purpose monitors (SPM).

    (a) An SPM is defined as any monitor included in an agency's 
monitoring network that the agency has designated as a special purpose 
monitor in its annual monitoring network plan and in AQS, and which the 
agency does not count when showing compliance with the minimum 
requirements of this subpart for the number and siting of monitors of 
various types. Any SPM operated by an air monitoring agency must be 
included in the periodic assessments and annual monitoring network plan 
required by Sec. 58.10. The plan shall include a statement of purposes 
for each SPM monitor and evidence that operation of each monitor meets 
the requirements of appendix A or an approved alternative as provided by 
Sec. 58.11(a)(2) where applicable. The monitoring agency may designate 
a monitor as an SPM after January 1, 2007 only if it is a new monitor, 
i.e., a SLAMS monitor that is not included in the currently applicable 
monitoring plan or, for a monitor included in the monitoring plan prior 
to January 1, 2007, if the Regional Administrator has approved the 
discontinuation of the monitor as a SLAMS site.
    (b) Any SPM data collected by an air monitoring agency using a 
Federal reference method (FRM), Federal equivalent method (FEM), or 
approved regional method (ARM) must meet the requirements of Sec. 
58.11, Sec. 58.12, and appendix A to this part or an approved 
alternative to appendix A to this part. Compliance with appendix E to 
this part is optional but encouraged except when the monitoring agency's 
data objectives are inconsistent with those requirements. Data collected 
at an SPM using a FRM, FEM, or ARM meeting the requirements of appendix 
A must be submitted to AQS according to the requirements of Sec. 58.16. 
Data collected by other SPMs may be submitted. The monitoring agency 
must also submit to AQS an indication of whether each SPM reporting data 
to AQS monitor

[[Page 228]]

meets the requirements of appendices A and E to this part.
    (c) All data from an SPM using an FRM, FEM, or ARM which has 
operated for more than 24 months is eligible for comparison to the 
relevant NAAQS, subject to the conditions of Sec. 58.30, unless the air 
monitoring agency demonstrates that the data came from a particular 
period during which the requirements of appendix A, appendix C, or 
appendix E to this part were not met in practice.
    (d) If an SPM using an FRM, FEM, or ARM is discontinued within 24 
months of start-up, the Administrator will not base a NAAQS violation 
determination for the PM2.5 or ozone NAAQS solely on data 
from the SPM.
    (e) If an SPM using an FRM, FEM, or ARM is discontinued within 24 
months of start-up, the Administrator will not designate an area as 
nonattainment for the CO, SO2, NO2, Pb, or 24-hour 
PM10 NAAQS solely on the basis of data from the SPM. Such 
data are eligible for use in determinations of whether a nonattainment 
area has attained one of these NAAQS.
    (f) Prior approval from EPA is not required for discontinuance of an 
SPM.

[71 FR 61298, Oct. 17, 2006, as amended at 72 FR 32210, June 12, 2007]



            Subpart D_National Air Monitoring Stations (NAMS)

    Source: 71 FR 61302, Oct. 17, 2006, unless otherwise noted.



Sec. 58.30  Special considerations for data comparisons to the NAAQS.

    (a) Comparability of PM2.5 data. (1) There are two forms of the 
PM2.5 NAAQS described in part 50 of this chapter. The 
PM2.5 monitoring site characteristics (see appendix D to this 
part, section 4.7.1) impact how the resulting PM2.5 data can 
be compared to the annual PM2.5 NAAQS form. PM2.5 
data that are representative, not of areawide 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 to the 24-hour PM2.5 NAAQS. For example, if the 
PM2.5 monitoring site is adjacent to a unique dominating 
local PM2.5 source or can be shown to have average 24-hour 
concentrations representative of a smaller than neighborhood spatial 
scale, then data from a monitor at the site would only be eligible for 
comparison to the 24-hour PM2.5 NAAQS.
    (2) There are cases where certain population-oriented microscale or 
middle scale PM2.5 monitoring sites are determined by the 
Regional Administrator to collectively identify a larger region of 
localized high ambient PM2.5 concentrations. In those cases, 
data from these population-oriented sites would be eligible for 
comparison to the annual PM2.5 NAAQS.
    (b) [Reserved]

Subpart E [Reserved]



                  Subpart F_Air Quality Index Reporting



Sec. 58.50  Index reporting.

    (a) The State or where applicable, local agency shall report to the 
general public on a daily basis through prominent notice an air quality 
index that complies with the requirements of appendix G to this part.
    (b) Reporting is required for all individual MSA with a population 
exceeding 350,000.
    (c) The population of a MSA for purposes of index reporting is the 
most recent decennial U.S. census population.

[71 FR 61302, Oct. 17, 2006]



                      Subpart G_Federal Monitoring

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



Sec. 58.60  Federal monitoring.

    The Administrator may locate and operate an ambient air monitoring 
site if the State or local agency fails to locate, or schedule to be 
located, during the initial network design process, or as a result of 
the 5-year network assessments required in Sec. 58.10, a SLAMS station 
at a site which is necessary in

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the judgment of the Regional Administrator to meet the objectives 
defined in appendix D to this part.

[71 FR 61303, Oct. 17, 2006]



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 an NAAQS 
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.

[71 FR 61303, Oct. 17, 2006]



Sec. Appendix A to Part 58--Quality Assurance Requirements for SLAMS, 
                       SPMs and PSD Air Monitoring

1. General Information
2. Quality System Requirements
3. Measurement Quality Check Requirements
4. Calculations for Data Quality Assessments
5. Reporting Requirements
6. References

                         1. General Information

    This appendix specifies the minimum quality system requirements 
applicable to SLAMS air monitoring data and PSD data for the pollutants 
SO2, NO2, O3, CO, PM2.5, 
PM10 and PM10-2.5 submitted to EPA. This appendix 
also applies to all SPM stations using FRM, FEM, or ARM methods which 
also meet the requirements of Appendix E of this part. Monitoring 
organizations are encouraged to develop and maintain quality systems 
more extensive than the required minimums. The permit-granting authority 
for PSD may require more frequent or more stringent requirements. 
Monitoring organizations may, based on their quality objectives, develop 
and maintain quality systems beyond the required minimum. Additional 
guidance for the requirements reflected in this appendix can be found in 
the ``Quality Assurance Handbook for Air Pollution Measurement 
Systems'', volume II, part 1 (see reference 10 of this appendix) and at 
a national level in references 1, 2, and 3 of this appendix.
    1.1 Similarities and Differences Between SLAMS and PSD Monitoring. 
In most cases, the quality assurance requirements for SLAMS, SPMs if 
applicable, and PSD are the same. Affected SPMs are subject to all the 
SLAMS requirements, even where not specifically stated in each section. 
Table A-1 of this appendix summarizes the major similarities and 
differences of the requirements for SLAMS and PSD. Both programs 
require:
    (a) The development, documentation, and implementation of an 
approved quality system;
    (b) The assessment of data quality;
    (c) The use of reference, equivalent, or approved methods. The 
requirements of this appendix do not apply to a SPM that does not use a 
FRM, FEM, or ARM;
    (d) The use of calibration standards traceable to NIST or other 
primary standard;
    (e) Performance evaluations and systems.
    1.1.1 The monitoring and quality assurance responsibilities for 
SLAMS are with the State or local agency, hereafter called the 
monitoring organization, whereas for PSD they are with the owner/
operator seeking the permit. The monitoring duration for SLAMS is 
indefinite, whereas for PSD the duration is usually 12 months. Whereas 
the reporting period for precision and accuracy data is on an annual or 
calendar quarter basis for SLAMS, it is on a continuing sampler quarter 
basis for PSD, since the monitoring may not commence at the beginning of 
a calendar quarter.
    1.1.2 The annual performance evaluations (described in section 3.2.2 
of this appendix) for PSD must be conducted by personnel different from 
those who perform routine span checks and calibrations, whereas for 
SLAMS, it is the preferred but not the required condition. For PSD, the 
evaluation rate is 100 percent of the sites per reporting quarter 
whereas for SLAMS it is 25 percent of the sites or instruments 
quarterly. Monitoring for sulfur dioxide (SO2) and nitrogen 
dioxide (NO2) for PSD must be done with automated analyzers--
the manual bubbler methods are not permitted.
    1.1.3 The requirements for precision assessment for the automated 
methods are the same for both SLAMS and PSD. However, for manual 
methods, only one collocated site is required for PSD.
    1.1.4 The precision, accuracy and bias data for PSD are reported 
separately for each sampler (site), whereas for SLAMS, the report may be 
by sampler (site), by primary quality assurance organization, or 
nationally, depending on the pollutant. SLAMS data are required to be 
reported to the AQS, PSD data are required to be reported to the permit-
granting authority. Requirements in this appendix, with the exception of 
the differences discussed in this section, and in Table A-1 of this 
appendix will be expected to be followed by both SLAMS and PSD networks 
unless directly specified in a particular section.
    1.2 Measurement Uncertainty. Measurement uncertainty is a term used 
to describe deviations from a true concentration or estimate that are 
related to the measurement process and not to spatial or temporal 
population attributes of the air being measured.

[[Page 230]]

Monitoring organizations must develop quality assurance project plans 
(QAPP) which describe how the organization intends to control 
measurement uncertainty to an appropriate level in order to achieve the 
objectives for which the data are collected. The process by which one 
determines the quality of data needed to meet the monitoring objective 
is sometimes referred to the Data Quality Objectives Process. Data 
quality indicators associated with measurement uncertainty include:
    (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) Bias. The systematic or persistent distortion of a measurement 
process which causes errors in one direction.
    (c) Accuracy. The degree of agreement between an observed value and 
an accepted reference value. Accuracy includes a combination of random 
error (imprecision) and systematic error (bias) components which are due 
to sampling and analytical operations.
    (d) Completeness. A measure of the amount of valid data obtained 
from a measurement system compared to the amount that was expected to be 
obtained under correct, normal conditions.
    (e) Detectability. The low critical range value of a characteristic 
that a method specific procedure can reliably discern.
    1.3 Measurement Quality Checks. The SLAMS measurement quality checks 
described in sections 3.2 and 3.3 of this appendix shall be reported to 
AQS and are included in the data required for certification. The PSD 
network is required to implement the measurement quality checks and 
submit this information quarterly along with assessment information to 
the permit-granting authority.
    1.4 Assessments and Reports. Periodic assessments and documentation 
of data quality are required to be reported to EPA or to the permit 
granting authority (PSD). To provide national uniformity in this 
assessment and reporting of data quality for all networks, specific 
assessment 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 quality assurance and quality control activities used by a 
monitoring organization depend on a number of local factors such as 
field and laboratory conditions, the objectives for monitoring, the 
level of data quality needed, the expertise of assigned personnel, the 
cost of control procedures, pollutant concentration levels, etc. 
Therefore, quality system requirements in section 2 of this appendix are 
specified in general terms to allow each monitoring organization to 
develop a quality system that is most efficient and effective for its 
own circumstances while achieving the data quality objectives required 
for the SLAMS sites.

                     2. Quality System Requirements

    A quality system is the means by which an organization manages the 
quality of the monitoring information it produces in a systematic, 
organized manner. It provides a framework for planning, implementing, 
assessing and reporting work performed by an organization and for 
carrying out required quality assurance and quality control activities.
    2.1 Quality Management Plans and Quality Assurance Project Plans. 
All monitoring organizations must develop a quality system that is 
described and approved in quality management plans (QMP) and quality 
assurance project plans (QAPP) to ensure that the monitoring results:
    (a) Meet a well-defined need, use, or purpose;
    (b) Provide data of adequate quality for the intended monitoring 
objectives;
    (c) Satisfy stakeholder expectations;
    (d) Comply with applicable standards specifications;
    (e) Comply with statutory (and other) requirements of society; and
    (f) Reflect consideration of cost and economics.
    2.1.1 The QMP describes the quality system in terms of the 
organizational structure, functional responsibilities of management and 
staff, lines of authority, and required interfaces for those planning, 
implementing, assessing and reporting activities involving environmental 
data operations (EDO). The QMP must be suitably documented in accordance 
with EPA requirements (reference 2 of this appendix), and approved by 
the appropriate Regional Administrator, or his or her representative. 
The quality system will be reviewed during the systems audits described 
in section 2.5 of this appendix. Organizations that implement long-term 
monitoring programs with EPA funds should have a separate QMP document. 
Smaller organizations or organizations that do infrequent work with EPA 
funds may combine the QMP with the QAPP based on negotiations with the 
funding agency. Additional guidance on this process can be found in 
reference 10 of this appendix. Approval of the recipient's QMP by the 
appropriate Regional Administrator or his or her representative, may 
allow delegation of the authority to review and approve the QAPP to the 
recipient, based on adequacy of quality assurance procedures described 
and documented in the QMP. The QAPP will be reviewed by EPA during 
systems audits or circumstances related to data quality.
    2.1.2 The QAPP is a formal document describing, in sufficient 
detail, the quality system that must be implemented to ensure

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that the results of work performed will satisfy the stated objectives. 
The quality assurance policy of the EPA requires every environmental 
data operation (EDO) to have a written and approved QAPP prior to the 
start of the EDO. It is the responsibility of the monitoring 
organization to adhere to this policy. The QAPP must be suitably 
documented in accordance with EPA requirements (reference 3 of this 
appendix).
    2.1.3 The monitoring organization's quality system must have 
adequate resources both in personnel and funding to plan, implement, 
assess and report on the achievement of the requirements of this 
appendix and its approved QAPP.
    2.2 Independence of Quality Assurance. The monitoring organization 
must provide for a quality assurance management function- that aspect of 
the overall management system of the organization that determines and 
implements the quality policy defined in a monitoring organization's 
QMP. Quality management includes strategic planning, allocation of 
resources and other systematic planning activities (e.g., planning, 
implementation, assessing and reporting) pertaining to the quality 
system. The quality assurance management function must have sufficient 
technical expertise and management authority to conduct independent 
oversight and assure the implementation of the organization's quality 
system relative to the ambient air quality monitoring program and should 
be organizationally independent of environmental data generation 
activities.
    2.3. Data Quality Performance Requirements.
    2.3.1 Data Quality Objectives. Data quality objectives (DQO) or the 
results of other systematic planning processes are statements that 
define the appropriate type of data to collect and specify the tolerable 
levels of potential decision errors that will be used as a basis for 
establishing the quality and quantity of data needed to support the 
objectives of the SLAMS stations. DQO will be developed by EPA to 
support the primary SLAMS objectives for each criteria pollutant. As 
they are developed they will be added to the regulation. DQO or the 
results of other systematic planning processes for PSD or other 
monitoring will be the responsibility of the monitoring organizations. 
The quality of the conclusions made from data interpretation can be 
affected by population uncertainty (spatial or temporal uncertainty) and 
measurement uncertainty (uncertainty associated with collecting, 
analyzing, reducing and reporting concentration data). This appendix 
focuses on assessing and controlling measurement uncertainty.
    2.3.1.1 Measurement Uncertainty for Automated and Manual 
PM2.5 Methods. The goal for acceptable measurement 
uncertainty is defined as 10 percent coefficient of variation (CV) for 
total precision and plus or minus 10 percent for total bias.
    2.3.1.2 Measurement Uncertainty for Automated Ozone Methods. The 
goal for acceptable measurement uncertainty is defined for precision as 
an upper 90 percent confidence limit for the coefficient variation (CV) 
of 7 percent and for bias as an upper 95 percent confidence limit for 
the absolute bias of 7 percent.
    2.3.1.3 Measurement Uncertainty for PM10-2.5 Methods. The 
goal for acceptable measurement uncertainty is defined for precision as 
an upper 90 percent confidence limit for the coefficient variation (CV) 
of 15 percent and for bias as an upper 95 percent confidence limit for 
the absolute bias of 15 percent.
    2.4 National Performance Evaluation Programs. Monitoring plans or 
the QAPP shall provide for the implementation of a program of 
independent and adequate audits of all monitors providing data for SLAMS 
and PSD including the provision of adequate resources for such audit 
programs. A monitoring plan (or QAPP) which provides for monitoring 
organization participation in EPA's National Performance Audit Program 
(NPAP) and the PM Performance Evaluation Program (PEP) program and which 
indicates the consent of the monitoring organization for EPA to apply an 
appropriate portion of the grant funds, which EPA would otherwise award 
to the monitoring organization for monitoring activities, will be deemed 
by EPA to meet this requirement. For clarification and to participate, 
monitoring organizations should contact either the appropriate EPA 
Regional Quality Assurance (QA) Coordinator at the appropriate EPA 
Regional Office location, or the NPAP Coordinator at the Air Quality 
Assessment Division, Office of Air Quality Planning and Standards, U.S. 
Environmental Protection Agency in Research Triangle Park, North 
Carolina.
    2.5 Technical Systems Audit Program. Technical systems audits of 
each ambient air monitoring organization shall be conducted at least 
every 3 years by the appropriate EPA Regional Office and reported to the 
AQS. Systems audit programs are described in reference 10 of this 
appendix. For further instructions, monitoring organizations should 
contact the appropriate EPA Regional QA Coordinator.
    2.6 Gaseous and Flow Rate Audit Standards.
    2.6.1 Gaseous pollutant concentration standards (permeation devices 
or cylinders of compressed gas) used to obtain test concentrations for 
carbon monoxide (CO), sulfur dioxide (SO2), nitrogen oxide 
(NO), and nitrogen dioxide (NO2) must be traceable to either 
a National Institute of Standards and Technology (NIST) Traceable 
Reference Material (NTRM) or a NIST-certified Gas Manufacturer's 
Internal Standard (GMIS), certified in

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accordance with one of the procedures given in reference 4 of this 
appendix. Vendors advertising certification with the procedures provided 
in reference 4 of this appendix and distributing gasses as ``EPA 
Protocol Gas'' must participate in the EPA Protocol Gas Verification 
Program or not use ``EPA'' in any form of advertising.
    2.6.2 Test concentrations for ozone (O3) must be obtained 
in accordance with the ultra violet photometric calibration procedure 
specified in appendix D to part 50 of this chapter, or by means of a 
certified O3 transfer standard. Consult references 7 and 8 of 
this appendix for guidance on primary and transfer standards for 
O3.
    2.6.3 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 10 of this appendix.
    2.7 Primary Requirements and Guidance. Requirements and guidance 
documents for developing the quality system are contained in references 
1 through 10 of this appendix, which also contain many suggested 
procedures, checks, and control specifications. Reference 10 of this 
appendix describes specific guidance for the development of a quality 
system 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 6 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.

                3. Measurement Quality Check Requirements

    This section provides the requirements for primary quality assurance 
organizations (PQAOs) to perform the measurement quality checks that can 
be used to assess data quality. With the exception of the flow rate 
verifications (sections 3.2.3 and 3.3.2 of this appendix), data from 
these checks are required to be submitted to the AQS within the same 
time frame as routine ambient concentration data. Section 3.2 of this 
appendix describes checks of automated or continuous instruments while 
section 3.3 describe checks associated with manual sampling instruments. 
Other quality control samples are identified in the various references 
described earlier and can be used to control certain aspects of the 
measurement system.
    3.1 Primary Quality Assurance Organization. A primary quality 
assurance organization is defined as a monitoring organization or a 
coordinated aggregation of such organizations that is responsible for a 
set of stations that monitors the same pollutant and for which data 
quality assessments can logically be pooled. Each criteria pollutant 
sampler/monitor at a monitoring station in the SLAMS network must be 
associated with one, and only one, primary quality assurance 
organization.
    3.1.1 Each primary quality assurance 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. Common factors that should be considered by monitoring 
organizations in defining primary quality assurance organizations 
include:
    (a) Operation by a common team of field operators according to a 
common set of procedures;
    (b) Use of a common QAPP or standard operating procedures;
    (c) Common calibration facilities and standards;
    (d) Oversight by a common quality assurance organization; and
    (e) Support by a common management, laboratory or headquarters.
    3.1.2 Primary quality assurance organizations are not necessarily 
related to the organization reporting data to the AQS. Monitoring 
organizations having difficulty in defining the primary quality 
assurance organizations or in assigning specific sites to primary 
quality assurance organizations should consult with the appropriate EPA 
Regional Office. All definitions of primary quality assurance 
organizations shall be subject to final approval by the appropriate EPA 
Regional Office during scheduled network reviews or systems audits.
    3.1.3 Data quality assessment results shall be reported as specified 
in section 5 of this appendix.
    3.2 Measurement Quality Checks of Automated Methods. Table A-2 of 
this appendix provides a summary of the types and frequency of the 
measurement quality checks that will be described in this section.
    3.2.1 One-Point Quality Control Check for SO2, 
NO2, O3, and CO. A one-point quality control (QC) 
check must be performed at least once every 2 weeks on each automated 
analyzer used to measure SO2, NO2, O3 
and CO. The frequency of QC checks may be reduced based upon review, 
assessment and approval of the EPA Regional Administrator. However, with 
the advent of automated calibration systems more frequent checking is 
encouraged. See Reference 10 of this appendix for guidance on the review 
procedure. The QC check is made by challenging the analyzer with a QC 
check gas of known concentration (effective concentration for open path 
analyzers) between 0.01 and 0.10 parts per million (ppm) for 
SO2, NO2, and O3, and between 1 and 10 
ppm for CO analyzers. The

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ranges allow for appropriate check gas selection for SLAMS sites that 
may be sampling for different objectives, i.e., trace gas monitoring vs. 
comparison to National Ambient Air Quality Standards (NAAQS). The QC 
check gas concentration selected should be related to the routine 
concentrations normally measured at sites within the monitoring network 
in order to appropriately reflect the precision and bias at these 
routine concentration ranges. To check the precision and bias of SLAMS 
analyzers operating at ranges either above or below the levels 
identified, use check gases of appropriate concentrations as approved by 
the appropriate EPA Regional Administrator or their designee. The 
standards from which check concentrations are obtained must meet the 
specifications of section 2.6 of this appendix.
    3.2.1.1 Except for certain CO analyzers described below, point 
analyzers must operate in their normal sampling mode during the QC 
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 QC 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 QC check is made in conjunction with a zero or 
span adjustment, it must be made prior to such zero or span adjustments.
    3.2.1.2 Open path analyzers are tested by inserting a test cell 
containing a QC 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 QC check gas in the 
test cell must be selected to produce an effective concentration in the 
range specified earlier in this section. Generally, the QC test 
concentration measurement will be the sum of the atmospheric pollutant 
concentration and the QC 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 QC test from the QC 
check gas 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.
    3.2.1.3 Report the audit concentration (effective concentration for 
open path analyzers) of the QC gas and the corresponding measured 
concentration (corrected concentration, if applicable, for open path 
analyzers) indicated by the analyzer. The percent differences between 
these concentrations are used to assess the precision and bias of the 
monitoring data as described in sections 4.1.2 (precision) and 4.1.3 
(bias) of this appendix.
    3.2.2 Annual performance evaluation for SO2, 
NO2, O3, or CO. Each calendar quarter (during 
which analyzers are operated), evaluate at least 25 percent of the SLAMS 
analyzers that monitor for SO2, NO2, 
O3, or CO such that each analyzer is evaluated at least once 
per year. If there are fewer than four analyzers for a pollutant within 
a primary quality assurance organization, it is suggested to randomly 
evaluate one or more analyzers so that at least one analyzer for that 
pollutant is evaluated each calendar quarter. The evaluation should be 
conducted by a trained experienced technician other than the routine 
site operator.
    3.2.2.1 (a) The evaluation is made by challenging the analyzer with 
audit gas standard of known concentration (effective concentration for 
open path analyzers) from at least three consecutive audit levels. The 
audit levels selected should represent or bracket 80 percent of ambient 
concentrations measured by the analyzer being evaluated:

----------------------------------------------------------------------------------------------------------------
                                                               Concentration range, ppm
             Audit level             ---------------------------------------------------------------------------
                                              O3                SO2                NO2                 CO
----------------------------------------------------------------------------------------------------------------
1...................................          0.02-0.05       0.0003-0.005       0.0002-0.002          0.08-0.10
2...................................          0.06-0.10         0.006-0.01        0.003-0.005          0.50-1.00
3...................................          0.11-0.20          0.02-0.10         0.006-0.10          1.50-4.00
4...................................          0.21-0.30          0.11-0.40          0.11-0.30               5-15
5...................................          0.31-0.90          0.41-0.90          0.31-0.60              20-50
----------------------------------------------------------------------------------------------------------------


[[Page 234]]

    (b) An additional 4th level is encouraged for those monitors that 
have the potential for exceeding the concentration ranges described by 
the initial three selected.
    3.2.2.2 (a) NO2 audit gas for chemiluminescence-type 
NO2 analyzers must also contain at least 0.08 ppm NO. NO 
concentrations substantially higher than 0.08 ppm, as may occur when 
using some gas phase titration (GPT) techniques, may lead to evaluation 
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.
    (b) To evaluate SLAMS analyzers operating on ranges higher than 0 to 
1.0 ppm for SO2, NO2, and O3 or 0 to 50 
ppm for CO, use audit gases of appropriately higher concentration as 
approved by the appropriate EPA Regional Administrator or the 
Administrator's designee.
    3.2.2.3 The standards from which audit gas test concentrations are 
obtained must meet the specifications of section 2.6 of this appendix. 
The gas standards and equipment used for evaluations must not be the 
same as the standards and equipment used for calibration or calibration 
span adjustments. For SLAMS sites, the auditor should not be the 
operator or analyst who conducts the routine monitoring, calibration, 
and analysis. For PSD sites the auditor must not be the operator or 
analyst who conducts the routine monitoring, calibration, and analysis.
    3.2.2.4 For point analyzers, the evaluation shall be carried out by 
allowing the analyzer to analyze the audit gas 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 3.2.1 of 
this appendix for certain CO analyzers does not apply for evaluations.
    3.2.2.5 Open path analyzers are evaluated 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 evaluation, and the normal monitoring configuration of 
the instrument should be modified as little as possible to accommodate 
the test cell for the evaluation. 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 evaluation level ranges specified in this section 
of this appendix. Generally, each evaluation concentration measurement 
result will be the sum of the atmospheric pollutant concentration and 
the evaluation 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 evaluation test (or 
preferably before and after each evaluation concentration level) from 
the evaluation 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 evaluated during periods when 
the atmospheric pollutant concentrations are relatively low and steady. 
Also, if the open path instrument is not installed in a permanent 
manner, the monitoring path length must be reverified to within plus or 
minus 3 percent to validate the evaluation, since the monitoring path 
length is critical to the determination of the effective concentration.
    3.2.2.6 Report both the evaluation concentrations (effective 
concentrations for open path analyzers) of the audit gases and the 
corresponding measured concentration (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 quality of the monitoring data as 
described in section 4.1.4 of this appendix.
    3.2.3 Flow Rate Verification for Particulate Matter. A one-point 
flow rate verification check must be performed at least once every month 
on each automated analyzer used to measure PM10, 
PM10-2.5 and PM2.5. The verification is made by 
checking the operational flow rate of the analyzer. If the verification 
is made in conjunction with a flow rate adjustment, it must be made 
prior to such flow rate adjustment. Randomization of the flow rate 
verification with respect to time of day, day of week, and routine 
service and adjustments is encouraged where possible. For the standard 
procedure, use a flow rate transfer standard certified in accordance 
with section 2.6 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 flow rate of

[[Page 235]]

the transfer standard and the corresponding flow rate measured 
(indicated) by the analyzer. The percent differences between the audit 
and measured flow rates are used to assess the bias of the monitoring 
data as described in section 4.2.2 of this appendix (using flow rates in 
lieu of concentrations).
    3.2.4 Semi-Annual Flow Rate Audit for Particulate Matter. Every 6 
months, audit the flow rate of the PM10, PM10-2.5 
and PM2.5 particulate analyzers. Where possible, EPA strongly 
encourages more frequent auditing. The audit should (preferably) be 
conducted by a trained experienced technician other than the routine 
site operator. The audit is made by measuring the analyzer's normal 
operating flow rate using a flow rate transfer standard certified in 
accordance with section 2.6 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 flow rate of the 
transfer standard and the corresponding flow rate measured (indicated) 
by the analyzer. The percent differences between these flow rates are 
used to validate the one-point flow rate verification checks used to 
estimate bias as described in section 4.2.3 of this appendix.
    3.2.5 Collocated Sampling Procedures for PM2.5. For each 
pair of collocated monitors, designate one sampler as the primary 
monitor whose concentrations will be used to report air quality for the 
site, and designate the other as the audit monitor.
    3.2.5.1 Each EPA designated Federal reference method (FRM) or 
Federal equivalent method (FEM) within a primary quality assurance 
organization must:
    (a) Have 15 percent of the monitors collocated (values of 0.5 and 
greater round up); and
    (b) Have at least 1 collocated monitor (if the total number of 
monitors is less than 3). The first collocated monitor must be a 
designated FRM monitor.
    3.2.5.2 In addition, monitors selected for collocation must also 
meet the following requirements:
    (a) A primary monitor designated as an EPA FRM shall be collocated 
with an audit monitor having the same EPA FRM method designation.
    (b) For each primary monitor model designated as an EPA FEM used by 
the PQAO, 50 percent of the monitors designated for collocation shall be 
collocated with an audit monitor having the same method designation and 
50 percent of the monitors shall be collocated with an FRM audit 
monitor. If the primary quality assurance organization only has one FEM 
monitor it shall be collocated with an FRM audit monitor. If there are 
an odd number of collocated monitors required, the additional monitor 
shall be an FRM audit monitor. An example of this procedure is found in 
Table A-3 of this appendix.
    3.2.5.3 The collocated monitors should be deployed according to the 
following protocol:
    (a) 80 percent of the collocated audit monitors should be deployed 
at sites with annual average or daily concentrations estimated to be 
within 20 percent of the applicable NAAQS and the 
remainder at what the monitoring organizations designate as high value 
sites;
    (b) If an organization has no sites with annual average or daily 
concentrations within  20 percent of the annual 
NAAQS (or 24-hour NAAQS if that is affecting the area), 60 percent of 
the collocated audit monitors should be deployed at those sites with the 
annual mean concentrations (or 24-hour NAAQS if that is affecting the 
area) among the highest 25 percent for all sites in the network.
    3.2.5.4 In determining the number of collocated sites required for 
PM2.5, monitoring networks for visibility assessments 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 FRM, FEM or ARM is not required 
to be included in the number of sites which are used to determine the 
number of collocated monitors.
    3.2.5.5 For each PSD monitoring network, one site must be 
collocated. A site with the predicted highest 24-hour pollutant 
concentration must be selected.
    3.2.5.6 The two collocated monitors must be within 4 meters of each 
other and at least 2 meters apart for flow rates greater than 200 
liters/min or at least 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.
    3.2.5.7 Sample the collocated audit monitor for SLAMS sites on a 12-
day schedule; sample PSD sites on a 6-day schedule or every third day 
for PSD daily monitors. If a primary quality assurance organization has 
only one collocated monitor, higher sampling frequencies than the 12-day 
schedule may be needed in order to produce about 25 valid sample pairs a 
year. Report the measurements from both primary and collocated audit 
monitors at each collocated sampling site. The calculations for 
evaluating precision between the two collocated monitors

[[Page 236]]

are described in section 4.3.1 of this appendix.
    3.2.6 Collocated Sampling Procedures for PM10-2.5. For 
the PM10-2.5 network, all automated methods must be 
designated as Federal equivalent methods (FEMs). For each pair of 
collocated monitors, designate one sampler as the primary monitor whose 
concentrations will be used to report air quality for the site, and 
designate the other as the audit monitor.
    3.2.6.1 The EPA shall ensure that each EPA designated FEM within the 
national PM10-2.5 monitoring network must:
    (a) Have 15 percent of the monitors collocated (values of 0.5 and 
greater round up); and
    (b) Have at least 2 collocated monitors (if the total number of 
monitors is less than 10). The first collocated monitor must be a 
designated FRM monitor and the second must be a monitor of the same 
method designation. Both collocated FRM and FEM monitors can be located 
at the same site.
    3.2.6.2 The Regional Administrator for the EPA Regions where the 
FEMs are implemented will select the sites for collocated monitoring. 
The site selection process shall consider giving priority to sites at 
primary quality assurance organizations or States with more than one 
PM10-2.5 site, sites considered important from a regional 
perspective, and sites needed for an appropriate distribution among 
rural and urban NCore sites. Depending on the speed at which the 
PM10-2.5 network is deployed, the first sites implementing 
FEMs shall be required to perform collocation until there is a larger 
distribution of FEM monitors implemented in the network.
    3.2.6.3 The two collocated monitors must be within 4 meters of each 
other and at least 2 meters apart for flow rates greater than 200 
liters/min or at least 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.
    3.2.6.4 Sample the collocated audit monitor for SLAMS sites on a 12-
day schedule. Report the measurements from both primary and collocated 
audit monitors at each collocated sampling site. The calculations for 
evaluating precision between the two collocated monitors are described 
in section 4.3.1 of this appendix.
    3.2.7 PM2.5 Performance Evaluation Program (PEP) 
Procedures. The PEP is an independent assessment used to estimate total 
measurement system bias. These evaluations will be performed under the 
PM Performance Evaluation Program (PEP) (section 2.4 of this appendix) 
or a comparable program. Performance evaluations will be performed on 
the SLAMS monitors annually within each primary quality assurance 
organization. For primary quality assurance organizations with less than 
or equal to five monitoring sites, five valid performance evaluation 
audits must be collected and reported each year. For primary quality 
assurance organizations with greater than five monitoring sites, eight 
valid performance evaluation audits must be collected and reported each 
year. A valid performance evaluation audit means that both the primary 
monitor and PEP audit concentrations are valid and above 3 [micro]g/
m\3\. Additionally, each year, every designated FRM or FEM within a 
primary quality assurance organization must:
    (1) Have each method designation evaluated each year; and,
    (2) Have all FRM or FEM samplers subject to a PEP audit at least 
once every six years; which equates to approximately 15 percent of the 
monitoring sites audited each year.
    (b) Additional information concerning the Performance Evaluation 
Program is contained in reference 10 of this appendix. The calculations 
for evaluating bias between the primary monitor and the performance 
evaluation monitor for PM2.5 are described in section 4.3.2 
of this appendix.
    3.2.8 PM10-2.5 Performance Evaluation Program. For the 
PM10-2.5 network, all automated methods will be designated as 
federal equivalent methods (FEMs). One performance evaluation audit, as 
described in section 3.2.7 must be performed at one PM10-2.5 
site in each primary quality assurance organization each year. The 
calculations for evaluating bias between the primary monitor(s) and the 
performance evaluation monitors for PM10-2.5 are described in 
section 4.1.3 of this appendix.
    3.3 Measurement Quality Checks of Manual Methods. Table A-2 of this 
appendix provides a summary of the types and frequency of the 
measurement quality checks that will be described in this section.
    3.3.1 Collocated Sampling Procedures for PM10. For each 
network of manual PM10 methods, select 15 percent (or at 
least one) of the monitoring sites within the primary quality assurance 
organization for collocated sampling. For purposes of precision 
assessment, networks for measuring total suspended particulate (TSP) and 
PM10 shall be considered separately from one another. 
However, PM10 samplers used in the PM10-2.5 
network, may be counted along with the PM10 samplers in the 
PM10 network as long as the PM10 samplers in both 
networks are the same method designation. 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 EPA Regional Administrator may be selected.

[[Page 237]]

    3.3.1.1 In determining the number of collocated sites required for 
PM10, monitoring networks for lead (Pb) should be treated 
independently from networks for particulate matter (PM), 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 Pb site and a 
collocated PM site may serve as a collocated site for both networks.
    3.3.1.2 The two collocated monitors must be within 4 meters of each 
other and at least 2 meters apart for flow rates greater than 200 
liters/min or at least 1 meter apart for samplers having flow rates less 
than 200 liters/min to preclude airflow interference. Calibration, 
sampling, analysis and verification/validation procedures must be the 
same for both collocated samplers and the same as for all other samplers 
in the network.
    3.3.1.3 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 audit sampler. Sample SLAMS 
sites on a 12-day schedule; sample PSD sites on a 6-day schedule or 
every third day for PSD daily samplers. If a primary quality assurance 
organization has only one collocated monitor, higher sampling 
frequencies than the 12-day schedule may be needed in order to produce 
approximately 25 valid sample pairs a year. 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 4.2.1 of this appendix.
    3.3.2 Flow Rate Verification for Particulate Matter. Follow the same 
procedure as described in section 3.2.3 of this appendix for 
PM2.5, PM10 (low-volume instruments), and 
PM10-2.5. High-volume PM10 and TSP instruments can 
also follow the procedure in section 3.2.3 but the audits are required 
to be conducted quarterly. The percent differences between the audit and 
measured flow rates are used to assess the bias of the monitoring data 
as described in section 4.2.2 of this appendix.
    3.3.3 Semi-Annual Flow Rate Audit for Particulate Matter. Follow the 
same procedure as described in section 3.2.4 of this appendix for 
PM2.5, PM10, PM10-2.5 and TSP 
instruments. The percent differences between these flow rates are used 
to validate the one-point flow rate verification checks used to estimate 
bias as described in section 4.2.3 of this appendix. 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.
    3.3.4 Pb Methods.
    3.3.4.1 Annual Flow Rate. For the Pb Reference Method (40 CFR part 
50, appendix G), the flow rates of the high-volume Pb samplers shall be 
verified and audited using the same procedures described in sections 
3.3.2 and 3.3.3 of this appendix.
    3.3.4.2 Pb Strips. Each calendar quarter or sampling quarter (PSD), 
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 centimeters (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 ambient
              Range                Pb concentration,   Pb concentration,
                                    [micro]g/strip       [micro]g/m3 1
------------------------------------------------------------------------
1...............................             100-300             0.5-1.5
2...............................           400-1,000            3.0-5.0
------------------------------------------------------------------------
\1\ Equivalent ambient Pb concentration in [micro]/m\3\ is based on
  sampling at 1.7 m\3\/min for 24 hours on a 20.3 cm x 25.4 cm (8 inch x
  10 inch) glass fiber filter.

    (a) Audit samples must be extracted using the same extraction 
procedure used for exposed filters.
    (b) 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.
    (c) Report the audit concentrations (in [micro]g Pb/strip) and the 
corresponding measured concentrations (in [micro]g Pb/strip) using AQS 
unit code 077. The relative percent differences between the 
concentrations are used to calculate analytical accuracy as described in 
section 4.4.2 of this appendix.
    (d) The audits of an equivalent Pb method are conducted and 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.
    3.3.5 Collocated Sampling Procedures for PM2.5. Follow 
the same procedure as described in section 3.2.5 of this appendix. 
PM2.5 samplers used in the PM10-2.5 network, may 
be counted along with the PM2.5 samplers in the 
PM2.5 network as long as the PM2.5 samplers in 
both networks are the same method designation.
    3.3.6 Collocated Sampling Procedures for PM10-2.5. All 
designated FRMs within the PM10-2.5 monitoring network must 
have 15

[[Page 238]]

percent of the monitors collocated (values of 0.5 and greater round up) 
at the PM10-2.5 sites. All FRM method designations can be 
aggregated.
    3.3.6.1 The EPA shall ensure that each designated FEM within the 
PM10-2.5 monitoring network must:
    (a) Have 15 percent of the monitors collocated (values of 0.5 and 
greater round up); and
    (b) Have at least 2 collocated monitors (if the total number of 
monitors is less than 10). The first collocated monitor must be a 
designated FRM monitor and the second must be a monitor of the same 
method designation. Both collocated FRM and FEM monitors can be located 
at the same site.
    3.3.6.2 The Regional Administrator for the EPA Region where the FRM 
or FEMs are implemented will select the sites for collocated monitoring. 
The collocation site selection process shall consider sites at primary 
quality assurance organizations or States with more than one 
PM10-2.5 site; primary quality assurance organizations 
already monitoring for PM10 and PM2.5 using FRMs 
or FEMs; and an appropriate distribution among rural and urban NCore 
sites. Monitoring organizations implementing PM10 samplers 
and PM2.5 FRM samplers of the same method designation as the 
PM10-2.5 FRM can include the PM10-2.5 monitors in 
their respective PM10 and PM2.5 count. Follow the 
same procedures as described in sections 3.2.6.2 and 3.2.6.3 of this 
appendix.
    3.3.7 PM2.5 Performance Evaluation Program (PEP) 
Procedures. Follow the same procedure as described in section 3.2.7 of 
this appendix.
    3.3.8 PM10-2.5 Performance Evaluation Program (PEP) 
Procedures. One performance evaluation audit, as described in section 
3.2.7 of this appendix must be performed at one PM10-2.5 site 
in each primary quality assurance organization each year. Monitoring 
organizations implementing PM2.5 FRM samplers of the same 
method designation in both the PM2.5 and the 
PM10-2.5 networks can include the PM10-2.5 
performance evaluation audit in their respective PM2.5 
performance evaluation count as long as the performance evaluation is 
conducted at the PM10-2.5 site. The calculations for 
evaluating bias between the primary monitor(s) and the performance 
evaluation monitors for PM10-2.5 are described in section 
4.1.3 of this appendix.

               4. Calculations for Data Quality Assessment

    (a) Calculations of measurement uncertainty are carried out by EPA 
according to the following procedures. Primary quality assurance 
organizations should report the data for all appropriate measurement 
quality checks as specified in this appendix even though they may elect 
to perform some or all of the calculations in this section on their own.
    (b) The EPA will provide annual assessments of data quality 
aggregated by site and primary quality assurance organization for 
SO2, NO2, O3 and CO and by primary 
quality assurance organization for PM10, PM2.5, 
PM10-2.5 and Pb.
    (c) At low concentrations, agreement between the measurements of 
collocated samplers, expressed as relative percent difference or percent 
difference, may be relatively poor. For this reason, collocated 
measurement pairs are selected for use in the precision and bias 
calculations only when both measurements are equal to or above the 
following limits:
(1) TSP: 20 [micro]g/m\3\.
(2) Pb: 0.15 [micro]g/m\3\.
(3) PM10 (Hi-Vol): 15 [micro]g/m\3\.
(4) PM10 (Lo-Vol): 3 [micro]g/m\3\.
(5) PM10-2.5 and PM2.5: 3 [micro]g/m\3\.

    4.1 Statistics for the Assessment of QC Checks for SO2, 
NO2, O3 and CO.
    4.1.1 Percent Difference. All measurement quality checks start with 
a comparison of an audit concentration or value (flowrate) to the 
concentration/value measured by the analyzer and use percent difference 
as the comparison statistic as described in equation 1 of this section. 
For each single point check, calculate the percent difference, di, as 
follows:
[GRAPHIC] [TIFF OMITTED] TR17OC06.041

where, meas is the concentration indicated by the monitoring 
organization's instrument and audit is the audit concentration of the 
standard used in the QC check being measured.
    4.1.2 Precision Estimate. The precision estimate is used to assess 
the one-point QC checks for SO2, NO2, 
O3, or CO described in section 3.2.1 of this appendix. The 
precision estimator is the coefficient of variation upper bound and is 
calculated using equation 2 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.042

where, X\2\0.1,n-1 is the 10th percentile of a chi-squared 
distribution with n-1 degrees of freedom.
    4.1.3 Bias Estimate. The bias estimate is calculated using the one-
point QC checks for SO2, NO2, O3, or CO 
described in section 3.2.1

[[Page 239]]

of this appendix and the performance evaluation program for 
PM10-2.5 described in sections 3.2.8 and 3.3.8 of this 
appendix. The bias estimator is an upper bound on the mean absolute 
value of the percent differences as described in equation 3 of this 
section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.043

where, n is the number of single point checks being aggregated; 
t0.95,n-1 is the 95th quantile of a t-distribution with n-1 
degrees of freedom; the quantity AB is the mean of the absolute values 
of the di's and is calculated using equation 4 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.044

and the quantity AS is the standard deviation of the absolute value of 
the di's and is calculated using equation 5 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.045

    4.1.3.1 Assigning a sign (positive/negative) to the bias estimate. 
Since the bias statistic as calculated in equation 3 of this appendix 
uses absolute values, it does not have a tendency (negative or positive 
bias) associated with it. A sign will be designated by rank ordering the 
percent differences of the QC check samples from a given site for a 
particular assessment interval.
    4.1.3.2 Calculate the 25th and 75th percentiles of the percent 
differences for each site. The absolute bias upper bound should be 
flagged as positive if both percentiles are positive and negative if 
both percentiles are negative. The absolute bias upper bound would not 
be flagged if the 25th and 75th percentiles are of different signs.
    4.1.4 Validation of Bias Using the one-point QC Checks. The annual 
performance evaluations for SO2, NO2, 
O3, or CO described in section 3.2.2 of this appendix are 
used to verify the results obtained from the one-point QC checks and to 
validate those results across a range of concentration levels. To 
quantify this annually at the site level and at the 3-year primary 
quality assurance organization level, probability limits will be 
calculated from the one-point QC checks using equations 6 and 7 of this 
appendix:
[GRAPHIC] [TIFF OMITTED] TR17OC06.064

[GRAPHIC] [TIFF OMITTED] TR41AD07.006

where, m is the mean (equation 8 of this appendix):
[GRAPHIC] [TIFF OMITTED] TR17OC06.046

where, k is the total number of one point QC checks for the interval 
being evaluated and S is the standard deviation of the percent 
differences (equation 9 of this appendix) as follows:
[GRAPHIC] [TIFF OMITTED] TR17OC06.047

    4.1.5 Percent Difference. Percent differences for the performance 
evaluations, calculated using equation 1 of this appendix can be 
compared to the probability intervals for the respective site or at the 
primary quality assurance organization level. Ninety-five percent of the 
individual percent differences (all audit concentration levels) for the 
performance evaluations should be captured within the probability 
intervals for the primary quality assurance organization.
    4.2 Statistics for the Assessment of PM10.
    4.2.1 Precision Estimate from Collocated Samplers. Precision is 
estimated via duplicate measurements from collocated samplers of the 
same type. It is recommended that the precision be aggregated at the 
primary quality assurance organization level quarterly, annually, and at 
the 3-year level. The data pair would only be considered valid if both 
concentrations are greater than the minimum values specified in section 
4(c) of this appendix. For each collocated data pair, calculate the 
relative percent difference, di, using equation 10 of this appendix:

[[Page 240]]

[GRAPHIC] [TIFF OMITTED] TR17OC06.048

where, Xi is the concentration from the primary sampler and Yi is the 
concentration value from the audit sampler. The coefficient of variation 
upper bound is calculated using the equation 11 of this appendix:
[GRAPHIC] [TIFF OMITTED] TR17OC06.049

 where, n is the number of valid data pairs being aggregated, and X\2\ 
0.1, n-1 is the 10th percentile of a chi-squared distribution 
with n-1 degrees of freedom. The factor of 2 in the denominator adjusts 
for the fact that each di is calculated from two values with 
error.

4.2.2 Bias Estimate Using One-Point Flow Rate Verifications. For each 
          one-point flow rate verification described in sections 3.2.3 
          and 3.3.2 of this appendix, calculate the percent difference 
          in volume using equation 1 of this appendix where meas is the 
          value indicated by the sampler's volume measurement and audit 
          is the actual volume indicated by the auditing flow meter. The 
          absolute volume bias upper bound is then calculated using 
          equation 3, where n is the number of flow rate audits being 
          aggregated; t0.95,n-1 is the 95th quantile of a t-
          distribution with n-1 degrees of freedom, the quantity AB is 
          the mean of the absolute values of the di's and is calculated 
          using equation 4 of this appendix , and the quantity AS in 
          equation 3 of this appendix is the standard deviation of the 
          absolute values if the di's and is calculated using equation 5 
          of this
    4.2.3 Assessment Semi-Annual Flow Rate Audits. The flow rate audits 
described in sections 3.2.4 and 3.3.3 of this appendix are used to 
assess the results obtained from the one-point flow rate verifications 
and to provide an estimate of flow rate acceptability. For each flow 
rate audit, calculate the percent difference in volume using equation 1 
of this appendix where meas is the value indicated by the sampler's 
volume measurement and audit is the actual volume indicated by the 
auditing flow meter. To quantify this annually and at the 3-year primary 
quality assurance organization level, probability limits are calculated 
from the percent differences using equations 6 and 7 of this appendix 
where m is the mean described in equation 8 of this appendix and k is 
the total number of one-point flow rate verifications for the year and S 
is the standard deviation of the percent differences as described in 
equation 9 of this appendix.
    4.2.4 Percent Difference. Percent differences for the annual flow 
rate audit concentration, calculated using equation 1 of this appendix, 
can be compared to the probability intervals for the one-point flow rate 
verifications for the respective primary quality assurance organization. 
Ninety-five percent of the individual percent differences (all audit 
concentration levels) for the performance evaluations should be captured 
within the probability intervals for primary quality assurance 
organization.
    4.3 Statistics for the Assessment of PM2.5 and 
PM10-2.5.
    4.3.1 Precision Estimate. Precision for collocated instruments for 
PM2.5 and PM10-2.5 may be estimated where both the 
primary and collocated instruments are the same method designation and 
when the method designations are not similar. Follow the procedure 
described in section 4.2.1 of this appendix. In addition, one may want 
to perform an estimate of bias when the primary monitor is an FEM and 
the collocated monitor is an FRM. Follow the procedure described in 
section 4.1.3 of this appendix in order to provide an estimate of bias 
using the collocated data.
    4.3.2 Bias Estimate. Follow the procedure described in section 4.1.3 
of this appendix for the bias estimate of PM10-2.5. The 
PM2.5 bias estimate is calculated using the paired routine 
and the PEP monitor data described in section 3.2.6 of this appendix. 
Calculate the percent difference, di, using equation 1 of this appendix, 
where meas is the measured concentration from agency's primary monitor 
and audit is the concentration from the PEP monitor. The data pair would 
only be considered valid if both concentrations are greater than the 
minimum values specified in section 4(c) of this appendix. Estimates of 
bias are presented for various levels of aggregation, sometimes 
aggregating over time, sometimes aggregating over samplers, and 
sometimes aggregating over both time and samplers. These various levels 
of aggregation are achieved using the same basic statistic.
    4.3.2.1 This statistic averages the individual biases described in 
equation 1 of this appendix to the desired level of aggregation using 
equation 12 of this appendix:
[GRAPHIC] [TIFF OMITTED] TR17OC06.050


[[Page 241]]


where, nj is the number of pairs and d1, d2, * * *, dnj are 
the biases for each of the pairs to be averaged.

    4.3.2.2 Confidence intervals can be constructed for these average 
bias estimates in equation 12 of this appendix using equations 13 and 14 
of this appendix:
[GRAPHIC] [TIFF OMITTED] TR17OC06.051

[GRAPHIC] [TIFF OMITTED] TR17OC06.052

Where, t0.95,df is the 95th quantile of a t-distribution with 
degrees of freedom df = nj - 1 and s is an estimate of the 
variability of the average bias calculated using equation 15 of this 
appendix:
[GRAPHIC] [TIFF OMITTED] TR17OC06.053

    4.4 Statistics for the Assessment of Pb.
    4.4.1 Precision Estimate. Follow the same procedures as described 
for PM10 in section 4.2.1 of this appendix using the data 
from the collocated instruments. The data pair would only be considered 
valid if both concentrations are greater than the minimum values 
specified in section 4(c) of this appendix.
    4.4.2 Bias Estimate. In order to estimate bias, the information from 
the flow rate audits and the Pb strip audits needs to be combined as 
described below. To be consistent with the formulas for the gases, the 
recommended procedures are to work with relative errors of the lead 
measurements. The relative error in the concentration is related to the 
relative error in the volume and the relative error in the mass 
measurements using equation 16 of this appendix:
[GRAPHIC] [TIFF OMITTED] TR17OC06.054

    As with the gases, an upper bound for the absolute bias is desired. 
Using equation 16 above, the absolute value of the relative 
(concentration) error is bounded by equation 17 of this appendix:
[GRAPHIC] [TIFF OMITTED] TR17OC06.055


[[Page 242]]


    The quality indicator data collected are then used to bound each 
part of equation 17 separately.
    4.4.2.1 Flow rate calculations. For each flow rate audit, calculate 
the percent difference in volume by equation 1 of this appendix where 
meas is the value indicated by the sampler's volume measurement and 
audit is the actual volume indicated by the auditing flow meter. The 
absolute volume bias upper bound is then calculated using equation 3 of 
this appendix where n is the number of flow rate audits being 
aggregated; t0.95,n-1 is the 95th quantile of a t-
distribution with n-1 degrees of freedom; the quantity AB is the mean of 
the absolute values of the di's and is calculated using equation 4, and 
the quantity AS in equation 3 of this appendix is the standard deviation 
of the absolute values of the di's and is calculated using equation 5 of 
this appendix.
    4.4.2.2 Lead strip calculations. Similarly for each lead strip 
audit, calculate the percent difference in mass by equation 1 where meas 
is the value indicated by the mass measurement and audit is the actual 
lead mass on the audit strip. The absolute mass bias upper bound is then 
calculated using equation 3 of this appendix where n is the number of 
lead strip audits being aggregated; t0.95,n-1 is the 95th 
quantile of a t-distribution with n-1 degrees of freedom; the quantity 
AB is the mean of the absolute values of the di's and is calculated 
using equation 4 of this appendix and the quantity AS in equation 3 of 
this appendix is the standard deviation of the absolute values of the 
di's and is calculated using equation 5 of this appendix.
    4.4.2.3 Final bias calculation. Finally, the absolute bias upper 
bound is given by combining the absolute bias estimates of the flow rate 
and Pb strips using equation 18 of this appendix:
[GRAPHIC] [TIFF OMITTED] TR17OC06.056

where, the numerator and denominator have been multiplied by 100 since 
everything is expressed as a percentage.
    4.5 Time Period for Audits. The statistics in this section assume 
that the mass and flow rate audits represent the same time period. Since 
the two types of audits are not performed at the same time, the audits 
need to be grouped by common time periods. Consequently, the absolute 
bias estimates should be done on annual and 3-year levels. The flow rate 
audits are site-specific, so the absolute bias upper bound estimate can 
be done and treated as a site-level statistic.

                        5. Reporting Requirements

    5.1 SLAMS Reporting Requirements. For each pollutant, prepare a list 
of all monitoring sites and their AQS site identification codes in each 
primary quality assurance organization and submit the list to the 
appropriate EPA Regional Office, with a copy to AQS. Whenever there is a 
change in this list of monitoring sites in a primary quality assurance 
organization, report this change to the EPA Regional Office and to AQS.
    5.1.1 Quarterly Reports. For each quarter, each primary quality 
assurance organization shall report to AQS directly (or via the 
appropriate EPA Regional Office for organizations not direct users of 
AQS) the results of all valid measurement quality checks it has carried 
out during the quarter. The quarterly reports must be submitted 
consistent with the data reporting requirements specified for air 
quality data as set forth in Sec. 58.16. The EPA strongly encourages 
early submission of the quality assurance data in order to assist the 
monitoring organizations control and evaluate the quality of the ambient 
air data.
    5.1.2 Annual Reports.
    5.1.2.1 When the monitoring organization has certified relevant data 
for the calendar year, EPA will calculate and report the measurement 
uncertainty for the entire calendar year.
    5.2 PSD Reporting Requirements. At the end of each sampling quarter, 
the organization must report the appropriate statistical assessments in 
section 4 of this appendix for the pollutants measured. All data used to 
calculate reported estimates of precision and bias including span 
checks, collocated sampler and audit results must be made available to 
the permit granting authority upon request.

                             6.0 References

    (1) American National Standard--Specifications and Guidelines for 
Quality Systems for Environmental Data Collection and Environmental 
Technology Programs. ANSI/ASQC E4-2004. February 2004. Available from 
American Society for Quality Control, 611 East Wisconsin Avenue, 
Milwaukee, WI 53202.

[[Page 243]]

    (2) EPA Requirements for Quality Management Plans. EPA QA/R-2. EPA/
240/B-01/002. March 2001. Office of Environmental Information, 
Washington DC 20460. http://www.epa.gov/quality/qs-docs/r2-final.pdf.
    (3) EPA Requirements for Quality Assurance Project Plans for 
Environmental Data Operations. EPA QA/R-5. EPA/240/B-01/003. March 2001. 
Office of Environmental Information, Washington DC 20460. http://
www.epa.gov/quality/qs-docs/r5-final.pdf.
    (4) EPA Traceability Protocol for Assay and Certification of Gaseous 
Calibration Standards. EPA-600/R-97/121. September 1997. 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. 
EPA/240/B-06/001. February, 2006. Office of Environmental Information, 
Washington DC 20460. http://www.epa.gov/quality/qs-docs/g4-final.pdf.
    (6) List of Designated Reference and Equivalent Methods. Available 
from U.S. Environmental Protection Agency, National Exposure Research 
Laboratory, Human Exposure and Atmospheric Sciences Division, MD-D205-
03, Research Triangle Park, NC 27711. http://www.epa.gov/ttn/amtic/
criteria.html.
    (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, Research Triangle Park, NC 27711, September, 1979. 
http://www.epa.gov/ttn/amtic/cpreldoc.html.
    (8) 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. http://www.epa.gov/ttn/amtic/cpreldoc.html.
    (9) 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. http://www.epa.gov/ ttn/amtic/qabook.html.
    (10) Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume II: Part 1--Ambient Air Quality Monitoring Program 
Quality System Development. EPA-454/R-98-004. http://www.epa.gov/ttn/
amtic/qabook.html.

 Table A-1 of Appendix A to Part 58--Difference and Similarities Between
                       SLAMS and PSD Requirements
------------------------------------------------------------------------
              Topic                      SLAMS                PSD
------------------------------------------------------------------------
Requirements....................  1. The
                                   development,
                                   documentation,
                                   and
                                   implementation of
                                   an approved
                                   quality system.
                                  2. The assessment
                                   of data quality.
                                  3. The use of
                                   reference,
                                   equivalent, or
                                   approved methods.
                                  4. The use of
                                   calibration
                                   standards
                                   traceable to NIST
                                   or other primary
                                   standard.
                                  5. The
                                   participation in
                                   EPA performance
                                   evaluations and
                                   the permission
                                   for EPA to
                                   conduct system
                                   audits.
Monitoring and QA Responsibility  State/local agency  Source owner/
                                   via the ``primary   operator.
                                   quality assurance
                                   organization''.
Monitoring Duration.............  Indefinitely......  Usually up to 12
                                                       months.
Annual Performance Evaluation     Standards and       Personnel,
 (PE).                             equipment           standards and
                                   different from      equipment
                                   those used for      different from
                                   spanning,           those used for
                                   calibration, and    spanning,
                                   verifications.      calibration, and
                                   Prefer different    verifications.
                                   personnel.
PE audit rate:
    --Automated.................  100% per year.....  100% per quarter.
    --Manual....................  Varies depending    100% per quarter.
                                   on pollutant. See
                                   Table A-2 of this
                                   appendix.
Precision Assessment:
    --Automated.................  One-point QC check  One point QC check
                                   biweekly but data   biweekly.
                                   quality dependent.
    --Manual....................  Varies depending    One site: 1 every
                                   on pollutant. See   6 days or every
                                   Table A-2 of this   third day for
                                   appendix.           daily monitoring
                                                       (TSP and Pb).
Reporting
    --Automated.................  By site--EPA        By site--source
                                   performs            owner/operator
                                   calculations        performs
                                   annually.           calculations each
                                                       sampling quarter.
    --Manual....................  By reporting        By site--source
                                   organization--EPA   owner/operator
                                   performs            performs
                                   calculations        calculations each
                                   annually.           sampling quarter.
------------------------------------------------------------------------


[[Page 244]]


            Table A-2 of Appendix A to Part 58--Minimum Data Assessment Requirements for SLAMS Sites
----------------------------------------------------------------------------------------------------------------
                                                                                                  Parameters
             Method                Assessment method       Coverage        Minimum frequency       reported
----------------------------------------------------------------------------------------------------------------
                                                Automated Methods
----------------------------------------------------------------------------------------------------------------
1-Point QC for SO2, NO2, O3, CO.  Response check at   Each analyzer.....  Once per 2 weeks..  Audit
                                   concentration                                               concentration \1\
                                   0.01-0.1 ppm SO2,                                           and measured
                                   NO2, O3, and 1-10                                           concentration
                                   ppm CO.                                                     \2\.
Annual performance evaluation     See section 3.2.2   Each analyzer.....  Once per year.....  Audit
 for SO2, NO2, O3, CO.             of this appendix.                                           concentration \1\
                                                                                               and measured
                                                                                               concentration \2\
                                                                                               for each level.
Flow rate verification PM10,      Check of sampler    Each sampler......  Once every month..  Audit flow rate
 PM2.5, PM10	2.5.                  flow rate.                                                  and measured flow
                                                                                               rate indicated by
                                                                                               the sampler.
Semi-annual flow rate audit       Check of sampler    Each sampler......  Once every 6......  Audit flow rate
 PM10, PM2.5, PM10	2.5.            flow rate using                                             and measured flow
                                   independent                                                 rate indicated by
                                   standard.                                                   the sampler.
Collocated sampling PM2.5,        Collocated          15%...............  Every 12 days.....  Primary sampler
 PM10	2.5.                         samplers.                                                   concentration and
                                                                                               duplicate sampler
                                                                                               concentration.
Performance evaluation program    Collocated          1. 5 valid audits   Over all 4          Primary sampler
 PM2.5, PM10	2.5.                  samplers.           for primary QA      quarters.           concentration and
                                                       orgs, with <= 5                         performance
                                                       sites.                                  evaluation
                                                      2. 8 valid audits                        sampler
                                                       for primary QA                          concentration.
                                                       orgs, with  5 sites.
                                                      3. All samplers in
                                                       6 years.
----------------------------------------------------------------------------------------------------------------
                                                 Manual Methods
----------------------------------------------------------------------------------------------------------------
Collocated sampling PM10, TSP,    Collocated          15%...............  Every 12 days PSD-- Primary sampler
 PM10	2.5, PM2.5.                  samplers.                               every 6 days.       concentration and
                                                                                               duplicate sampler
                                                                                               concentration.
Flow rate verification PM10 (low  Check of sampler    Each sampler......  Once every month..  Audit flow rate
 Vol), PM10	2.5, PM2.5.            flow rate.                                                  and measured flow
                                                                                               rate indicated by
                                                                                               the sampler.
Flow rate verification PM10       Check of sampler    Each sampler......  Once every quarter  Audit flow rate
 (High-Vol), TSP.                  flow rate.                                                  and measured flow
                                                                                               rate indicated by
                                                                                               the sampler.
Semi-annual flow rate audit       Check of sampler    Each sampler, all   Once every 6        Audit flow rate
 PM10, TSP, PM10	2.5, PM2.5.       flow rate using     locations.          months.             and measured flow
                                   independent                                                 rate indicated by
                                   standard.                                                   the sampler.
Manual Methods Lead.............  1. Check of sample  1. Each sampler...  1. Include with     1. Same as for
                                   flow rate as for   2. Analytical.....   TSP.                TSP.
                                   TSP.                                   2. Each quarter...  2. Actual
                                  2. Check of                                                  concentration.
                                   analytical system
                                   with Pb audit
                                   strips.
Performance evaluation program    Collocated          1. 5 valid audits   Over all 4          Primary sampler
 PM2.5, PM10	2.5.                  samplers.           for primary QA      quarters.           concentration and
                                                       orgs, with <= 5                         performance
                                                       sites.                                  evaluation
                                                      2. 8 valid audits                        sampler
                                                       for primary QA                          concentration.
                                                       orgs, with = 5 sites.
                                                      3. All samplers in
                                                       6 years.
----------------------------------------------------------------------------------------------------------------
\1\ Effective concentration for open path analyzers.
\2\ Corrected concentration, if applicable, for open path analyzers.


[[Page 245]]


      Table A-3 of Appendix A to Part 58--Summary of PM2.5 Number and Type of Collocation (15% Collocation
 Requirement) Needed as an Example of a Primary Quality Assurance Organization That Has 54 Monitors and Procured
                                  FRMs and Three Other Equivalent Method Types
----------------------------------------------------------------------------------------------------------------
                                                                                                      No. of
                                                                                                    collocated
                                                   Total no. of      Total no.        No. of        monitors of
       Primary sampler method designation            monitors       collocated    collocated FRM    same method
                                                                                                  designation as
                                                                                                      primary
----------------------------------------------------------------------------------------------------------------
FRM.............................................              20               3               3             n/a
FEM (A).........................................              20               3               2               1
FEM (C).........................................               2               1               1               0
FEM (D).........................................              12               2               1               1
----------------------------------------------------------------------------------------------------------------


[71 FR 61303, Oct. 17, 2006, as amended at 72 FR 32211, June 12, 2007]

    Editorial Note: At 72 FR 32211, June 13, 2007, the last sentence in 
section 4.2.2.2, was amended in Appendix A to Part 58; however, the 
amendment could not be incorporated due to inaccurate amendatory 
instruction.



                  Sec. Appendix B to Part 58 [Reserved]



Sec. Appendix C to Part 58--Ambient Air Quality 
 Monitoring Methodology

1.0 Purpose
2.0 SLAMS Ambient Air Monitoring Stations
3.0 NCore Ambient Air Monitoring Stations
4.0 Photochemical Assessment Monitoring Stations (PAMS)
5.0 Particulate Matter Episode Monitoring
6.0 References

                               1.0 Purpose

    This appendix specifies the criteria pollutant monitoring methods 
(manual methods or automated analyzers) which must be used in SLAMS and 
NCore stations that are a subset of SLAMS.

                2.0 SLAMS Ambient Air Monitoring Network

    2.1 Except as otherwise provided in this appendix, a criteria 
pollutant monitoring method used for making NAAQS decisions at a SLAMS 
site must be a reference or equivalent method as defined in Sec. 50.1 
of this chapter.
    2.2 Reserved
    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 at a SLAMS site following 
cancellation for a reasonable period of time to be determined by the 
Administrator.
    2.4 Approval of Non-designated Continuous PM2.5 Methods 
as Approved Regional Methods (ARMs) Operated Within a Network of Sites. 
A method for PM2.5 that has not been designated as an FRM or 
FEM as defined in Sec. 50.1 of this chapter may be approved as an ARM 
for purposes of section 2.1 of this appendix at a particular site or 
network of sites under the following stipulations.
    2.4.1 The candidate ARM must be demonstrated to meet the 
requirements for PM2.5 Class III equivalent methods as 
defined in subpart C of part 53 of this chapter. Specifically the 
requirements for precision, correlation, and additive and multiplicative 
bias apply. For purposes of this section 2.4, the following requirements 
shall apply:
    2.4.1.1 The candidate ARM shall be tested at the site(s) in which it 
is intended to be used. For a network of sites operated by one reporting 
agency or primary quality assurance organization, the testing shall 
occur at a subset of sites to include one site in each MSA/CSA, up to 
the first 2 highest population MSA/CSA and at least one rural area or 
Micropolitan Statistical Area site. If the candidate ARM for a network 
is already approved for purposes of this section in another agency's 
network, subsequent testing shall minimally occur at one site in a MSA/
CSA and one rural area or Micropolitan Statistical Area. There shall be 
no requirement for tests at any other sites.
    2.4.1.2 For purposes of this section, a full year of testing may 
begin and end in any season, so long as all seasons are covered.
    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 test specification for PM2.5 Class III 
equivalent method precision defined in subpart C of part 53 of this 
chapter applies; however, there is no specific requirement that 
collocated continuous monitors be operated for purposes of generating a 
statistic for coefficient of variation (CV). To provide an estimate of 
precision that meets the requirement identified in subpart C of part 53 
of this chapter, agencies may cite peer-reviewed published data or data 
in AQS that can be presented demonstrating the candidate ARM operated 
will produce data that meets the specification for precision of Class 
III PM2.5 methods.

[[Page 246]]

    2.4.1.5 A minimum of 90 valid sample pairs per site for the year 
with no less than 20 valid sample pairs per season must be generated for 
use in demonstrating that additive bias, multiplicative bias and 
correlation meet the comparability requirements specified in subpart C 
of part 53 of this chapter. A valid sample pair may be generated with as 
little as one valid FRM and one valid candidate ARM measurement per day.
    2.4.1.6 For purposes of determining bias, FRM data with 
concentrations less than 3 micrograms per cubic meter ([micro]g/m\3\) 
may be excluded. Exclusion of data does not result in failure of sample 
completeness specified in this section.
    2.4.1.7 Data transformations are allowed to be used to demonstrate 
meeting the comparability requirements specified in subpart C of part 53 
of this chapter. Data transformation may be linear or non-linear, but 
must be applied in the same way to all sites used in the testing.
    2.4.2 The monitoring agency wishing to use an ARM must develop and 
implement appropriate quality assurance procedures for the method. 
Additionally, the following procedures are required for the method:
    2.4.2.1 The ARM must be consistently operated throughout the 
network. Exceptions to a consistent operation must be approved according 
to section 2.8 of this appendix;
    2.4.2.2 The ARM must be operated on an hourly sampling frequency 
capable of providing data suitable for aggregation into daily 24-hour 
average measurements;
    2.4.2.3 The ARM must use an inlet and separation device, as needed, 
that are already approved in either the reference method identified in 
appendix L to part 50 of this chapter or under part 53 of this chapter 
as approved for use on a PM2.5 reference or equivalent 
method. The only exceptions to this requirement are those methods that 
by their inherent measurement principle may not need an inlet or 
separation device that segregates the aerosol; and
    2.4.2.4 The ARM must be capable of providing for flow audits, unless 
by its inherent measurement principle, measured flow is not required. 
These flow audits are to be performed on the frequency identified in 
appendix A to this part.
    2.4.2.5 If data transformations are used, they must be described in 
the monitoring agencies Quality Assurance Project plan (or addendum to 
QAPP). The QAPP shall describe how often (e.g., quarterly, yearly) and 
under what provisions the data transformation will be updated. For 
example, not meeting the data quality objectives for a site over a 
season or year may be cause for recalculating a data transformation, but 
by itself would not be cause for invalidating the data. Data 
transformations must be applied prospectively, i.e., in real-time or 
near real-time, to the data output from the PM2.5 continuous 
method. See reference 7 of this appendix.
    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 Assessments of data quality shall follow the same frequencies 
and calculations as required under section 3 of appendix A to this part 
with the following exceptions:
    2.4.4.1 Collocation of ARM with FRM/FEM samplers must be maintained 
at a minimum of 30 percent of the required SLAMS sites with a minimum of 
1 per network;
    2.4.4.2 All collocated FRM/FEM samplers must maintain a sample 
frequency of at least 1 in 6 sample days;
    2.4.4.3 Collocated FRM/FEM samplers shall be located at the design 
value site, with the required FRM/FEM samplers deployed among the 
largest MSA/CSA in the network, until all required FRM/FEM are deployed; 
and
    2.4.4.4 Data from collocated FRM/FEM are to be substituted for any 
calendar quarter that an ARM method has incomplete data.
    2.4.4.5 Collocation with an ARM under this part for purposes of 
determining the coefficient of variation of the method shall be 
conducted at a minimum of 7.5 percent of the sites with a minimum of 1 
per network. This is consistent with the requirements in appendix A to 
this part for one-half of the required collocation of FRM/FEM (15 
percent) to be collocated with the same method.
    2.4.4.6 Assessments of bias with an independent audit of the total 
measurement system shall be conducted with the same frequency as an FEM 
as identified in appendix A to this part.
    2.4.5 Request for approval of a candidate ARM, that is not already 
approved in another agency's network under this section, must meet the 
general submittal requirements of section 2.7 of this appendix. Requests 
for approval under this section when an ARM is already approved in 
another agency's network are to be submitted to the EPA Regional 
Administrator. Requests for approval under section 2.4 of this appendix 
must include the following requirements:
    2.4.5.1 A clear and unique description of the site(s) at which the 
candidate ARM 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.

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    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 AQS.
    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 an ARM at a particular site or network of sites under section 2.4 
of this appendix, the Administrator will approve or disapprove the 
method by letter to the person or agency requesting such approval. When 
appropriate for methods that are already approved in another SLAMS 
network, the EPA Regional Administrator has approval/disapproval 
authority. In either instance, additional information may be requested 
to assist with the decision.
    2.5 [Reserved]
    2.6 Use of Methods With Higher, Nonconforming Ranges in Certain 
Geographical Areas.
    2.6.1 [Reserved]
    2.6.2 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 of this appendix 
must meet the submittal requirements of section 2.7. Except as provided 
in section 2.7.3 of this appendix, each request must contain the 
information specified in section 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 section 2.7.2.2 of this appendix 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 of this appendix.
    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 Research 
Laboratory (MD-D205-03), U.S. Environmental Protection Agency, Research 
Triangle Park, North Carolina 27711. For ARM that are already approved 
in another agency's network, subsequent requests for approval under 
section 2.4 are to be submitted to the applicable EPA Regional 
Administrator.
    2.7.2 Except as provided in section 2.7.3 of this appendix, 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

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    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 of this appendix, 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 available 
information, that any of the determinations or statements on which 
approval of a request under this section 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/she 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, no reference 
method, equivalent method, or ARM may be used in a SLAMS network if it 
has been modified in a manner that could significantly alter the 
performance characteristics of the method without prior approval by the 
Administrator. For purposes of this section, ``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 The Administrator will approve or disapprove the modification 
by letter to the person or agency requesting such approval within 75 
days after receiving a request for approval under this section and any 
further information that the applicant may be asked to provide.
    2.8.5 A temporary modification that could alter the performance 
characteristics of a reference, equivalent, or ARM may be made without 
prior approval under this section 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 
of this appendix, 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. 
58.16 and must be accompanied by a report containing the information 
specified in section 2.8.3 of this appendix. A request that the 
Administrator approve a temporary modification may be submitted in 
accordance with sections 2.8.1 through 2.8.4 of this appendix. 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 Site. ``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. Descriptions of 
the IMPROVE samplers and the data they collect are available in 
references 4, 5, and 6 of this appendix.

                3.0 NCore Ambient Air Monitoring Stations

    3.1 Methods employed in NCore multipollutant sites used to measure 
SO2, CO, NO2, O3, PM2.5, or 
PM10-2.5 must be reference or equivalent methods as defined 
in Sec. 50.1 of this chapter, or an ARM as defined in section 2.4 of 
this appendix, for any monitors intended for comparison with applicable 
NAAQS.
    3.2 If alternative SO2, CO, NO2, 
O3, PM2.5, or PM10-2.5 monitoring 
methodologies are proposed for monitors not intended for NAAQS 
comparison, such techniques must be detailed in the network description 
required by Sec. 58.10 and subsequently approved by the Administrator. 
Examples of locations that are not intended to be compared to the NAAQS 
may be rural background and transport sites or areas where the 
concentration of the pollutant is so low that it would be more useful to 
operate a higher sensitivity method that is not an FRM or FEM.

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         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. 58.10 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 
of this appendix. 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. 58.10 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:
    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 PM10 methods other than the reference method are not 
covered under the quality assessment requirements of appendix to this 
part. 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 to this part 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.
    7. Data Quality Objectives (DQOs) for Relating Federal Reference 
Method (FRM) and Continuous PM2.5 Measurements to Report an 
Air Quality Index (AQI). Office of Air Quality Planning and Standards, 
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711. 
EPA 454/B-02-2002. November 2002.

[71 FR 61313, Oct. 17, 2006]



Sec. Appendix D to Part 58--Network Design Criteria for Ambient Air 
                           Quality Monitoring

1. Monitoring Objectives and Spatial Scales
2. General Monitoring Requirements
3. Design Criteria for NCore Sites
4. Pollutant-Specific Design Criteria for SLAMS Sites
5. Design Criteria for Photochemical Assessment Monitoring Stations 
(PAMS)
6. References

               1. Monitoring Objectives and Spatial Scales

    The purpose of this appendix is to describe monitoring objectives 
and general criteria to be applied in establishing the required

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SLAMS ambient air quality monitoring stations and for choosing general 
locations for additional monitoring sites. This appendix also describes 
specific requirements for the number and location of FRM, FEM, and ARM 
sites for specific pollutants, NCore multipollutant sites, 
PM10 mass sites, PM2.5 mass sites, chemically-
speciated PM2.5 sites, and O3 precursor 
measurements sites (PAMS). These criteria will be used by EPA in 
evaluating the adequacy of the air pollutant monitoring networks.
    1.1 Monitoring Objectives. The ambient air monitoring networks must 
be designed to meet three basic monitoring objectives. These basic 
objectives are listed below. The appearance of any one objective in the 
order of this list is not based upon a prioritized scheme. Each 
objective is important and must be considered individually.
    (a) Provide air pollution data to the general public in a timely 
manner. Data can be presented to the public in a number of attractive 
ways including through air quality maps, newspapers, Internet sites, and 
as part of weather forecasts and public advisories.
    (b) Support compliance with ambient air quality standards and 
emissions strategy development. Data from FRM, FEM, and ARM monitors for 
NAAQS pollutants will be used for comparing an area's air pollution 
levels against the NAAQS. Data from monitors of various types can be 
used in the development of attainment and maintenance plans. SLAMS, and 
especially NCore station data, will be used to evaluate the regional air 
quality models used in developing emission strategies, and to track 
trends in air pollution abatement control measures' impact on improving 
air quality. In monitoring locations near major air pollution sources, 
source-oriented monitoring data can provide insight into how well 
industrial sources are controlling their pollutant emissions.
    (c) Support for air pollution research studies. Air pollution data 
from the NCore network can be used to supplement data collected by 
researchers working on health effects assessments and atmospheric 
processes, or for monitoring methods development work.
    1.1.1 In order to support the air quality management work indicated 
in the three basic air monitoring objectives, a network must be designed 
with a variety of types of monitoring sites. Monitoring sites must be 
capable of informing managers about many things including the peak air 
pollution levels, typical levels in populated areas, air pollution 
transported into and outside of a city or region, and air pollution 
levels near specific sources. To summarize some of these sites, here is 
a listing of six general site types:
    (a) Sites located to determine the highest concentrations expected 
to occur in the area covered by the network.
    (b) Sites located to measure typical concentrations in areas of high 
population density.
    (c) Sites located to determine the impact of significant sources or 
source categories on air quality.
    (d) Sites located to determine general background concentration 
levels.
    (e) Sites located to determine the extent of regional pollutant 
transport among populated areas; and in support of secondary standards.
    (f) Sites located to measure air pollution impacts on visibility, 
vegetation damage, or other welfare-based impacts.
    1.1.2 This appendix contains criteria for the basic air monitoring 
requirements. The total number of monitoring sites that will serve the 
variety of data needs will be substantially higher than these minimum 
requirements provide. The optimum size of a particular network involves 
trade-offs among data needs and available resources. This regulation 
intends to provide for national air monitoring needs, and to lend 
support for the flexibility necessary to meet data collection needs of 
area air quality managers. The EPA, State, and local agencies will 
periodically collaborate on network design issues through the network 
assessment process outlined in Sec. 58.10.
    1.1.3 This appendix focuses on the relationship between monitoring 
objectives, site types, and the geographic location of monitoring sites. 
Included are a rationale and set of general criteria for identifying 
candidate site locations in terms of physical characteristics which most 
closely match a specific monitoring objective. The criteria for more 
specifically locating the monitoring site, including spacing from 
roadways and vertical and horizontal probe and path placement, are 
described in appendix E to this part.
    1.2 Spatial Scales. (a) To clarify the nature of the link between 
general monitoring objectives, site types, and the physical location of 
a particular monitor, the concept of spatial scale of representativeness 
is defined. The goal in locating monitors is to correctly match the 
spatial scale represented by the sample of monitored air with the 
spatial scale most appropriate for the monitoring site type, air 
pollutant to be measured, and the monitoring objective.
    (b) Thus, spatial scale of representativeness is described in terms 
of the physical dimensions of the air parcel nearest to a monitoring 
site throughout which actual pollutant concentrations are reasonably 
similar. The scales of representativeness of most interest for the 
monitoring site types described above are as follows:
    (1) Microscale--Defines the concentrations in air volumes associated 
with area dimensions ranging from several meters up to about 100 meters.

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    (2) 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.
    (3) 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. The neighborhood and urban scales 
listed below have the potential to overlap in applications that concern 
secondarily formed or homogeneously distributed air pollutants.
    (4) Urban scale--Defines concentrations within an area of city-like 
dimensions, on the order of 4 to 50 kilometers. Within a city, the 
geographic placement of sources may result in there being no single site 
that can be said to represent air quality on an urban scale.
    (5) Regional scale--Defines usually a rural area of reasonably 
homogeneous geography without large sources, and extends from tens to 
hundreds of kilometers.
    (6) National and global scales--These measurement scales represent 
concentrations characterizing the nation and the globe as a whole.
    (c) Proper siting of a monitor requires specification of the 
monitoring objective, the types of sites necessary to meet the 
objective, and then the desired spatial scale of representativeness. For 
example, consider the case where the objective is to determine NAAQS 
compliance by understanding the maximum ozone concentrations for an 
area. Such areas would most likely be located downwind of a metropolitan 
area, quite likely in a suburban residential area where children and 
other susceptible individuals are likely to be outdoors. Sites located 
in these areas are most likely to represent an urban scale of 
measurement. In this example, physical location was determined by 
considering ozone precursor emission patterns, public activity, and 
meteorological characteristics affecting ozone formation and dispersion. 
Thus, spatial scale of representativeness was not used in the selection 
process but was a result of site location.
    (d) In some cases, the physical location of a site is determined 
from joint consideration of both the basic monitoring objective and the 
type of monitoring site desired, or required by this appendix. For 
example, to determine PM2.5 concentrations which are typical 
over a geographic area having relatively high PM2.5 
concentrations, a neighborhood scale site is more appropriate. Such a 
site would likely be located in a residential or commercial area having 
a high overall PM2.5 emission density but not in the 
immediate vicinity of any single dominant source. Note that in this 
example, the desired scale of representativeness was an important factor 
in determining the physical location of the monitoring site.
    (e) In either case, classification of the monitor by its type and 
spatial scale of representativeness is necessary and will aid in 
interpretation of the monitoring data for a particular monitoring 
objective (e.g., public reporting, NAAQS compliance, or research 
support).
    (f) Table D-1 of this appendix illustrates the relationship between 
the various site types that can be used to support the three basic 
monitoring objectives, and the scales of representativeness that are 
generally most appropriate for that type of site.

 Table D-1 of Appendix D to Part 58--Relationship Between Site Types and
                      Scales of Representativeness
------------------------------------------------------------------------
                 Site type                    Appropriate siting scales
------------------------------------------------------------------------
1. Highest concentration..................  Micro, middle, neighborhood
                                             (sometimes urban or
                                             regional for secondarily
                                             formed pollutants).
2. Population oriented....................  Neighborhood, urban.
3. Source impact..........................  Micro, middle, neighborhood.
4. General/background & regional transport  Urban, regional.
5. Welfare-related impacts................  Urban, regional.
------------------------------------------------------------------------

                   2. General Monitoring Requirements

    (a) The National ambient air monitoring system includes several 
types of monitoring stations, each targeting a key data collection need 
and each varying in technical sophistication.
    (b) Research grade sites are platforms for scientific studies, 
either involved with health or welfare impacts, measurement methods 
development, or other atmospheric studies. These sites may be 
collaborative efforts between regulatory agencies and researchers with 
specific scientific objectives for each. Data from these sites might be 
collected with both traditional and experimental techniques, and data 
collection might involve specific laboratory analyses not common in 
routine measurement programs. The research grade sites are not required 
by regulation; however, they are included here due to their important 
role in supporting the air quality management program.
    (c) The NCore multipollutant sites are sites that measure multiple 
pollutants in order to provide support to integrated air quality 
management data needs. NCore sites include both neighborhood and urban 
scale measurements in general, in a selection of metropolitan areas and 
a limited number of more rural locations. Continuous monitoring methods 
are to be used at the NCore sites when available for a pollutant to be 
measured, as it is important to have data collected over common time 
periods for integrated analyses. NCore multipollutant sites are intended 
to be long-term sites useful for

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a variety of applications including air quality trends analyses, model 
evaluation, and tracking metropolitan area statistics. As such, the 
NCore sites should be placed away from direct emission sources that 
could substantially impact the ability to detect area-wide 
concentrations. The Administrator must approve the NCore sites.
    (d) Monitoring sites designated as SLAMS sites, but not as NCore 
sites, are intended to address specific air quality management 
interests, and as such, are frequently single-pollutant measurement 
sites. The EPA Regional Administrator must approve the SLAMS sites.
    (e) This appendix uses the statistical-based definitions for 
metropolitan areas provided by the Office of Management and Budget and 
the Census Bureau. These areas are referred to as metropolitan 
statistical areas (MSA), micropolitan statistical areas, core-based 
statistical areas (CBSA), and combined statistical areas (CSA). A CBSA 
associated with at least one urbanized area of 50,000 population or 
greater is termed a Metropolitan Statistical Area (MSA). A CBSA 
associated with at least one urbanized cluster of at least 10,000 
population or greater is termed a Micropolitan Statistical Area. CSA 
consist of two or more adjacent CBSA. In this appendix, the term MSA is 
used to refer to a Metropolitan Statistical Area. By definition, both 
MSA and CSA have a high degree of integration; however, many such areas 
cross State or other political boundaries. MSA and CSA may also cross 
more than one air shed. The EPA recognizes that State or local agencies 
must consider MSA/CSA boundaries and their own political boundaries and 
geographical characteristics in designing their air monitoring networks. 
The EPA recognizes that there may be situations where the EPA Regional 
Administrator and the affected State or local agencies may need to 
augment or to divide the overall MSA/CSA monitoring responsibilities and 
requirements among these various agencies to achieve an effective 
network design. Full monitoring requirements apply separately to each 
affected State or local agency in the absence of an agreement between 
the affected agencies and the EPA Regional Administrator.

                   3. Design Criteria for NCore Sites

    (a) Each State (i.e. the fifty States, District of Columbia, Puerto 
Rico, and the Virgin Islands) is required to operate at least one NCore 
site. States may delegate this requirement to a local agency. States 
with many MSAs often also have multiple air sheds with unique 
characteristics and, often, elevated air pollution. These States 
include, at a minimum, California, Florida, Illinois, Michigan, New 
York, North Carolina, Ohio, Pennsylvania, and Texas. These States are 
required to identify one to two additional NCore sites in order to 
account for their unique situations. These additional sites shall be 
located to avoid proximity to large emission sources. Any State or local 
agency can propose additional candidate NCore sites or modifications to 
these requirements for approval by the Administrator. The NCore 
locations should be leveraged with other multipollutant air monitoring 
sites including PAMS sites, National Air Toxics Trends Stations (NATTS) 
sites, CASTNET sites, and STN sites. Site leveraging includes using the 
same monitoring platform and equipment to meet the objectives of the 
variety of programs where possible and advantageous.
    (b) The NCore sites must measure, at a minimum, PM2.5 
particle mass using continuous and integrated/filter-based samplers, 
speciated PM2.5, PM10-2.5 particle mass, speciated 
PM10-2.5, O3, SO2, CO, NO/
NOy, wind speed, wind direction, relative humidity, and 
ambient temperature.
    (1) Although the measurement of NOy is required in 
support of a number of monitoring objectives, available commercial 
instruments may indicate little difference in their measurement of 
NOy compared to the conventional measurement of 
NOX, particularly in areas with relatively fresh sources of 
nitrogen emissions. Therefore, in areas with negligible expected 
difference between NOy and NOX measured 
concentrations, the Administrator may allow for waivers that permit 
NOX monitoring to be substituted for the required 
NOy monitoring at applicable NCore sites.
    (2) EPA recognizes that, in some cases, the physical location of the 
NCore site may not be suitable for representative meteorological 
measurements due to the site's physical surroundings. It is also 
possible that nearby meteorological measurements may be able to fulfill 
this data need. In these cases, the requirement for meteorological 
monitoring can be waived by the Administrator.
    (c) In addition to the continuous measurements listed above, 10 of 
the NCore locations must also measure lead (Pb) either at the same sites 
or elsewhere within the MSA/CSA boundary. These ten Pb sites are 
included within the NCore networks because they are intended to be long-
term in operation, and not impacted directly from a single Pb source. 
These locations for Pb monitoring must be located in the most populated 
MSA/CSA in each of the 10 EPA Regions. Alternatively, it is also 
acceptable to use the Pb concentration data provided at urban air toxics 
sites. In approving any substitutions, the Administrator must consider 
whether these alternative sites are suitable for collecting long-term 
lead trends data for the broader area.
    (d) Siting criteria are provided for urban and rural locations. 
Sites with significant historical records that do not meet siting

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criteria may be approved as NCore by the Administrator. Sites with the 
suite of NCore measurements that are explicitly designed for other 
monitoring objectives are exempt from these siting criteria (e.g., a 
near-roadway site).
    (1) Urban NCore stations are to be generally located at urban or 
neighborhood scale to provide representative concentrations of exposure 
expected throughout the metropolitan area; however, a middle-scale site 
may be acceptable in cases where the site can represent many such 
locations throughout a metropolitan area.
    (2) Rural NCore stations are to be located to the maximum extent 
practicable at a regional or larger scale away from any large local 
emission source, so that they represent ambient concentrations over an 
extensive area.

          4. Pollutant-Specific Design Criteria for SLAMS Sites

    4.1 Ozone (O3) Design Criteria. (a) State, and where 
appropriate, local agencies must operate O3 sites for various 
locations depending upon area size (in terms of population and 
geographic characteristics) and typical peak concentrations (expressed 
in percentages below, or near the O3 NAAQS). Specific SLAMS 
O3 site minimum requirements are included in Table D-2 of 
this appendix. The NCore sites are expected to complement the 
O3 data collection that takes place at single-pollutant SLAMS 
sites, and both types of sites can be used to meet the network minimum 
requirements. The total number of O3 sites needed to support 
the basic monitoring objectives of public data reporting, air quality 
mapping, compliance, and understanding O3-related atmospheric 
processes will include more sites than these minimum numbers required in 
Table D-2 of this appendix. The EPA Regional Administrator and the 
responsible State or local air monitoring agency must work together to 
design and/or maintain the most appropriate O3 network to 
service the variety of data needs in an area.

     Table D-2 of Appendix D to Part 58--SLAMS Minimum O3 Monitoring
                              Requirements
------------------------------------------------------------------------
                                  Most recent 3-year  Most recent 3-year
                                     design value        design value
       MSA population1, 2         concentrations =85% of any    <85% of any O3
                                     O3 NAAQS \3\          NAAQS3, 4
------------------------------------------------------------------------
10 million...........                  4                   2
4-10 million....................                  3                   1
350,000-<4 million..............                  2                   1
50,000-<350,000 \5\.............                  1                   0
------------------------------------------------------------------------
\1\ Minimum monitoring requirements apply to the Metropolitan
  statistical area (MSA).
\2\ Population based on latest available census figures.
\3\ The ozone (O3) National Ambient Air Quality Standards (NAAQS) levels
  and forms are defined in 40 CFR part 50.
\4\ These minimum monitoring requirements apply in the absence of a
  design value.
\5\ Metropolitan statistical areas (MSA) must contain an urbanized area
  of 50,000 or more population.

    (b) Within an O3 network, at least one O3 site 
for each MSA, or CSA if multiple MSAs are involved, must be designed to 
record the maximum concentration for that particular metropolitan area. 
More than one maximum concentration site may be necessary in some areas. 
Table D-2 of this appendix does not account for the full breadth of 
additional factors that would be considered in designing a complete 
O3 monitoring program for an area. Some of these additional 
factors include geographic size, population density, complexity of 
terrain and meteorology, adjacent O3 monitoring programs, air 
pollution transport from neighboring areas, and measured air quality in 
comparison to all forms of the O3 NAAQS (i.e., 8-hour and 1-
hour forms). Networks must be designed to account for all of these area 
characteristics. Network designs must be re-examined in periodic network 
assessments. Deviations from the above O3 requirements are 
allowed if approved by the EPA Regional Administrator.
    (c) The appropriate spatial scales for O3 sites are 
neighborhood, urban, and regional. Since O3 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.
    (1) Neighborhood scale--Measurements in this category represent 
conditions throughout some reasonably homogeneous urban sub-region, 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. These data 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 site located in the 
neighborhood scale may also experience peak concentration levels within 
a metropolitan area.
    (2) 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 sites would also be used to measure high concentrations 
downwind of the area having the highest precursor emissions.
    (3) 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 O3

[[Page 254]]

that is transported to and from a metropolitan area, as well as 
background concentrations. In some situations, particularly when 
considering very large metropolitan areas with complex source mixtures, 
regional scale sites can be the maximum concentration location.
    (d) EPA's technical guidance documents on O3 monitoring 
network design should be used to evaluate the adequacy of each existing 
O3 monitor, to relocate an existing site, or to locate any 
new O3 sites.
    (e) For locating a neighborhood scale site 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 site 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 meteorological conditions 
that occur during periods of maximum photochemical activity should be 
determined. These periods can be identified by examining the 
meteorological conditions that occur on the highest O3 air 
quality days. Trajectory analyses, an evaluation of wind and emission 
patterns on high O3 days, can also be useful in evaluating an 
O3 monitoring network. In areas without any previous 
O3 air quality measurements, meteorological and O3 
precursor emissions information would be useful.
    (f) Once the meteorological and air quality data are reviewed, the 
prospective maximum concentration monitor site should be selected in a 
direction from the city that is most likely to observe the highest 
O3 concentrations, more specifically, downwind during periods 
of photochemical activity. In many cases, these maximum concentration 
O3 sites will be located 10 to 30 miles or more downwind from 
the urban area where maximum O3 precursor emissions 
originate. The downwind direction and appropriate distance should be 
determined from historical meteorological data collected on days which 
show the potential for producing high O3 levels. Monitoring 
agencies are to consult with their EPA Regional Office when considering 
siting a maximum O3 concentration site.
    (g) In locating a neighborhood scale site which is to measure high 
concentrations, the same procedures used for the urban scale are 
followed except that the site should be located closer to the areas 
bordering on the center city or slightly further downwind in an area of 
high density population.
    (h) For regional scale background monitoring sites, similar 
meteorological analysis as for the maximum concentration sites may also 
inform the decisions for locating regional scale sites. Regional scale 
sites may be located to provide data on O3 transport between 
cities, as background sites, or for other data collection purposes. 
Consideration of both area characteristics, such as meteorology, and the 
data collection objectives, such as transport, must be jointly 
considered for a regional scale site to be useful.
    (i) Since O3 levels decrease significantly in the colder 
parts of the year in many areas, O3 is required to be 
monitored at SLAMS monitoring sites only during the ``ozone season'' as 
designated in the AQS files on a State-by-State basis and described 
below in Table D-3 of this appendix. Deviations from the O3 
monitoring season must be approved by the EPA Regional Administrator, 
documented within the annual monitoring network plan, and updated in 
AQS. Information on how to analyze O3 data to support a 
change to the O3 season in support of the 8-hour standard for 
a specific State can be found in reference 8 to this appendix.

  Table D-3 to Appendix D of Part 58--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...........................  May...............  September
Illinois........................  April.............  October
Indiana.........................  April.............  September
Iowa............................  April.............  October
Kansas..........................  April.............  October
Kentucky........................  March.............  October
Louisiana AQCR 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 106,153, 213, 214,     January...........  December
 216.

[[Page 255]]

 
Texas AQCR 022, 210, 211, 212,    March.............  October
 215, 217, 218.
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
------------------------------------------------------------------------

    4.2 Carbon Monoxide (CO) Design Criteria. (a) There are no minimum 
requirements for the number of CO monitoring sites. Continued operation 
of existing SLAMS CO sites using FRM or FEM is required until 
discontinuation is approved by the EPA Regional Administrator. Where 
SLAMS CO monitoring is ongoing, at least one site must be a maximum 
concentration site for that area under investigation.
    (b) Microscale and middle scale measurements are useful site 
classifications for SLAMS sites since most people have the potential for 
exposure on these scales. Carbon monoxide maxima occur primarily in 
areas near major roadways and intersections with high traffic density 
and often poor atmospheric ventilation.
    (1) Microscale--This scale applies when air quality measurements are 
to be used to represent distributions within street canyons, over 
sidewalks, and near major roadways. In the case with carbon monoxide, 
microscale measurements in one location can often be considered as 
representative of other similar locations in a city.
    (2) Middle scale--Middle scale measurements are intended to 
represent areas with dimensions from 100 meters to 0.5 kilometer. In 
certain cases, middle scale measurements may apply to areas that have a 
total length of several kilometers, such as ``line'' emission source 
areas. This type of emission sources areas would include air quality 
along a commercially developed street or shopping plaza, freeway 
corridors, parking lots and feeder streets.
    (c) After the spatial scale and type of site has been determined to 
meet the monitoring objective for each location, the technical guidance 
in reference 2 of this appendix should be used to evaluate the adequacy 
of each existing CO site and must be used to relocate an existing site 
or to locate any new sites.
    4.3 Nitrogen Dioxide (NO2) Design Criteria. (a) There are 
no minimum requirements for the number of NO2 monitoring 
sites. Continued operation of existing SLAMS NO2 sites using 
FRM or FEM is required until discontinuation is approved by the EPA 
Regional Administrator. Where SLAMS NO2 monitoring is 
ongoing, at least one NO2 site in the area must be located to 
measure the maximum concentration of NO2.
    (b) NO/NOy measurements are included within the NCore 
multipollutant site requirements and the PAMS program. These NO/
NOy measurements will produce conservative estimates for 
NO2 that can be used to ensure tracking continued compliance 
with the NO2 NAAQS. NO/NOy monitors are used at 
these sites because it is important to collect data on total reactive 
nitrogen species for understanding O3 photochemistry.
    4.4 Sulfur Dioxide (SO2) Design Criteria. (a) There are 
no minimum requirements for the number of SO2 monitoring 
sites. Continued operation of existing SLAMS SO2 sites using 
FRM or FEM is required until discontinuation is approved by the EPA 
Regional Administrator. Where SLAMS SO2 monitoring is 
ongoing, at least one of the SLAMS SO2 sites must be a 
maximum concentration site for that specific area.
    (b) The appropriate spatial scales for SO2 SLAMS 
monitoring are the microscale, middle, and possibly neighborhood scales. 
The multi-pollutant NCore sites can provide for metropolitan area trends 
analyses and general control strategy progress tracking. Other SLAMS 
sites are expected to provide data that are useful in specific 
compliance actions, for maintenance plan agreements, or for measuring 
near specific stationary sources of SO2.
    (1) Micro and middle scale--Some data uses associated with 
microscale and middle scale measurements for SO2 include 
assessing the effects of control strategies to reduce concentrations 
(especially for the 3-hour and 24-hour averaging times) and monitoring 
air pollution episodes.
    (2) Neighborhood scale--This scale applies where there is a need to 
collect air quality data as part of an ongoing SO2 stationary 
source impact investigation. Typical locations might include suburban 
areas adjacent to SO2 stationary sources for example, or for 
determining background concentrations as part of these studies of 
population responses to exposure to SO2.
    (c) Technical guidance in reference 1 of this appendix should be 
used to evaluate the adequacy of each existing SO2 site, to 
relocate an existing site, or to locate new sites.
    4.5 Lead (Pb) Design Criteria. (a) State, and where appropriate, 
local agencies are required to conduct Pb monitoring for all areas where 
Pb levels have been shown or are expected to be of concern over the most 
recent 2 years. As a minimum, there must be two SLAMS sites in any area 
where Pb concentrations currently exceed or have exceeded the Pb NAAQS 
in the most recent 2 years,

[[Page 256]]

and at least one of these two required sites must be a maximum 
concentration site. Where the Pb air quality violations are widespread 
or the emissions density, topography, or population locations are 
complex and varied, the EPA Regional Administrator may require more than 
two Pb ambient air monitoring sites.
    (b) The most important spatial scales to effectively characterize 
the emissions from point sources are the micro, middle, and neighborhood 
scales.
    (1) 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 sites 
provide information for evaluating and developing ``hot-spot'' control 
measures.
    (2) 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 3 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.
    (3) 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. Sites 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.
    (c) Technical guidance is found in references 4 and 5 of this 
appendix. These documents provide additional guidance on locating sites 
to meet specific urban area monitoring objectives and should be used in 
locating new sites or evaluating the adequacy of existing sites.
    4.6 Particulate Matter (PM10) Design Criteria. 
(a) Table D-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 D-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. Modifications 
from these PM10 monitoring requirements must be approved by 
the Regional Administrator.

  Table D-4 of Appendix D to Part 58--PM10 Minimum Monitoring Requirements (Approximate Number of Stations Per
                                                    MSA) \1\
----------------------------------------------------------------------------------------------------------------
                                                      High concentration        Medium         Low concentration
                 Population category                          \2\          concentration \3\         \4,5\
----------------------------------------------------------------------------------------------------------------
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 numbers 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 the
  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.
\5\ These minimum monitoring requirements apply in the absence of a design value.

    (b) Although microscale monitoring may be appropriate in some 
circumstances, the most important spatial scales to effectively 
characterize the emissions of PM10 from both mobile and 
stationary sources are the middle scales and neighborhood scales.
    (1) Microscale--This scale would typify areas such as downtown 
street canyons, traffic corridors, and fence line stationary

[[Page 257]]

source monitoring locations where the general public could be exposed to 
maximum PM10 concentrations. 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 
sites provide information for evaluating and developing hot spot control 
measures.
    (2) Middle scale--Much of the short-term public exposure to coarse 
fraction particles (PM10) is on this scale and on the 
neighborhood scale. People moving through downtown areas or living near 
major roadways or stationary sources, may encounter particulate 
pollution that would be adequately characterized by measurements of this 
spatial scale. Middle scale PM10 measurements can be 
appropriate for the evaluation of possible short-term exposure public 
health effects. 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 seldomly swept 
parking lots associated with these sources could be an important source 
in addition to the vehicular emissions themselves.
    (3) Neighborhood scale--Measurements in this category represent 
conditions throughout some reasonably homogeneous urban sub-region 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. 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. Neighborhood scale PM10 sites provide information 
about trends and compliance with standards because they often represent 
conditions in areas where people commonly live and work for extended 
periods. 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.
    4.7 Fine Particulate Matter (PM2.5) Design Criteria.
    4.7.1 General Requirements. (a) State, and where applicable local, 
agencies must operate the minimum number of required PM2.5 
SLAMS sites listed in Table D-5 of this appendix. The NCore sites are 
expected to complement the PM2.5 data collection that takes 
place at non-NCore SLAMS sites, and both types of sites can be used to 
meet the minimum PM2.5 network requirements. Deviations from 
these PM2.5 monitoring requirements must be approved by the 
EPA Regional Administrator.

      Table D-5 of Appendix D to Part 58--PM2.5 Minimum Monitoring
                              Requirements
------------------------------------------------------------------------
                                  Most recent 3-year
                                   design value =85% of any   design value <85%
                                    PM2.5 NAAQS \3\   of any PM2.5 NAAQS
                                                           \3\, \4\
------------------------------------------------------------------------
1,000,000............                  3                   2
500,000-1,000,000...............                  2                   1
50,000-<500,000 \5\.............                  1                  0
------------------------------------------------------------------------
\1\ Minimum monitoring requirements apply to the Metropolitan
  statistical area (MSA).
\2\ Population based on latest available census figures.
\3\ The PM2.5 National Ambient Air Quality Standards (NAAQS) levels and
  forms are defined in 40 CFR part 50.
\4\ These minimum monitoring requirements apply in the absence of a
  design value.
\5\ Metropolitan statistical areas (MSA) must contain an urbanized area
  of 50,000 or more population.

    (b) Specific Design Criteria for PM2.5. The required 
monitoring stations or sites must be sited to represent community-wide 
air quality. These sites can include sites collocated at PAMS. These 
monitoring stations will typically be at neighborhood or urban-scale; 
however, in certain instances where population-oriented micro-or middle-
scale PM2.5 monitoring are determined by the Regional 
Administrator to represent many such locations throughout a metropolitan 
area, these smaller scales can be considered to represent community-wide 
air quality.
    (1) At least one monitoring station is to be sited in a population-
oriented area of expected maximum concentration.
    (2) For areas with more than one required SLAMS, a monitoring 
station is to be sited in an area of poor air quality.
    (3) Additional technical guidance for siting PM2.5 
monitors is provided in references 6 and 7 of this appendix.
    (c) The most important spatial scale to effectively characterize the 
emissions of particulate matter from both mobile and stationary sources 
is the neighborhood scale for

[[Page 258]]

PM2.5. For purposes of establishing monitoring sites to 
represent large homogenous areas other than the above scales of 
representativeness and to characterize regional transport, urban or 
regional scale sites would also be needed. Most PM2.5 
monitoring in urban areas should be representative of a neighborhood 
scale.
    (1) 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 sites; 
community-oriented SLAMS sites measured at the microscale level 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 sites 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 SPM.
    (2) Middle scale--People moving through downtown areas, or living 
near major roadways, encounter particle concentrations that would be 
adequately characterized by 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 microscale 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 number 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.
    (3) Neighborhood scale--Measurements in this category would 
represent conditions throughout some reasonably homogeneous urban sub-
region 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 the 
immediate neighborhood as well as neighborhoods of the same type in 
other parts of the city. PM2.5 sites 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.
    (4) Urban scale--This class of measurement would be used to 
characterize the particulate matter concentration over an entire 
metropolitan or rural area ranging in size from 4 to 50 kilometers. Such 
measurements would be useful for assessing trends in area-wide air 
quality, and hence, the effectiveness of large scale air pollution 
control strategies. Community-oriented PM2.5 sites may have 
this scale.
    (5) 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. Data 
characteristics of this scale would provide information about larger 
scale processes of particulate matter emissions, losses and transport. 
PM2.5 transport contributes to elevated 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 O3 and regional haze.
    4.7.2 Requirement for Continuous PM2.5 Monitoring. The 
State, or where appropriate, local agencies must operate continuous 
PM2.5 analyzers equal to at least one-half (round up) the 
minimum required sites listed in Table D-5 of this appendix. At least 
one required continuous analyzer in each MSA must be collocated with one 
of the required FRM/FEM/ARM monitors, unless at least one of the 
required FRM/FEM/ARM monitors is itself a continuous FEM or ARM monitor 
in which case no collocation requirement applies. State and local air 
monitoring agencies must use methodologies and quality assurance/quality 
control (QA/QC) procedures

[[Page 259]]

approved by the EPA Regional Administrator for these required continuous 
analyzers.
    4.7.3 Requirement for PM2.5 Background and Transport 
Sites. Each State shall install and operate at least one 
PM2.5 site to monitor for regional background and at least 
one PM2.5 site to monitor regional transport. These 
monitoring sites may be at community-oriented sites and this requirement 
may be satisfied by a corresponding monitor in an area having similar 
air quality in another State. State and local air monitoring agencies 
must use methodologies and QA/QC procedures approved by the EPA Regional 
Administrator for these sites. Methods used at these sites may include 
non-federal reference method samplers such as IMPROVE or continuous 
PM2.5 monitors.
    4.7.4 PM2.5 Chemical Speciation Site Requirements. Each 
State shall continue to conduct chemical speciation monitoring and 
analyses at sites designated to be part of the PM2.5 
Speciation Trends Network (STN). The selection and modification of these 
STN sites must be approved by the Administrator. The PM2.5 
chemical speciation urban trends sites shall include analysis for 
elements, selected anions and cations, and carbon. Samples must be 
collected using the monitoring methods and the sampling schedules 
approved by the Administrator. Chemical speciation is encouraged at 
additional sites where the chemically resolved data would be useful in 
developing State implementation plans and supporting atmospheric or 
health effects related studies.
    4.7.5 Special Network Considerations Required When Using 
PM2.5 Spatial Averaging Approaches. (a) The PM2.5 
NAAQS, specified in 40 CFR part 50, provides State and local air 
monitoring agencies with an option for spatially averaging 
PM2.5 air quality data. More specifically, two or more 
community-oriented (i.e., sites in populated areas) PM2.5 
monitors may be averaged for comparison with the annual PM2.5 
NAAQS. This averaging approach is directly related to epidemiological 
studies used as the basis for the PM2.5 annual NAAQS. Spatial 
averaging does not apply to comparisons with the daily PM2.5 
NAAQS.
    (b) State and local agencies must carefully consider their approach 
for PM2.5 network design when they intend to spatially 
average the data for compliance purposes. These State and local air 
monitoring agencies must define the area over which they intend to 
average PM2.5 air quality concentrations. This area is 
defined as a Community Monitoring Zone (CMZ), which characterizes an 
area of relatively similar annual average air quality. State and local 
agencies can define a CMZ in a number of ways, including as part or all 
of a metropolitan area. These CMZ must be defined within a State or 
local agencies network description, as required in Sec. 58.10 of this 
part and approved by the EPA Regional Administrator. When more than one 
CMZ is described within an agency's network design plan, CMZs must not 
overlap in their geographical coverage. The criteria that must be used 
for evaluating the acceptability of spatial averaging are defined in 
appendix N to 40 CFR part 50.
    4.8 Coarse Particulate Matter (PM10-2.5) Design Criteria.
    4.8.1 General Monitoring Requirements. (a) The only required 
monitors for PM10-2.5 are those required at NCore Stations.
    (b) Although microscale monitoring may be appropriate in some 
circumstances, middle and neighborhood scale measurements are the most 
important station classifications for PM10-2.5 to assess the 
variation in coarse particle concentrations that would be expected 
across populated areas that are in proximity to large emissions sources.
    (1) Microscale--This scale would typify relatively small areas 
immediately adjacent to: Industrial sources; locations experiencing 
ongoing construction, redevelopment, and soil disturbance; and heavily 
traveled roadways. Data collected at microscale stations would 
characterize exposure over areas of limited spatial extent and 
population exposure, and may provide information useful for evaluating 
and developing source-oriented control measures.
    (2) Middle scale--People living or working near major roadways or 
industrial districts encounter particle concentrations that would be 
adequately characterized by this spatial scale. Thus, measurements of 
this type would be appropriate for the evaluation of public health 
effects of coarse particle exposure. Monitors located in populated areas 
that are nearly adjacent to large industrial point sources of coarse 
particles provide suitable locations for assessing maximum population 
exposure levels and identifying areas of potentially poor air quality. 
Similarly, monitors located in populated areas that border dense 
networks of heavily-traveled traffic are appropriate for assessing the 
impacts of resuspended road dust. This scale also includes the 
characteristic concentrations for other areas with dimensions of a few 
hundred meters such as school grounds and parks that are nearly adjacent 
to major roadways and industrial point sources, locations exhibiting 
mixed residential and commercial development, and downtown areas 
featuring office buildings, shopping centers, and stadiums.
    (3) Neighborhood scale--Measurements in this category would 
represent conditions throughout some reasonably homogeneous urban sub-
region 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. This category includes

[[Page 260]]

suburban neighborhoods dominated by residences that are somewhat distant 
from major roadways and industrial districts but still impacted by urban 
sources, and areas of diverse land use where residences are interspersed 
with commercial and industrial neighborhoods. In some cases, a location 
carefully chosen to provide neighborhood scale data would represent the 
immediate neighborhood as well as neighborhoods of the same type in 
other parts of the city. The comparison of data from middle scale and 
neighborhood scale sites would provide valuable information for 
determining the variation of PM10-2.5 levels across urban 
areas and assessing the spatial extent of elevated concentrations caused 
by major industrial point sources and heavily traveled roadways. 
Neighborhood scale sites would provide concentration data that are 
relevant to informing a large segment of the population of their 
exposure levels on a given day.
    4.8.2 PM10-2.5 Chemical Speciation Site Requirements. 
PM10-2.5 chemical speciation monitoring and analyses is 
required at NCore sites. The selection and modification of these sites 
must be approved by the Administrator. Samples must be collected using 
the monitoring methods and the sampling schedules approved by the 
Administrator.

   5. Network Design for Photochemical Assessment Monitoring Stations 
                                 (PAMS)

    The PAMS program provides more comprehensive data on O3 
air pollution in areas classified as serious, severe, or extreme 
nonattainment for O3 than would otherwise be achieved through 
the NCore and SLAMS sites. More specifically, the PAMS program includes 
measurements for O3, oxides of nitrogen, VOC, and 
meteorology.
    5.1 PAMS Monitoring Objectives. PAMS design criteria are site 
specific. Concurrent measurements of O3, oxides of nitrogen, 
speciated VOC, CO, and meteorology are obtained at PAMS sites. Design 
criteria for the PAMS network are based on 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, and the photochemical 
processes related to O3 nonattainment. Specific objectives 
that must be addressed include assessing ambient trends in 
O3, oxides of nitrogen, VOC species, and determining spatial 
and diurnal variability of O3, oxides of nitrogen, and VOC 
species. Specific monitoring objectives associated with each of these 
sites may result in four distinct site types. Detailed guidance for the 
locating of these sites may be found in reference 9 of this appendix.
    (a) 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 transport.
    (b) 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.
    (c) Type 3 sites are intended to monitor maximum O3 
concentrations occurring downwind from the area of maximum precursor 
emissions.
    (d) Type 4 sites are established to characterize the 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.
    5.2 Monitoring Period. PAMS precursor monitoring must be conducted 
annually throughout the months of June, July and August (as a minimum) 
when peak O3 values are expected in each area. Alternate 
precursor monitoring periods may be submitted for approval to the 
Administrator as a part of the annual monitoring network plan required 
by Sec. 58.10.
    5.3 Minimum Monitoring Network Requirements. A Type 2 site is 
required for each area. Overall, only two sites are required for each 
area, providing all chemical measurements are made. For example, if a 
design includes two Type 2 sites, then a third site will be necessary to 
capture the NOy measurement. The minimum required number and 
type of monitoring sites and sampling requirements are listed in Table 
D-6 of this appendix. Any alternative plans may be put in place in lieu 
of these requirements, if approved by the Administrator.

  Table D-6 of Appendix D to Part 58--Minimum Required PAMS Monitoring
                        Locations and Frequencies
------------------------------------------------------------------------
                                                     Sampling frequency
                                                   (all daily except for
        Measurement             Where required           upper air
                                                      meteorology) \1\
------------------------------------------------------------------------
Speciated VOC\2\..........  Two sites per area,    During the PAMS
                             one of which must be   monitoring period:
                             a Type 2 site.         (1) Hourly auto GC,
                                                    or (2) Eight 3-hour
                                                    canisters, or (3) 1
                                                    morning and 1
                                                    afternoon canister
                                                    with a 3-hour or
                                                    less averaging time
                                                    plus Continuous
                                                    Total Non-methane
                                                    Hydrocarbon
                                                    measurement.

[[Page 261]]

 
Carbonyl sampling.........  Type 2 site in areas   3-hour samples every
                             classified as          day during the PAMS
                             serious or above for   monitoring period.
                             the 8-hour ozone
                             standard.
NOX.......................  All Type 2 sites.....  Hourly during the
                                                    ozone monitoring
                                                    season.\3\
NOy.......................  One site per area at   Hourly during the
                             the Type 3 or Type 1   ozone monitoring
                             site.                  season.
CO (ppb level)............  One site per area at   Hourly during the
                             a Type 2 site.         ozone monitoring
                                                    season.
Ozone.....................  All sites............  Hourly during the
                                                    ozone monitoring
                                                    season.
Surface met...............  All sites............  Hourly during the
                                                    ozone monitoring
                                                    season.
Upper air meteorology.....  One representative     Sampling frequency
                             location within PAMS   must be approved as
                             area.                  part of the annual
                                                    monitoring network
                                                    plan required in 40
                                                    CFR 58.10.
------------------------------------------------------------------------
\1\ Daily or with an approved alternative plan.
\2\ Speciated VOC is defined in the ``Technical Assistance Document for
  Sampling and Analysis of Ozone Precursors'', EPA/600-R-98/161,
  September 1998.
\3\ Approved ozone monitoring season as stipulated in Table D-3 of this
  appendix.

    5.4 Transition Period. A transition period is allowed for phasing in 
the operation of newly required PAMS programs (due generally to 
reclassification of an area into serious, severe, or extreme 
nonattainment for ozone). Following the date of redesignation or 
reclassification of any existing O3 nonattainment area to 
serious, severe, or extreme, or the designation of a new area and 
classification to serious, severe, or extreme O3 
nonattainment, a State is allowed 1 year to develop plans for its PAMS 
implementation strategy. Subsequently, a minimum of one Type 2 site must 
be operating by the first month of the following approved PAMS season. 
Operation of the remaining site(s) 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.

                              6. References

    1. 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.
    2. Ludwig, F.F., J.H.S. Kealoha, and E. Shelar. 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.
    3. Air Quality Criteria for Lead. Office of Research and 
Development, U.S. Environmental Protection Agency, Washington D.C. EPA 
Publication No. 600/8-89-049F. August 1990. (NTIS document numbers PB87-
142378 and PB91-138420.)
    4. 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.
    5. 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.
    6. 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.
    7. 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. EPA-454/R-
99-022, December 1997.
    8. Guideline for Selecting and Modifying the Ozone Monitoring Season 
Based on an 8-Hour Ozone Standard. Prepared for U.S. Environmental 
Protection Agency, RTP, NC. EPA-454/R-98-001, June 1998.
    9. Photochemical Assessment Monitoring Stations Implementation 
Manual. Office of Air Quality Planning and Standards, U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA-454/B-93-051. March 
1994.

[71 FR 61316, Oct. 17, 2006, as amended at 72 FR 32211, June 12, 2007]



Sec. Appendix E to Part 58--Probe and Monitoring Path Siting Criteria 
                   for Ambient Air Quality Monitoring

1. Introduction.
2. Horizontal and Vertical Placement.
3. Spacing from Minor Sources.
4. Spacing From Obstructions.
5. Spacing From Trees.
6. Spacing From Roadways.

[[Page 262]]

7. Cumulative Interferences on a Monitoring Path.
8. Maximum Monitoring Path Length.
9. Probe Material and Pollutant Sample Residence Time.
10. Waiver Provisions.
11. Summary.
12. References.

                             1. Introduction

    (a) This appendix contains specific location criteria applicable to 
SLAMS, NCore, and PAMS ambient air quality monitoring probes, inlets, 
and optical paths after the general location has been selected based on 
the monitoring objectives and spatial scale of representation discussed 
in appendix D to this part. Adherence to these siting criteria is 
necessary to ensure the uniform collection of compatible and comparable 
air quality data.
    (b) The probe and monitoring path siting criteria discussed in this 
appendix 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 10 of this appendix.
    (c) 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. Horizontal and Vertical Placement

    The probe or at least 80 percent of the monitoring path must be 
located between 2 and 15 meters above ground level for all ozone, sulfur 
dioxide and nitrogen dioxide monitoring sites, and for neighborhood 
scale Pb, PM10, PM10-2.5, PM2.5, and 
carbon monoxide sites. Middle scale PM10-2.5 sites are 
required to have sampler inlets between 2 and 7 meters above ground 
level. Microscale Pb, PM10, PM10-2.5 and 
PM2.5 sites are required to have sampler inlets between 2 and 
7 meters above ground level. The inlet probes for microscale carbon 
monoxide monitors that are being used to measure concentrations near 
roadways must be 3\1/2\ 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.

                      3. Spacing From Minor Sources

    (a) It is important to understand the monitoring objective for a 
particular location in order to interpret this particular requirement. 
Local minor sources of a primary pollutant, such as SO2, 
lead, or particles, can cause high concentrations of that particular 
pollutant at a monitoring site. If the objective for that monitoring 
site is to investigate these local primary pollutant emissions, then the 
site is likely to be properly located nearby. This type of monitoring 
site would in all likelihood be a microscale type of monitoring site. If 
a monitoring site is to be used to determine air quality over a much 
larger area, such as a neighborhood or city, a monitoring agency should 
avoid placing a monitor probe, path, or inlet near local, minor sources. 
The plume from the local minor sources should not be allowed to 
inappropriately impact the air quality data collected at a site. 
Particulate matter sites 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.
    (b) 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. 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.

                      4. Spacing From Obstructions

    (a) Buildings and other obstacles may possibly scavenge 
SO2, O3, or NO2, and can act to 
restrict airflow for any pollutant. To avoid this interference, the 
probe, inlet, or at least 90 percent of the monitoring path must have 
unrestricted airflow and be located away from obstacles. The distance 
from the obstacle to the probe, inlet, or monitoring path must be at 
least twice the height that the obstacle protrudes above the probe, 
inlet, or monitoring path. An exception to this requirement can be made 
for measurements taken in street canyons or at source-oriented

[[Page 263]]

sites where buildings and other structures are unavoidable.
    (b) 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, inlet, or monitoring 
path must have unrestricted airflow in an arc of at least 180 degrees. 
This arc must include the predominant wind direction for the season of 
greatest pollutant concentration potential. For particle sampling, a 
minimum of 2 meters of separation from walls, parapets, and structures 
is required for rooftop site placement.
    (c) Special consideration must be given to the use of open path 
analyzers due to their inherent potential sensitivity to certain types 
of interferences, or optical obstructions. 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. Transient, but significant obscuration 
of especially longer measurement paths could occur as a result of 
certain 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.

                          5. Spacing From Trees

    (a) Trees can provide surfaces for SO2, O3, or 
NO2 adsorption or reactions, and surfaces for particle 
deposition. Trees can also act as obstructions in cases where they are 
located between the air pollutant sources or source areas and the 
monitoring site, and where the trees are of a sufficient height and leaf 
canopy density to interfere with the normal airflow around the probe, 
inlet, or monitoring path. To reduce this possible interference/
obstruction, the probe, inlet, or at least 90 percent of the monitoring 
path must be at least 10 meters or further from the drip line of trees.
    (b) The scavenging effect of trees is greater for O3 than 
for other criteria pollutants. Monitoring agencies must take steps to 
consider the impact of trees on ozone monitoring sites and take steps to 
avoid this problem.
    (c) For microscale sites of any air pollutant, no trees or shrubs 
should be located between the probe and the source under investigation, 
such as a roadway or a stationary source.

                        6. Spacing From Roadways

    6.1 Spacing for Ozone and Oxide of Nitrogen Probes and Monitoring 
Paths. 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 E-1 of this appendix provides the 
required minimum separation distances between a roadway and a probe or, 
where applicable, at least 90 percent of a monitoring path for various 
ranges of daily roadway traffic. A sampling site having a point analyzer 
probe located closer to a roadway than allowed by the Table E-1 
requirements should be classified as middle scale rather than 
neighborhood or urban scale, since the measurements from such a site 
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 E-1 of this appendix. The 
sum of these distances must not be greater than 10 percent of the total 
monitoring path length.

 Table E-1 to Appendix E of Part 58--Minimum Separation Distance Between
 Roadways and Probes or Monitoring Paths for Monitoring Neighborhood and
    Urban Scale Ozone (O3) and Oxides of Nitrogen (NO, NO2, NOX, NOy)
------------------------------------------------------------------------
                                              Minimum         Minimum
 Roadway average daily traffic, vehicles   distance \1\    distance 1, 2
                 per day                     (meters)        (meters)
------------------------------------------------------------------------
<=1,000.................................              10              10

[[Page 264]]

 
10,000..................................              10              20
15,000..................................              20              30
20,000..................................              30              40
40,000..................................              50              60
70,000..................................             100             100
=110,000.....................             250            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\ Applicable for ozone monitors whose placement has not already been
  approved as of December 18, 2006.

    6.2 Spacing for Carbon Monoxide Probes and Monitoring Paths. (a) 
Street canyon and traffic corridor sites (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 sites, 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.
    (b) 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.
    (c) In determining the minimum separation between a neighborhood 
scale monitoring site and a specific roadway, 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 E-2 of this appendix 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 site would closely represent the 
middle scale. Therefore, sites not meeting this criterion should be 
classified as middle scale.

 Table E-2 to Appendix E of Part 58--Minimum Separation Distance Between
   Roadways and Probes or Monitoring Paths for Monitoring Neighborhood
                          Scale Carbon Monoxide
------------------------------------------------------------------------
                                                              Minimum
     Roadway average daily traffic, vehicles per day       distance \1\
                                                             (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.

    6.3 Spacing for Particulate Matter (PM2.5, 
PM10, Pb) Inlets. (a) 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.
    (b) The intent is to locate localized hot-spot 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 site, 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 
site, a range of acceptable distances from the roadway is shown in 
figure E-1 of this appendix. This figure also includes separation 
distances between a roadway and neighborhood or larger scale sites by 
default. Any site, 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 E-1 of this appendix, if a PM 
sampler is primarily influenced by roadway emissions and that sampler is 
set back 10 meters from a 30,000 ADT (average daily traffic) road, the 
site should be classified as microscale, if the sampler height is 
between 2 and 7 meters. If the sampler height is between 7 and 15 
meters, the site 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 265]]

[GRAPHIC] [TIFF OMITTED] TR17OC06.061

            7. Cumulative Interferences on a Monitoring Path

    (This paragraph applies only to open path analyzers.) The cumulative 
length or portion of a monitoring path that is affected by minor 
sources, trees, or roadways must not exceed 10 percent of the total 
monitoring path length.

                    8. Maximum Monitoring Path Length

    (This paragraph applies only to open path analyzers.) 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 site meets 
the objectives and spatial scales defined in appendix D to this part. 
The Regional Administrator may require shorter path lengths, as needed 
on an individual basis, to ensure that the SLAMS sites meet the appendix 
D requirements. Likewise, the Administrator may specify the maximum path 
length used at NCore monitoring sites.

          9. Probe Material and Pollutant Sample Residence Time

    (a) 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[supreg], aluminum, brass, stainless steel, copper, 
Pyrex[supreg] glass and Teflon[supreg] for use as intake sampling lines. 
Of the above materials, only Pyrex[supreg] glass and Teflon[supreg] have 
been found to be acceptable for use as intake sampling lines for all the 
reactive gaseous pollutants. Furthermore, the EPA25 has 
specified borosilicate glass or FEP Teflon[supreg] as the only 
acceptable probe materials for delivering test atmospheres in the 
determination of reference or equivalent methods. Therefore, 
borosilicate glass, FEP Teflon[supreg] or their equivalent must be the 
only material in the sampling train (from inlet probe to the back of the 
analyzer) that can be in contact with the ambient air sample for 
existing and new SLAMs.
    (b) For volatile organic compound (VOC) monitoring at PAMS, FEP 
Teflon[supreg] is unacceptable as the probe material because of VOC 
adsorption and desorption reactions on the FEP Teflon[supreg]. 
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 kept to 20 seconds or 
less.

[[Page 266]]

    (c) 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 nitrogen oxide (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 NCore must have a sample 
residence time less than 20 seconds.

                          10. Waiver Provisions

    Most sampling probes or monitors can be located so that they meet 
the requirements of this appendix. New sites with rare exceptions, can 
be located within the limits of this appendix. However, some existing 
sites may not meet these requirements and still produce useful data for 
some purposes. The EPA will consider a written request from the State 
agency to waive one or more siting criteria for some monitoring sites 
providing that the State can adequately demonstrate the need (purpose) 
for monitoring or establishing a monitoring site at that location.
    10.1 For establishing a new site, a waiver may be granted only if 
both of the following criteria are met:
    10.1.1 The site can be demonstrated to be as representative of the 
monitoring area as it would be if the siting criteria were being met.
    10.1.2 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 site the necessary distance 
from roadways or obstructions).
    10.2 However, for an existing site, a waiver may be granted if 
either of the criteria in sections 10.1.1 and 10.1.2 of this appendix 
are met.
    10.3 Cost benefits, historical trends, and other factors may be used 
to add support to the criteria in sections 10.1.1 and 10.1.2 of this 
appendix, however, they in themselves, will not be acceptable reasons 
for granting a waiver. Written requests for waivers must be submitted to 
the Regional Administrator.

                               11. Summary

    Table E-4 of this appendix 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 E-4 that different 
elevation distances above the ground are shown for the various 
pollutants. The discussion in this appendix for each of the pollutants 
describes 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 
are used. The upper limit of 15 meters is specified for consistency 
between pollutants and to allow the use of a single manifold or 
monitoring path for monitoring more than one pollutant.

                                Table E-4 of Appendix E to Part 58--Summary of Probe and Monitoring Path Siting Criteria
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                          Horizontal and
                                                                                         vertical distance
                                              Scale (maximum      Height from ground      from supporting     Distance from trees      Distance from
                Pollutant                    monitoring path      to probe, inlet or     structures \2\ to    to probe, inlet or     roadways to probe,
                                             length, meters)       80% of monitoring    probe, inlet or 90%    90% of monitoring    inlet or monitoring
                                                                       path \1\         of monitoring path    path \1\  (meters)     path \1\  (meters)
                                                                                           \1\  (meters)
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2 3,4,5,6.............................  Middle (300 m)         2-15................   1.......   10......  N/A
                                           Neighborhood Urban,
                                           and Regional (1 km).
CO 4,5,7................................  Micro, middle (300     3 1.......   10......  2-10; see Table E-2
                                           m), Neighborhood (1    eq>\1/2\: 2-15.                                                   of this appendix for
                                           km).                                                                                     middle and
                                                                                                                                    neighborhood scales.
NO2, O3 3,4,5...........................  Middle (300 m)         2-15................   1.......   10......  See Table E-1 of this
                                           Neighborhood, Urban,                                                                     appendix for all
                                           and Regional (1 km).                                                                     scales.

[[Page 267]]

 
Ozone precursors (for PAMS) 3,4,5.......  Neighborhood and       2-15................  > 1.................  > 10................  See Table E-4 of this
                                           Urban (1 km).                                                                            appendix for all
                                                                                                                                    scales.
PM,Pb 3,4,5,6,8.........................  Micro: Middle,         2-7 (micro); 2-7       2 (all     10 (all   2-10 (micro); see
                                           Neighborhood, Urban    (middle PM10	2.5);    scales, horizontal    scales).              Figure E-1 of this
                                           and Regional.          2-15 (all other       distance only).                             appendix for all
                                                                  scales).                                                          other scales.
--------------------------------------------------------------------------------------------------------------------------------------------------------
N/A--Not applicable.
\1\ 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.
\2\ When probe is located on a rooftop, this separation distance is in reference to walls, parapets, or penthouses located on roof.
\3\ 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.
\4\ 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).
\5\ Must have unrestricted airflow 270 degrees around the probe or sampler; 180 degrees if the probe is on the side of a building.
\6\ 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.
\7\ For microscale CO monitoring sites, the probe must be 10 meters from a street intersection and preferably at a midblock location.
\8\ Collocated monitors must be within 4 meters of each other and at least 2 meters apart for flow rates greater than 200 liters/min or at least 1 meter
  apart for samplers having flow rates less than 200 liters/min to preclude airflow interference.

                             12. 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. 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

[[Page 268]]

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 Triangle 
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. Code of Federal Regulations. 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 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 1987F.

[71 FR 61323, Oct. 17, 2006]



                  Sec. Appendix F to Part 58 [Reserved]



Sec. Appendix G to Part 58--Uniform Air Quality Index (AQI) and Daily 
                                Reporting

                          General Requirements

    1. What is the AQI?

[[Page 269]]

    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. What Monitors Should I Use To Get the Pollutant Concentrations 
    for Calculating 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.
    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.

[[Page 270]]

              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.

                               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. A different approach is taken for NO2, for which 
no short-term standard has been established. 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. What Monitors Should I Use To Get the Pollutant
 Concentrations for Calculating the AQI?

    You must use concentration data from population-oriented State/Local 
Air Monitoring Station (SLAMS) or parts of the SLAMS required by 40 CFR 
58.10 for each pollutant except PM. For PM, calculate and report the AQI 
on days for which you have measured air quality data (e.g., from 
continuous PM2.5 monitors required in Appendix D to this 
part). You may use PM measurements from monitors that are not reference 
or equivalent methods (for example, continuous PM10 or 
PM2.5 monitors). Detailed guidance for relating non-approved 
measurements to approved methods by statistical linear regression is 
referenced in section 13 below.

                   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 271]]



                                                            Table 2--Breakpoints for the AQI
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                 These breakpoints                                                            Equal these AQI's
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         PM2.5         PM10
           O3 (ppm)  8-hour            O3 (ppm)  1-   ([micro]g/    ([micro]g/    CO (ppm)    SO2 (ppm)   NO2 (ppm)     AQI             Category
                                         hour \1\        m\3\)         m\3\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
0.000-0.059..........................     0.0-15.4            0-54    0.0-4.4   0.000-0.034        (\3\)       0-50      Good.
0.060-0.075..........................    15.5-40.4          55-154    4.5-9.4   0.035-0.144        (\3\)     51-100  Moderate.
0.076-0.095..........................  0.125-0.164       40.5-65.4    155-254      9.5-12.4  0.145-0.224      (\3\)    101-150  Unhealthy for Sensitive
                                                                                                                                 Groups.
0.096-0.115..........................  0.165-0.204  \4\ 65.5-150.4    255-354     12.5-15.4  0.225-0.304      (\3\)    151-200  Unhealthy.
0.116-0.374..........................  0.205-0.404      \4\ 150.5-    355-424     15.5-30.4  0.305-0.604  0.65-1.24    201-300  Very Unhealthy.
                                                             250.4
(\2\)................................  0.405-0.504      \4\ 250.5-    425-504     30.5-40.4  0.605-0.804  1.25-1.64    301-400
                                                             350.4
(\2\)................................  0.505-0.604      \4\ 350.5-    505-604     40.5-50.4  0.805-1.004  1.65-2.04    401-500  Hazardous.
                                                             500.4
--------------------------------------------------------------------------------------------------------------------------------------------------------
\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\ 8-hour O3 values do not define higher AQI values (>= 301). AQI values of 301 or greater are calculated with 1-hour O3 concentrations.
\3\ NO2 has no short-term NAAQS, and can generate an AQI only above the value of 200.
\4\ If a different SHL for PM2.5 is promulgated, these numbers will change accordingly.


    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] TR27MR08.001

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 [micro]g/m\3\, 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 [micro]g/m\3\ as 
155 [micro]g/m\3\ and 254 [micro]g/m\3\, 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 
0.116 ppm and 0.374 ppm, corresponding to index values 201 and 300;
    d. Apply Equation 1 for 210 [micro]g/m\3\, PM10:
    [GRAPHIC] [TIFF OMITTED] TR27MR08.002
    
    e. Apply Equation 1 for 0.156 ppm, 1-hour O3:
    [GRAPHIC] [TIFF OMITTED] TR27MR08.003
    

[[Page 272]]


    f. Apply Equation 1 for 0.130 ppm, 8-hour O3:
    [GRAPHIC] [TIFF OMITTED] TR27MR08.004
    
    g. Find the maximum, 206. This is the AQI. The minimal AQI report 
would read:
    v. Today, the AQI for my city is 206 which is Very Unhealthy, due to 
ozone. Children and people with asthma are the groups most at risk.

             13. What Additional Information Should I Know?

    The EPA has developed a computer program to calculate the AQI for 
you. The program 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.airnow.gov. 
Reference for relating non-approved PM measurements to approved methods 
(Eberly, S., T. Fitz-Simons, T. Hanley, L. Weinstock., T. Tamanini, G. 
Denniston, B. Lambeth, E. Michel, S. Bortnick. Data Quality Objectives 
(DQOs) For Relating Federal Reference Method (FRM) and Continuous PM2.5 
Measurements to Report an Air Quality Index (AQI). U.S. Environmental 
Protection Agency, research Triangle Park, NC. EPA-454/B-02-002, 
November 2002) can be found on the Ambient Monitoring Technology 
Information Center (AMTIC) Web site, http://www.epa.gov/ttnamti1/.

[64 FR 42547, Aug. 4, 1999, as amended at 73 FR 16513, Mar. 27, 2008]



PART 59_NATIONAL VOLATILE ORGANIC COMPOUND EMISSION STANDARDS FOR 
CONSUMER AND COMMERCIAL PRODUCTS--Table of Contents




Sec.

                            Subpart A_General

59.1 Final determinations under section 183(e)(3)(C) of the Clean Air 
          Act.

  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.

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.

[[Page 273]]

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

  Subpart E_National volatile organic compound emission standards for 
                            aerosol coatings

59.500 What is the purpose of this subpart?
59.501 Am I subject to this subpart?
59.502 When do I have to comply with this subpart?
59.503 What definitions apply to this subpart?
59.504 What limits must I meet?
59.505 How do I demonstrate compliance with the reactivity limits?
59.506 How do I demonstrate compliance if I manufacture multi-component 
          kits?
59.507 What are the labeling requirements for aerosol coatings?
59.508 What test methods must I use?
59.509 Can I get a variance?
59.510 What records am I required to maintain?
59.511 What notifications and reports must I submit?
59.512 Addresses of EPA regional offices.
59.513 State authority.
59.514 Circumvention.
59.515 Incorporations by reference.
59.516 Availability of information and confidentiality

Table 1 to Subpart E of Part 59--Product-Weighted Reactivity Limits by 
          Coating Category
Table 2A to Subpart E of Part 59--Reactivity Factors
Table 2B to Subpart E of Part 59--Reactivity Factors for Aliphatic 
          Hydrocarbon Solvent Mixtures
Table 2C to Subpart E of Part 59--Reactivity Factors for Aromatic 
          Hydrocarbon Solvent Mixtures

Subpart F_Control of Evaporative Emissions From New and In-Use Portable 
                             Fuel Containers

                       Overview and Applicability

59.600 Does this subpart apply for my products?
59.601 Do the requirements of this subpart apply to me?
59.602 What are the general prohibitions and requirements of this 
          subpart?
59.603 How must manufacturers apply good engineering judgment?
59.605 What portable fuel containers are excluded from this subpart's 
          requirements?
59.607 Submission of information.

               Emission Standards and Related Requirements

59.611 What evaporative emission requirements apply under this subpart?
59.612 What emission-related warranty requirements apply to me?
59.613 What operation and maintenance instructions must I give to 
          buyers?
59.615 How must I label and identify the portable fuel containers I 
          produce?

                      Certifying Emission Families

59.621 Who may apply for a certificate of conformity?
59.622 What are the general requirements for obtaining a certificate of 
          conformity and producing portable fuel containers under it?
59.623 What must I include in my application?
59.624 How do I amend my application for certification?
59.625 How do I select emission families?
59.626 What emission testing must I perform for my application for a 
          certificate of conformity?
59.627 How do I demonstrate that my emission family complies with 
          evaporative emission standards?
59.628 What records must I keep and what reports must I send to EPA?
59.629 What decisions may EPA make regarding my certificate of 
          conformity?
59.630 EPA testing.
59.650 General testing provisions.
59.652 Other procedures.

[[Page 274]]

59.653 How do I test portable fuel containers?

                      Special Compliance Provisions

59.660 Exemption from the standards.
59.662 What temporary provisions address hardship due to unusual 
          circumstances?
59.663 What are the provisions for extending compliance deadlines for 
          manufacturers under hardship?
59.664 What are the requirements for importing portable fuel containers 
          into the United States?

               Definitions and Other Reference Information

59.680 What definitions apply to this subpart?
59.685 What symbols, acronyms, and abbreviations does this subpart use?
59.695 What provisions apply to confidential information?
59.697 State actions.
59.698 May EPA enter my facilities for inspections?
59.699 How do I request a hearing?

    Authority: 42 U.S.C. 7414 and 7511b(e).

    Source: 64 FR 48815, Sept. 11, 1998, unless otherwise noted.



                            Subpart A_General

    Source: 71 FR 58753, Oct. 5, 2006, unless otherwise noted.



Sec. 59.1  Final determinations under section 183(e)(3)(C)
of the Clean Air Act.

    This section identifies the consumer and commercial product 
categories for which EPA has determined that control techniques 
guidelines (CTGs) will be substantially as effective as regulations in 
reducing volatile organic compound (VOC) emissions in ozone 
nonattainment areas:
    (a) Wood furniture coatings;
    (b) Aerospace coatings;
    (c) Shipbuilding and repair coatings;
    (d) Lithographic printing materials;
    (e) Letterpress printing materials;
    (f) Flexible packaging printing materials;
    (g) Flat wood paneling coatings;
    (h) Industrial cleaning solvents;
    (i) Paper, film, and foil coatings;
    (j) Metal furniture coatings; and
    (k) Large appliance coatings.

[72 FR 57222, Oct. 9, 2007]



  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.
    Automobile refinish coating component means any portion of a 
coating, such as

[[Page 275]]

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 276]]

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 277]]

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 278]]

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 279]]

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 280]]

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 281]]

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 282]]

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 283]]

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 284]]

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 285]]

    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 286]]

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 287]]

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 288]]

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 289]]

    (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 290]]

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 291]]

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 292]]

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 293]]

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 294]]

    (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 295]]

    (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 296]]


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 297]]

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).

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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 299]]

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 300]]

 
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.


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Sec. 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 306]]

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 307]]

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 308]]

    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 309]]

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 310]]

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 311]]

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 312]]

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 313]]

[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 314]]



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 315]]

[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 316]]

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 317]]



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 318]]

    (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 319]]

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.



Sec. 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 320]]

    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 321]]

 
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 322]]



  Subpart E_National Volatile Organic Compound Emission Standards for 
                            Aerosol Coatings

    Source: 73 FR 15621, Mar. 24, 2008, unless otherwise noted.



Sec. 59.500  What is the purpose of this subpart?

    This subpart establishes the product-weighted reactivity (PWR) 
limits regulated entities must meet in order to comply with the national 
rule for volatile organic compounds (VOC) emitted from aerosol coatings. 
This subpart also establishes labeling, recordkeeping, and reporting 
requirements for regulated entities.



Sec. 59.501  Am I subject to this subpart?

    (a) The regulated entities for an aerosol coating product are the 
manufacturer or importer of an aerosol coating product and a distributor 
of an aerosol coating product if it is named on the label or if it 
specifies the formulation of the product. Distributors include retailers 
who fall within the definition of ``distributor'' in Sec. 59.503.
    (b) Except as provided in paragraph (e) of this section, the 
responsibilities of each regulated entity are detailed in paragraphs 
(b)(1) through (b)(4) of this section.
    (1) If you are a manufacturer or importer, you are a regulated 
entity responsible for ensuring that all aerosol coatings manufactured 
or imported by you meet the PWR limits presented in Sec. 59.504, even 
if your name is not on the label.
    (2) If you are a distributor named on the label, you are a regulated 
entity responsible for compliance with all sections of this subpart 
except for the limits presented in Sec. 59.504. If you are a 
distributor that has specified formulations to be used by a 
manufacturer, then you are a regulated entity responsible for compliance 
with all sections of this subpart.
    (3) If there is no distributor named on the label, then the 
manufacturer or importer is a regulated entity responsible for 
compliance with all sections of this subpart.
    (4) If you are a manufacturer or importer, you can choose to certify 
that you will provide any or all of the recordkeeping and reporting 
requirements of Sec. Sec. 59.510 and 59.511 by following the procedures 
of Sec. 59.511(g) and (h).
    (c) Except as provided in paragraph (e) of this section, the 
provisions of this subpart apply to aerosol coatings manufactured on or 
after January 1, 2009, for sale or distribution in the United States. 
Aerosol coatings that are registered under the Federal Insecticide, 
Fungicide and Rodenticide Act (7 U.S.C. 136-136y) (FIFRA). For FIFRA 
registered aerosol coatings, the provisions of this subpart apply to 
aerosol coatings manufactured on or after January 1, 2010, for sale or 
distribution in the United States.
    (d) You are not a regulated entity under this subpart for the 
aerosol coatings products that you manufacture (in or outside of the 
United States) that are exclusively for sale outside the United States.
    (e) If you meet the definition of small quantity manufacturer for a 
given year, the products you manufacture in that year are not subject to 
the PWR limits presented in Sec. 59.504 or the labeling requirements of 
Sec. 59.507. To qualify for this exemption, small aerosol coating 
manufacturers must comply with the applicable recordkeeping and 
reporting requirements in Sec. Sec. 59.510 and 59.511.
    (f) If you are a person who manufactures or processes aerosol 
coatings outside of the United States, you may qualify for the small 
quantity manufacturer exemption in paragraph (e) of this section if you 
meet the requirements of paragraphs (f)(1) through (f)(3) of this 
section.
    (1) The total VOC by mass included in all aerosol coatings you 
manufacture, at all facilities, in a given calendar year, in the 
aggregate, is less than 7,500 kilograms.
    (2) You comply with the recordkeeping and reporting requirements in 
Sec. Sec. 59.510 and 59.511.
    (3) You commit to and comply with the requirements of paragraphs 
(f)(3)(i) through (f)(3)(vii) of this section.
    (i) You must provide an initial notification no later than 90 days 
before the

[[Page 323]]

compliance date, or at least 90 days before you start manufacturing 
aerosol coating products that are sold in the United States. This 
initial notification must state that you are a foreign manufacturer that 
is intending to qualify for the small quantity manufacturer exemption in 
paragraph (e) of this section, provide all of the information specified 
in Sec. 59.511(b), and provide all the information in paragraphs 
(f)(3)(i)(A) and (f)(3)(i)(B) of this section.
    (A) The name, address, telephone number, and e-mail address of an 
agent located in the United States who will serve as your point of 
contact for communications with EPA.
    (B) The address of each of your facilities that is manufacturing 
aerosol coatings for sale in the United States.
    (ii) You must notify the Administrator of any changes in the 
information provided in your initial notification within 30 days 
following the change.
    (iii) The agent identified above must maintain a copy of the 
compliance records specified in Sec. 59.510(b). Those records must be 
kept by the agent such that the agent will be able to provide the 
written report which must be submitted upon 60 days notice under Sec. 
59.511(d) and able to make those records available for inspection and 
review under Sec. 59.511(e).
    (iv) You must give any EPA inspector or auditor full, complete, and 
immediate access to your facilities and records to conduct inspections 
and audits of your manufacturing facilities.
    (v) You must agree that United States substantive and procedural law 
shall apply to any civil or criminal enforcement action against you 
under this subpart, and that the forum for any civil or criminal 
enforcement action under this subpart shall be governed by the CAA, 
including the EPA administrative forum where allowed under the CAA.
    (vi) Any person certifying any notification, report, or other 
communication from you to EPA must state in the certification that 
United States substantive and procedural law shall apply to any civil or 
criminal enforcement action against him or her under this subpart, and 
that the forum for any civil or criminal enforcement action under this 
section shall be governed by the CAA, including the EPA administrative 
forum where allowed under the CAA.
    (vii) All reports and other communications with EPA must be in 
English. To the extent that you provide any documents as part of any 
report or other communication with EPA, an English language translation 
of that document must be provided with the report or communication.

[73 FR 15621, Mar. 24, 2008, as amended at 73 FR 15425, Mar. 24, 2008]



Sec. 59.502  When do I have to comply with this subpart?

    (a) Except as provided in Sec. 59.509 and paragraphs (b) and (c) of 
this section, you must be in compliance with all provisions of this 
subpart by January 1, 2009.
    (b) The Administrator will consider issuance of a special compliance 
extension that extends the date of compliance until January 1, 2011, to 
regulated entities that have never manufactured, imported, or 
distributed aerosol coatings for sale or distribution in California that 
are in compliance with California's Regulation for Reducing Ozone Formed 
From Aerosol Coating Product Emissions, Title 17, California Code of 
Regulations, sections 94520-94528. In order to be considered for an 
extension of the compliance date, you must submit a special compliance 
extension application to the EPA Administrator no later than 90 days 
before the compliance date or within 90 days before the date that you 
first manufacture aerosol coatings, whichever is later. This application 
must contain the information in paragraphs (b)(1) through (b)(5) of this 
section. If a regulated entity remains unable to comply with the limits 
of this rule by January 1, 2011, the regulated entity may seek a 
variance in accordance with Sec. 59.509.
    (1) Company name;
    (2) A signed certification by a responsible company official that 
the regulated entity has not at any time manufactured, imported, or 
distributed for sale or distribution in California any product in any 
category listed in Table 1 of this subpart that complies with 
California's Regulation for Reducing

[[Page 324]]

Ozone Formed From Aerosol Coating Product Emissions, Title 17, 
California Code of Regulations, sections 94520-94528;
    (3) A statement that the regulated entity will, to the extent 
possible within its reasonable control, take appropriate action to 
achieve compliance with this subpart by January 1, 2011;
    (4) A list of the product categories in Table 1 of this subpart that 
the regulated entity manufactures, imports, or distributes; and,
    (5) Name, title, address, telephone, e-mail address, and signature 
of the certifying company official.
    (c) Except as provided in paragraph (b) of this section, the 
compliance date for aerosol coatings that are registered under the 
Federal Insecticide, Fungicide and Rodenticide Act (7 U.S.C 136-136y) 
(FIFRA) is January 1, 2010.



Sec. 59.503  What definitions apply to this subpart?

    The following terms are defined for the purposes of this subpart 
only.
    Administrator means the Administrator of the United States 
Environmental Protection Agency (EPA) or an authorized representative.
    Aerosol Coating Product means a pressurized coating product 
containing pigments or resins that is dispensed by means of a propellant 
and is packaged in a disposable can for hand-held application, or for 
use in specialized equipment for ground traffic/marking applications. 
For the purpose of this regulation, applicable aerosol coatings 
categories are listed in Table 1 of this subpart.
    Art Fixative or Sealant means a clear coating, including art 
varnish, workable art fixative and ceramic coating, which is designed 
and labeled exclusively for application to paintings, pencil, chalk, or 
pastel drawings, ceramic art pieces or other closely related art uses, 
in order to provide a final protective coating or to fix preliminary 
stages of artwork while providing a workable surface for subsequent 
revisions.
    ASTM means the American Society for Testing and Materials.
    Autobody Primer means an automotive primer or primer surfacer 
coating designed and labeled exclusively to be applied to a vehicle body 
substrate for the purposes of corrosion resistance and building a repair 
area to a condition in which, after drying, it can be sanded to a smooth 
surface.
    Automotive Bumper and Trim Product means a product, including 
adhesion promoters and chip sealants, designed and labeled exclusively 
to repair and refinish automotive bumpers and plastic trim parts.
    Aviation Propeller Coating means a coating designed and labeled 
exclusively to provide abrasion resistance and corrosion protection for 
aircraft propellers.
    Aviation or Marine Primer means a coating designed and labeled 
exclusively to meet federal specification TT-P-1757.
    Clear Coating means a coating which is colorless, containing resins 
but no pigments except flatting agents, and is designed and labeled to 
form a transparent or translucent solid film.
    Coating Solids means the nonvolatile portion of an aerosol coating 
product, consisting of the film-forming ingredients, including pigments 
and resins.
    Commercial Application means the use of aerosol coating products in 
the production of goods, or the providing of services for profit, 
including touch-up and repair.
    Corrosion Resistant Brass, Bronze, or Copper Coating means a clear 
coating designed and labeled exclusively to prevent tarnish and 
corrosion of uncoated brass, bronze, or copper metal surfaces.
    Distributor means any person who purchases or is supplied aerosol 
coating product for the purposes of resale or distribution in commerce. 
Retailers who fall within this definition are distributors. Importers 
are not distributors.
    Enamel means a coating which cures by chemical cross-linking of its 
base resin and is not resoluble in its original solvent.
    Engine Paint means a coating designed and labeled exclusively to 
coat engines and their components.
    Exact Match Finish, Engine Paint means a coating which meets all of 
the following criteria:
    (1) The product is designed and labeled exclusively to exactly match 
the

[[Page 325]]

color of an original, factory-applied engine paint;
    (2) The product is labeled with the manufacturer's name for which 
they were formulated; and
    (3) The product is labeled with one of the following:
    (i) The original equipment manufacturer's (O.E.M.) color code 
number;
    (ii) The color name; or
    (iii) Other designation identifying the specific O.E.M. color to the 
purchaser.
    Exact Match Finish, Automotive means a topcoat which meets all of 
the following criteria:
    (1) The product is designed and labeled exclusively to exactly match 
the color of an original, factory-applied automotive coating during the 
touch-up of automobile finishes;
    (2) The product is labeled with the manufacturer's name for which 
they were formulated; and
    (3) The product is labeled with one of the following:
    (i) The original equipment manufacturer's (O.E.M.) color code 
number;
    (ii) The color name; or
    (iii) Other designation identifying the specific O.E.M. color to the 
purchaser. Notwithstanding the foregoing, automotive clear coatings 
designed and labeled exclusively for use over automotive exact match 
finishes to replicate the original factory-applied finish shall be 
considered to be automotive exact match finishes.
    Exact Match Finish, Industrial means a coating which meets all of 
the following criteria:
    (1) The product is designed and labeled exclusively to exactly match 
the color of an original, factory-applied industrial coating during the 
touch-up of manufactured products;
    (2) The product is labeled with the manufacturer's name for which 
they were formulated; and
    (3) The product is labeled with one of the following:
    (i) O.E.M. color code number;
    (ii) The color name; or
    (iii) Other designation identifying the specific O.E.M. color to the 
purchaser.
    Flat Paint Products means a coating which, when fully dry, registers 
specular gloss less than or equal to 15 on an 85[deg] gloss meter, or 
less than or equal to 5 on a 60[deg] gloss meter, or which is labeled as 
a flat coating.
    Flatting Agent means a compound added to a coating to reduce the 
gloss of the coating without adding color to the coating.
    Floral Spray means a coating designed and labeled exclusively for 
use on fresh flowers, dried flowers, or other items in a floral 
arrangement for the purposes of coloring, preserving or protecting their 
appearance.
    Formulation Data, unless otherwise specified, means the recipe used 
to formulate or manufacture a coating product in terms of the weight 
fraction (g compound/g product) of each individual VOC in the product.
    Fluorescent Coating means a coating labeled as such, which converts 
absorbed incident light energy into emitted light of a different hue.
    Glass Coating means a coating designed and labeled exclusively for 
use on glass or other transparent material to create a soft, translucent 
light effect, or to create a tinted or darkened color while retaining 
transparency.
    Ground Traffic/Marking Coating means a coating designed and labeled 
exclusively to be applied to dirt, gravel, grass, concrete, asphalt, 
warehouse floors, or parking lots. Such coatings must be in a container 
equipped with a valve and spray head designed to direct the spray toward 
the surface when the can is held in an inverted vertical position.
    High Temperature Coating means a coating, excluding engine paint, 
which is designed and labeled exclusively for use on substrates which 
will, in normal use, be subjected to temperatures in excess of 400 
[deg]F.
    Hobby/Model/Craft Coating means a coating which is designed and 
labeled exclusively for hobby applications and is sold in aerosol 
containers of 6 ounces by weight or less.
    Importer means any person who brings an aerosol coating 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.
    Ingredient means a component of an aerosol coating product.

[[Page 326]]

    Impurity means an individual chemical compound present in a raw 
material which is incorporated in the final aerosol coatings 
formulation, if the compound is present in amounts below the following 
in the raw material:
    (1) For individual compounds that are carcinogens each compound must 
be present in an amount less than 0.1 percent by weight;
    (2) For all other compounds present in a raw material, a compound 
must be present in an amount less than 1 percent by weight.
    Lacquer means a thermoplastic film-forming material dissolved in 
organic solvent, which dries primarily by solvent evaporation, and is 
resoluble in its original solvent.
    Manufacturer means any person who manufactures or processes an 
aerosol coating product for sale or distribution within the United 
States. Manufacturers include:
    (1) Processors who blend and mix aerosol coatings;
    (2) Contract fillers who develop formulas and package these 
formulations under a distributor's name; and
    (3) Contract fillers who manufacture products using formulations 
provided by a distributor.
    Marine Spar Varnish means a coating designed and labeled exclusively 
to provide a protective sealant for marine wood products.
    Metallic Coating means a topcoat which contains at least 0.5 percent 
by weight elemental metallic pigment in the formulation, including 
propellant, and is labeled as ``metallic,'' or with the name of a 
specific metallic finish such as ``gold,'' ``silver,'' or ``bronze.''
    Multi-Component Kit means an aerosol spray paint system which 
requires the application of more than one component (e.g. foundation 
coat and topcoat), where both components are sold together in one 
package.
    Nonflat Paint Product means a coating which, when fully dry, 
registers a specular gloss greater than 15 on an 85[deg] gloss meter or 
greater than five on a 60[deg] gloss meter.
    Ozone means a colorless gas with a pungent odor, having the 
molecular form O3.
    Person means an individual, corporation, partnership, association, 
state, any agency, department, or instrumentality of the United States, 
and any officer, agent, or employee thereof.
    Photograph Coating means a coating designed and labeled exclusively 
to be applied to finished photographs to allow corrective retouching, 
protection of the image, changes in gloss level, or to cover 
fingerprints.
    Pleasure Craft means privately owned vessels used for noncommercial 
purposes.
    Pleasure Craft Finish Primer/Surfacer/Undercoater means a coating 
designed and labeled exclusively to be applied prior to the application 
of a pleasure craft topcoat for the purpose of corrosion resistance and 
adhesion of the topcoat, and which promotes a uniform surface by filling 
in surface imperfections.
    Pleasure Craft Topcoat means a coating designed and labeled 
exclusively to be applied to a pleasure craft as a final coat above the 
waterline and below the waterline when stored out of water. This 
category does not include clear coatings.
    Polyolefin Adhesion Promoter means a coating designed and labeled 
exclusively to be applied to a polyolefin or polyolefin copolymer 
surface of automotive body parts, bumpers, or trim parts to provide a 
bond between the surface and subsequent coats.
    Primer means a coating labeled as such, which is designed to be 
applied to a surface to provide a bond between that surface and 
subsequent coats.
    Product-Weighted Reactivity (PWR) Limit means the maximum allowed 
``product-weighted reactivity,'' as calculated in Sec. 59.505, of an 
aerosol coating product that is subject to the limits specified in Sec. 
59.504 for a specific category, expressed as grams of ozone per gram (g 
O3/g of product).
    Propellant means 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.
    Reactivity Factor (RF) is a measure of the change in mass of ozone 
formed by adding a gram of a VOC to the ambient atmosphere, expressed to 
hundredths of a gram (g O3/g VOC). The RF values for 
individual compounds and hydrocarbon

[[Page 327]]

solvent mixtures are specified in Tables 2A, 2B, and 2C of this subpart.
    Retailer means any person who sells, supplies, or offers aerosol 
coating products for sale directly to consumers. Retailers who fall 
within the definition of ``distributor'' in this section are 
distributors.
    Retail Outlet means any establishment where consumer products are 
sold, supplied, or offered for sale, directly to consumers.
    Shellac Sealer means a clear or pigmented coating formulated solely 
with the resinous secretion of the lac beetle (Laccifer lacca), thinned 
with alcohol, and formulated to dry by evaporation without a chemical 
reaction.
    Slip-Resistant Coating means a coating designed and labeled 
exclusively as such, which is formulated with synthetic grit and used as 
a safety coating.
    Small quantity manufacturer means a manufacturer whose total VOC by 
mass included in all aerosol coatings manufactured at all facilities in 
a given calendar year, in the aggregate, is less than 7,500 kilograms.
    Spatter Coating/Multicolor Coating means a coating labeled 
exclusively as such wherein spots, globules, or spatters of contrasting 
colors appear on or within the surface of a contrasting or similar 
background.
    Stain means a coating which is designed and labeled to change the 
color of a surface but not conceal the surface.
    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.
    Vinyl/Fabric/Leather/Polycarbonate Coating means a coating designed 
and labeled exclusively to coat vinyl, fabric, leather, or polycarbonate 
substrates or to coat flexible substrates including rubber or 
thermoplastic substrates.
    Volatile Organic Compound (VOC) means any organic compound as 
defined in Sec. 51.100(s) of this chapter. As provided in 40 CFR 
51.100(s)(7), exemptions from the definition of VOC in 40 CFR 51.100(s) 
for certain compounds that are used in aerosol coatings are inapplicable 
for purposes of this subpart.
    Webbing/Veiling Coating means a coating designed and labeled 
exclusively to provide a stranded to spider webbed appearance when 
applied.
    Weight Fraction means the weight of an ingredient divided by the 
total net weight of the product, expressed to thousandths of a gram of 
ingredient per gram of product (excluding container and packaging).
    Weld-Through Primer means a coating designed and labeled exclusively 
to provide a bridging or conducting effect for corrosion protection 
following welding.
    Wood Stain means a coating which is formulated to change the color 
of a wood surface but not conceal the surface.
    Wood Touch-Up/Repair/Restoration means a coating designed and 
labeled exclusively to provide an exact color or sheen match on finished 
wood products.
    Working Day means any day from Monday through Friday, inclusive, 
except for days that are Federal holidays.



Sec. 59.504  What limits must I meet?

    (a) Except as provided in Sec. 59.509, each aerosol coating product 
you manufacture, distribute or import for sale or use in the United 
States must meet the PWR limits presented in Table 1 of this subpart. 
These limits apply to the final aerosol coating, including the 
propellant. The PWR limits specified in Table 1 of this subpart are also 
applicable to any aerosol coating product that is assembled by adding 
bulk coating to aerosol containers of propellant.
    (b) If a product can be included in both a general coating category 
and a specialty coating category and the product meets all of the 
criteria of the specialty coating category, then the specialty coating 
limit will apply instead of the general coating limit, unless the 
product is a high temperature coating. High-temperature coatings that 
contain at least 0.5 percent by weight of an elemental metallic pigment 
in the formulation, including propellant, are subject to the limit 
specified for metallic coatings.

[[Page 328]]

    (c) Except as provided in paragraph (b) of this section, if anywhere 
on the container of any aerosol coating product subject to the limits in 
Table 1 of this subpart, or on any sticker or label affixed to such 
product, or in any sales or advertising literature, the manufacturer, 
importer or distributor of the product makes any representation that the 
product may be used as, or is suitable for use as a product for which a 
lower limit is specified, then the lowest applicable limit will apply.



Sec. 59.505  How do I demonstrate compliance with the
reactivity limits?

    (a) To demonstrate compliance with the PWR limits presented in Table 
1 of this subpart, you must calculate the PWR for each coating as 
described in paragraphs (a)(1) through (2) of this section:
    (1) Calculate the weighted reactivity factor (WRF) for each 
propellant and coating component using Equation 1:
[GRAPHIC] [TIFF OMITTED] TR24MR08.013

Where:

WRFi = weighted reactivity factor of component i, g 
O3/g component i.
RFi = reactivity factor of component i, g O3/g 
component i, from Table 2A, 2B, or 2C.
WFi = weight fraction of component i in the product,

    (2) Calculate the PWR of each product using Equation 2:
    [GRAPHIC] [TIFF OMITTED] TR24MR08.014
    
Where:

PWRp = PWR for product P, g O3/g product.
WRF1 = weighted reactivity factor for component 1, g 
O3/g component.
WRF2 = weighted reactivity factor for component 2, g 
O3/g component.
WRFn = weighted reactivity factor for component n, g 
O3/g component.

    (b) In calculating the PWR, you must follow the guidelines in 
paragraphs (b)(1) through (b)(4) of this section.
    (1) Any ingredient which does not contain carbon is assigned a RF 
value of 0.
    (2) Any aerosol coating solid, including but not limited to resins, 
pigments, fillers, plasticizers, and extenders is assigned a RF of 0. 
These items do not have to be identified individually in the 
calculation.
    (3) All individual compounds present in the coating in an amount 
equal to or exceeding 0.1 percent will be considered ingredients 
regardless of whether or not the ingredient is reported to the 
manufacturer.
    (4) All individual compounds present in the coating in an amount 
less than 0.1 percent will be assigned an RF value of 0.
    (5) Any component that is a VOC but is not listed in Table 2A, 2B, 
or 2C of this subpart is assigned an RF value as detailed in paragraph 
(e) of this section.
    (c) You may use either formulation data (including information for 
both the liquid and propellant phases), California Air Resources Board 
Method 310--Determination of Volatile Organic Compounds (VOC) in 
Consumer Products and Reactive Organic Compounds in Aerosol Coating 
Products (May 5, 2005) (incorporated by reference in 59.515), or EPA's 
Method 311--Analysis of Hazardous Air Pollutant Compounds in Paints and 
Coatings by Direct Injection into a Gas Chromatograph (40 CFR part 63, 
appendix A), to calculate the PWR. However, if there are inconsistencies 
between the formulation data and the California Air Resources Board 
Method 310 (May 5, 2005) (incorporated by reference in 59.515), or EPA 
Method 311--Analysis of Hazardous Air Pollutant Compounds in Paints and 
Coatings by Direct Injection into a Gas Chromatograph (40 CFR part 63, 
appendix A) results, the California Air Resources Board Method 310 (May 
5, 2005) (incorporated by reference in 59.515), or EPA Method 311--
Analysis of Hazardous Air Pollutant Compounds in Paints and Coatings by 
Direct Injection into a Gas Chromatograph (40 CFR part 63, appendix A) 
results will govern.

[[Page 329]]

    (d) If you manufacture a coating containing either an aromatic or 
aliphatic hydrocarbon solvent mixture, you must use the appropriate RF 
for that mixture provided in Table 2B or 2C of this subpart when 
calculating the PWR using formulation data. However, when calculating 
the PWR for a coating containing these mixtures using data from 
California Air Resources Board Method 310 (May 5, 2005) (incorporated by 
reference in 59.515), or EPA Method 311--Analysis of Hazardous Air 
Pollutant Compounds in Paints and Coatings by Direct Injection into a 
Gas Chromatograph (40 CFR part 63, appendix A), you must identify the 
individual compounds that are present in the solvent mixture and use the 
weight fraction of those individual compounds and their RF from Table 2A 
of this subpart in the calculation.
    (e) If a VOC is used in a product but not listed in Table 2A of this 
subpart, the Reactivity Factor (RF) is assigned according to paragraphs 
(e)(1), (e)(2), (e)(3) or (e)(4) of this section.
    (1) If the VOC is not listed in Table 2A of this subpart, but has an 
RF greater than 0.3, the regulated entity may petition EPA to add the 
VOC to Table 2A, as described in Sec. 59.511(j). Based on these 
petitions, EPA will periodically update the appropriate table. Once an 
RF for a VOC is listed on the appropriate table, that RF will be used 
for that VOC for the purposes of this rule. As provided in Sec. 
59.511(j), any petitions submitted to EPA on or before June 1, 2008, 
will be considered, and if appropriate, incorporated into Table 2A on or 
before January 1, 2009.
    (2) If the VOC is used in a product but not listed in Table 2A of 
this regulation, and has an RF less than or equal to 0.3, and will be 
used at a level greater than or equal to 7.3 weight percent (g of 
compound/g product) in any of the regulated entity's formulations, the 
regulated entity may petition EPA as described in Sec. 59.511(j). Based 
on these petitions, EPA will periodically update the appropriate table. 
Once an RF for a VOC is listed on the appropriate table, that RF will be 
used for that VOC for the purposes of this rule. As provided in Sec. 
59.511(j), any petition submitted to EPA on or before June 1, 2008 will 
be considered, and if appropriate, incorporated into Table 2A on or 
before January 1, 2009.
    (3) If a compound has an RF less than or equal to 0.3, and will not 
be used at a level greater than or equal to 7.3 weight percent (g of 
compound/g product) in any of the regulated entity's formulations, the 
RF to be used in all calculations by that entity for this subpart is 0.
    (4) Except as provided in paragraph (e)(1), (e)(2) and (e)(3) of 
this section, if a VOC is not listed in Table 2A of this subpart, it is 
assigned a default RF factor of 22.04 g O3/g VOC. As described in Sec. 
59.511(j), regulated entities may petition the Administrator to add a 
compound or mixture to Table 2A, 2B, or 2C of this subpart.
    (f) In calculating the PWR value for a coating containing an 
aromatic hydrocarbon solvent with a boiling range different from the 
ranges specified in Table 2C of this subpart, you must assign an RF as 
described in paragraphs (f)(1) and (f)(2) of this section:
    (1) If the solvent boiling point is lower than or equal to 420 
degrees F, then you must use the RF in Table 2C of this subpart 
specified for bin 23;
    (2) If the solvent boiling point is higher than 420 degrees F, then 
you must use the RF specified in Table 2C of this subpart for bin 24.
    (g) For purposes of compliance with the PWR limits, all compounds 
listed in Tables 2A, 2B, or 2C that are used in the aerosol coating 
products must be included in the calculation. This includes compounds 
that may otherwise be exempted from the definition of VOC in Sec. 
59.100(s).



Sec. 59.506  How do I demonstrate compliance if I manufacture 
multi-component kits?

    (a) If you manufacture multi-component kits as defined in Sec. 
59.503, then the Kit PWR must not exceed the Total Reactivity Limit.
    (b) You must calculate the Kit PWR and the Total Reactivity Limit as 
follows:
    (1) KIT PWR = (PWR(1) x W1) + 
(PWR(2) x W2) +. ...+ (PWR(n) x 
Wn)
    (2) Total Reactivity Limit = (RL1 x W1) + 
(RL2 x W2) +...+ (RLn x Wn).
    (3) Kit PWR <= Total Reactivity Limit.


[[Page 330]]


Where:

W = the weight of the product contents (excluding container).
RL = the PWR Limit specified in Table 1 of this subpart.
Subscript 1 denotes the first component product in the kit.
Subscript 2 denotes the second component product in the kit.
Subscript n denotes any additional component product.



Sec. 59.507  What are the labeling requirements for aerosol coatings?

    (a) The labels of all aerosol products manufactured on and after the 
applicable compliance date listed in Sec. 59.502 must contain the 
information listed in paragraphs (a)(1) through (4) of this section.
    (1) The aerosol coating category code for the coating, based on the 
category definitions in Sec. 59.503. This code can be the default 
category code shown in Table 1 of this subpart or a company-specific 
code, if that code is explained as required by Sec. 59.511(a);
    (2) The applicable PWR limit for the product specified in Table 1 of 
this subpart;
    (3) The day, month, and year on which the product was manufactured, 
or a code indicating such date;
    (4) The name and a contact address for the manufacturer, 
distributor, or importer that is the regulated entity under this 
subpart.
    (b) The label on the product must be displayed in such a manner that 
it is readily observable without removing or disassembling any portion 
of the product container or packaging. The information may be displayed 
on the bottom of the container as long as it is clearly legible without 
removing any product packaging.



Sec. 59.508  What test methods must I use?

    (a) Except as provided in Sec. 59.505(c), you must use the 
procedures in California Air Resource Board Method 310--Determination of 
Volatile Organic Compounds (VOC) in Consumer Products and Reactive 
Organic Compounds in Aerosol Coating Products (May 5, 2005) 
(incorporated by reference in Sec. 59.515) or EPA's Method 311--
Analysis of Hazardous Air Pollutant Compounds in Paints and Coatings by 
Direct Injection into a Gas Chromatograph (40 CFR part 63, appendix A) 
to determine the speciated ingredients and weight percentage of each 
ingredient of each aerosol coating product. EPA Method 311--Analysis of 
Hazardous Air Pollutant Compounds in Paints and Coatings by Direct 
Injection into a Gas Chromatograph (40 CFR part 63, appendix A) must be 
used in conjunction with ASTM Method D3063-94 or D3074-94 for analysis 
of the propellant portion of the coating. Those choosing to use 
California Air Resources Board Method 310 (May 5, 2005) (incorporated by 
reference in Sec. 59.515) must follow the procedures specified in 
section 5.0 of that method with the exception of section 5.3.1, which 
requires the analysis of the VOC content of the coating. For the 
purposes of this subpart, you are not required to determine the VOC 
content of the aerosol coating. For both California Air Resources Board 
Method 310 (May 5, 2005) (incorporated by reference in Sec. 59.515) and 
EPA Method 311--Analysis of Hazardous Air Pollutant Compounds in Paints 
and Coatings by Direct Injection into a Gas Chromatograph (40 CFR part 
63, appendix A), you must have a listing of the VOC ingredients in the 
coating before conducting the analysis.
    (b) To determine the metal content of metallic aerosol coating 
products, you must use South Coast Air Quality Management District 
(SCAQMD) Method 318-95, Determination of Weight Percent Elemental Metal 
in Coatings by X-ray Diffraction, July, 1996, in 40 CFR part 59 
(incorporated by reference in Sec. 59.515).
    To determine the specular gloss of flat and nonflat coatings you 
must use ASTM Method D523-89 (Reapproved 1999), Standard Test Method for 
Specular Gloss, in 40 CFR part 59 (incorporated by reference in Sec. 
59.515).



Sec. 59.509  Can I get a 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)(5) of this section.

[[Page 331]]

    (1) The specific products for which the variance is sought.
    (2) The specific provisions of the subpart for which the variance is 
sought.
    (3) The specific grounds upon which the variance is sought.
    (4) 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 3 years after the issuance of a variance.
    (5) A compliance plan detailing the method(s) by which the regulated 
entity will achieve compliance with the provisions of this subpart.
    (b) Within 30 days of receipt of the original application and within 
30 days of receipt of any supplementary information that is submitted, 
the Administrator will send a regulated entity written notification of 
whether the application contains sufficient information to make a 
determination. If an application is incomplete, the Administrator will 
specify the information needed to complete the application, and provide 
the opportunity for the regulated entity to submit written supplementary 
information or arguments to the Administrator to enable further action 
on the application. The regulated entity must submit this information to 
the Administrator within 30 days of being notified that its application 
is incomplete.
    (c) Within 60 days of receipt of sufficient information to evaluate 
the application, the Administrator will send a regulated entity written 
notification of approval or disapproval of a variance application. This 
60-day period will begin after the regulated entity has been sent 
written notification that its application is complete.
    (d) The Administrator will issue a variance if the criteria 
specified in paragraphs (d)(1) and (d)(2) of this section are met to the 
satisfaction of the Administrator.
    (1) Complying with the provisions of this subpart would not be 
technologically or economically feasible.
    (2) The compliance plan proposed by the applicant can reasonably be 
implemented and will achieve compliance as expeditiously as possible.
    (e) A variance must 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.
    (f) 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.



Sec. 59.510  What records am I required to maintain?

    (a) If you are the regulated entity identified in Sec. 59.501(a) as 
being responsible for recordkeeping for a product, and no other person 
has certified that they will fulfill your recordkeeping responsibilities 
as provided in Sec. 59.511(g), you must comply with paragraphs (a)(1) 
through (a)(5) of this section:
    (1) All records must be maintained on and after the applicable 
compliance date listed in Sec. 59.502.
    (2) You are required to maintain records of the following at the 
location specified in Sec. 59.511(b)(4) for each product subject to the 
PWR limits in Table 1 of this subpart: The product category, all product 
calculations, the PWR, and the weight fraction of all ingredients 
including: Water, total solids, each VOC, and any other compounds 
assigned a RF of zero as specified in Sec. 59.505. Solids do not have 
to be listed individually in these records. If an individual VOC is 
present in an amount less than 0.1 percent by weight, then it does not 
need to be reported as an ingredient. An impurity that meets the 
definition provided in Sec. 59.503 does not have to be reported as an 
ingredient. For each batch of each product subject to the PWR limits, 
you must maintain records of the date the batch was manufactured, the 
volume of the batch, the recipe used for formulating the batch, and the 
number of cans manufactured in each batch and each formulation.
    (3) You must maintain a copy of each notification and report that 
you submit to comply with this subpart, the documentation supporting 
each notification, and a copy of the label for each product.
    (4) If you claim the exemption under Sec. 59.501(e), you must 
maintain a copy of the initial report and each annual report that you 
submit to EPA, and the documentation supporting such report.

[[Page 332]]

    (5) You must maintain all records required by this subpart for a 
minimum of 5 years. The records must be in a form suitable and readily 
available for inspection and review.
    (b) By providing the written certification to the Administrator in 
accordance with Sec. 59.511(g), the certifying manufacturer accepts 
responsibility for compliance with the recordkeeping requirements of 
this section with respect to any products covered by the written 
certification, as detailed in the written certification. Failure to 
maintain the required records may result in enforcement action by EPA 
against the certifying manufacturer in accordance with the enforcement 
provisions applicable to violation of these provisions by regulated 
entities. If the certifying manufacturer revokes its certification, as 
allowed by Sec. 59.511(h), the regulated entity must assume 
responsibility for maintaining all records required by this section.



Sec. 59.511  What notifications and reports must I submit?

    (a) If you are the regulated entity identified in Sec. 59.501(a) 
and (b) as being responsible for notifications and reporting for a 
product, and no other person has certified that they will fulfill your 
notification and reporting responsibilities as provided in paragraph (g) 
of this section, you are responsible for all notifications and reports 
included in this section. If no distributor is named on the label, the 
manufacturer or importer of the aerosol coating is responsible for all 
requirements of this section, even if not listed on the label.
    (b) You must submit an initial notification no later than 90 days 
before the compliance date, or at least 90 days before the date that you 
first manufacture, distribute, or import aerosol coatings, whichever is 
later. The initial notification must include the information in 
paragraphs (b)(1) through (b)(11) of this section.
    (1) Company name;
    (2) Name, title, address, telephone number, e-mail address and 
signature of certifying company official;
    (3) A list of the product categories from Table 1 of this subpart 
that you manufacture, import, or distribute;
    (4) The street address of each of your facilities in the United 
States that is manufacturing, packaging, or importing aerosol coatings 
that are subject to the provisions of this subpart, and the street 
address where compliance records are maintained for each site, if 
different;
    (5) A description of date coding systems, clearly explaining how the 
date of manufacture is marked on each sales unit;
    (6) An explanation of the product category codes that will be used 
on all required labels, or a statement that the default category codes 
in Table 1 of this subpart will be used;
    (7) For each product category, an explanation of how the 
manufacturer, distributor, or importer will define a batch for the 
purpose of the recordkeeping requirements;
    (8) A list of any compounds or mixtures that will be used in aerosol 
coatings that are not included in Table 2A, 2B, or 2C of this subpart;
    (9) For each product category, VOC formulation data for each 
formulation that you anticipate manufacturing, importing, or 
distributing for calendar year 2009 or for the first year that includes 
your compliance date, if different than 2009. If a regulated entity can 
certify that the reporting is being completed by another regulated 
entity for any product, no second report is required. The formulation 
data must include the weight fraction (g compound/g product) for each 
VOC ingredient used in the product in an amount greater than or equal to 
0.1 percent. The formulation data must also include the information in 
either paragraph (b)(9)(i) or (b)(9)(ii) of this section for each VOC 
ingredient reported.
    (i) For compounds listed in Table 2A of this regulation, the 
chemical name, CAS number, and the applicable reactivity factor; or
    (ii) For hydrocarbon solvent mixtures listed in either 2B or 2C or 
this subpart, the trade name, solvent mixture manufacturer, bin number, 
and the applicable reactivity factor.
    (10) For each product formulation, a list of the unique product 
codes by Universal Product Code (UPC), or other unique identifier; and

[[Page 333]]

    (11) A statement certifying that all products manufactured by the 
company that are subject to the limits in Table 1 of this subpart will 
be in compliance with those limits.
    (c) If you change any information included in the initial 
notification required by paragraph (b) of this section, including the 
list of aerosol categories, contact information, records location, the 
category or date coding system, or the list required under paragraph 
(b)(8) of this section, you must notify the Administrator of such 
changes within 30 days following the change. You are also required to 
notify the Administrator within 30 days of the date that you begin using 
an organic compound in any of your aerosol coating products if that 
compound has an RF less than or equal to 0.3, and is used at a level 
greater than or equal to 7.3 weight percent (g of compound/g product) in 
any of your formulations. You are not required to notify the 
Administrator within 30 days of changes to the information provided as 
required by paragraph (b)(9) of this section. Changes in formulation are 
to be reported in the triennial reporting required by paragraph (i) of 
this section.
    (d) Upon 60 days written notice, you must submit to the 
Administrator a written report with all the information in paragraphs 
(d)(1) through (d)(5) of this section for each product you manufacture, 
distribute, or import under your name or another company's name.
    (1) The brand name of the product;
    (2) A copy of the product label;
    (3) The owner of the trademark or brand names;
    (4) The product category as defined in Sec. 59.503;
    (5) For each product, formulation data for each formulation that 
manufactured, imported, or distributed in the requested time period. The 
formulation data must include the weight fraction (g compound/g product) 
for each VOC ingredient used in the product in an amount greater than or 
equal to 0.1 percent, plus the weight fraction of all other ingredients 
including: Water, total solids, and any other compounds assigned an RF 
of zero. The formulation data must also include the information in 
either paragraph (d)(5)(i) or (ii) of this section.
    (i) For compounds listed in Table 2A of this subpart, the chemical 
name, CAS number, and the applicable reactivity factor.
    (ii) For hydrocarbon solvent mixtures listed in either 2B or 2C or 
this table, the trade name, solvent mixture manufacturer, bin number, 
and the applicable reactivity factor.
    (e) If you claim the exemption under Sec. 59.501(e), you must 
submit an initial notification no later than 90 days before the 
compliance date or at least 90 days before the date that you first 
manufacture aerosol coatings, whichever is later. The initial 
notification must include the information in paragraphs (e)(1) through 
(e)(6) of this section.
    (1) Company name;
    (2) Name, title, number, address, telephone number, e-mail address, 
and signature of certifying company official;
    (3) A list of the product categories from Table 1 of this subpart 
that you manufacture;
    (4) The total amount of product you manufacture in each category and 
the total VOC mass content of such products for the preceding calendar 
year;
    (5) The street address of each of your facilities in the United 
States that is manufacturing aerosol coatings that are subject to the 
provisions of this subpart and the street address where compliance 
records are maintained for each site, if different; and
    (6) A list of the States in which you sell or otherwise distribute 
the products you manufacture.
    (f) If you claim the exemption under Sec. 59.501(e), you must file 
an annual report for each year in which you claim an exemption from the 
limits of this subpart. Such annual report must be filed by March 1 of 
the year following the year in which you manufactured the products. The 
annual report shall include the same information required in paragraphs 
(e)(1) through (e)(6) of this section.
    (g) If you are a manufacturer, importer, or distributor who chooses 
to certify that you will maintain records for a regulated entity for all 
or part of the purposes of Sec. 59.510 and this section, you must 
submit a report to the appropriate Regional Office listed in Sec. 
59.512.

[[Page 334]]

This report must include the information contained in (g)(1) though 
(g)(4) of this section.
    (1) Name and address of certifying entity;
    (2) Name and address(es) of the regulated entity for which you are 
accepting responsibility;
    (3) Description of specific requirements in Sec. 59.510 and this 
section for which you are assuming responsibility and explanation of how 
all required information under this subpart will be maintained and 
submitted, as required, by you or the regulated entity; and
    (4) Signature of responsible official for the company.
    (h) An entity that has provided certification under paragraph (g) of 
this section (the ``certifying entity'') may revoke the written 
certification by sending a written statement to the appropriate Regional 
Office listed in Sec. 59.512 and to the regulated entity for which the 
certifying had accepted responsibility, giving a minimum of 90 days 
notice that the certifying entity is rescinding acceptance of 
responsibility for compliance with the requirements outlined in the 
certification letter. Upon expiration of the notice period, the 
regulated entity must assume responsibility for all applicable 
requirements.
    (i) As a regulated entity in accordance with paragraph (a) of this 
section, you must provide the information requested in paragraphs (i)(1) 
through (i)(4) of this section every three years beginning in 2011 for 
reporting year 2010. The report shall be submitted by March 31 of the 
year following the reporting year to the appropriate Regional Office 
listed in Sec. 59.512. The first report is due March 31, 2011, for 
calendar year 2010.
    (1) All identification information included in paragraphs (b)(1), 
(b)(2), and (b)(4) of this section;
    (2) For each product category, VOC formulation data for each 
formulation that was manufactured, imported, or distributed in the 
reporting year. The formulation data must include the weight fraction (g 
compound/g product) for each VOC ingredient used in the product in an 
amount equal to or greater than 0.1 percent. If a regulated entity can 
certify that the reporting is being completed by another regulated 
entity for any product, no second report is required. The formulation 
data must include the information in either paragraph (i)(2)(i) or 
(i)(2)(ii) of this section for each VOC present in an amount greater 
than or equal to 0.1 percent.
    (i) For compounds listed in Table 2A of this subpart, the chemical 
name, CAS number, and the applicable reactivity factor; or
    (ii) For hydrocarbon solvent mixtures listed in either 2B or 2C of 
this subpart, the trade name, solvent mixture manufacturer, bin number, 
and the applicable reactivity factor.
    (3) For each formulation, the total mass of each individual VOC 
species present in an amount greater than or equal to 0.1 percent of the 
formulation, that was manufactured, imported, or distributed in the 
reporting year; and
    (4) For each formulation, a list of the individual product codes by 
UPC or other unique identifier.
    (j) If a regulated entity identifies a VOC that is needed for an 
aerosol formulation that is not listed in Tables 2A, 2B, or 2C of this 
subpart, it is assigned a default RF factor of 22.04 g O3/g VOC. 
Regulated entities may petition the Administrator to add a compound to 
Table 2A, 2B, or 2C of this subpart. Petitions must include the chemical 
name, CAS number, a statement certifying the intent to use the compound 
in an aerosol coatings product, and adequate information for the 
Administrator to evaluate the reactivity of the compound and assign a RF 
value consistent with the values for the other compounds listed in Table 
2A of this subpart. Any requests submitted to EPA on or before June 1, 
2008 will be considered and, if appropriate, incorporated into Table 2A, 
2B, or 2C of this subpart on or before January 1, 2009.



Sec. 59.512  Addresses of EPA regional offices.

    All requests (including variance 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 for the address that is listed on

[[Page 335]]

the aerosol coating product in question. 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 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. 59.513  State authority.

    The provisions in this regulation will 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, distributor or importer of aerosol 
coatings or components in addition to the requirements of this subpart.
    (b) Requiring the manufacturer, distributor or importer of aerosol 
coatings or components to obtain permits, licenses, or approvals prior 
to initiating construction, modification, or operation of a facility for 
manufacturing an aerosol coating or component.



Sec. 59.514  Circumvention.

    Each manufacturer, distributor, and importer of an aerosol 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, misstating the PWR 
content of a coating or component batch, or altering the results of any 
required tests to determine the PWR.



Sec. 59.515  Incorporations by reference.

    (a) The following material is incorporated by reference (IBR) in the 
paragraphs noted in Sec. 59.508. 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 approval, and notice of any changes in these 
materials will be published in the Federal Register.
    (1) California Air Resources Board Method 3-0--Determination of 
Volatile Organic Compounds (VOC) in Consumer Products and Reactive 
Organic Compounds in Aerosol Coating Products (May 5, 2005), IBR 
approved for Sec. 59.508.
    (2) South Coast Air Quality Management District (SCAQMD) Test Method 
318-95, Determination of Weight Percent Elemental Metal in Coatings by 
X-ray Diffraction, (July, 1996), IBR approved for Sec. 59.508.

[[Page 336]]

    (3) ASTM Method D523-89 (Reapproved 1999), Standard Test Method for 
Specular Gloss, IBR approved for Sec. 59.508.
    (b) You may obtain and inspect the materials at the Air and 
Radiation Docket and Information Center, U.S. EPA, 401 M Street, SW., 
Washington, DC; the EPA Library, 109 T.W. Alexander Drive, U.S. EPA, 
Research Triangle Park, North Carolina; you may inspect the materials 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.



Sec. 59.516  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 Clean Air Act (CAA) that must 
be submitted or maintained by each regulated entity pursuant to this 
subpart shall be treated in accordance with 40 CFR part 2, subpart B.
    (c) Reports and Applications. The content of all reports and 
applications required to be submitted to the Agency under Sec. 59.511, 
Sec. 59.509, or Sec. 59.502 are not entitled to protection under 
Section 114(c) of the CAA.


 Table 1 to Subpart E of Part 59--Product-Weighted Reactivity Limits 
                           by Coating Category

                            [g O3/g product]
------------------------------------------------------------------------
                                                            Reactivity
         Coating category            Category code \a\         limit
------------------------------------------------------------------------
Clear Coatings...................  CCP                              1.50
Flat Coatings....................  FCP                              1.20
Fluorescent Coatings.............  FLP                              1.75
Metallic Coatings................  MCP                              1.90
Non-Flat Coatings................  NFP                              1.40
Primers..........................  PCP                              1.20
Ground Traffic/Marking...........  GTM                              1.20
Art Fixatives or Sealants........  AFS                              1.80
Auto body primers................  ABP                              1.55
Automotive Bumper and Trim         ABT                              1.75
 Products.
Aviation or Marine Primers.......  AMP                              2.00
Aviation Propellor Coatings......  APC                              2.50
Corrosion Resistant Brass,         CRB                              1.80
 Bronze, or Copper Coatings.
Exact Match Finish--Engine Enamel  EEE                              1.70
Exact Match Finish--Automotive...  EFA                              1.50
Exact Match Finish--Industrial...  EFI                              2.05
Floral Sprays....................  FSP                              1.70
Glass Coatings...................  GCP                              1.40
High Temperature Coatings........  HTC                              1.85
Hobby/Model/Craft Coatings,        HME                              1.45
 Enamel.
Hobby/Model/Craft Coatings,        HML                              2.70
 Lacquer.
Hobby/Model/Craft Coatings, Clear  HMC                              1.60
 or Metallic.
Marine Spar Varnishes............  MSV                              0.90
Photograph Coatings..............  PHC                              1.00
Pleasure Craft Primers, Surfacers  PCS                              1.05
 or Undercoaters.
Pleasure Craft Topcoats..........  PCT                              0.60
Polyolefin Adhesion Promoters....  PAP                              2.50
Shellac Sealers, Clear...........  SSC                              1.00
Shellac Sealers, Pigmented.......  SSP                              0.95
Slip-Resistant Coatings..........  SRC                              2.45
Spatter/Multicolor Coatings......  SMC                              1.05
Vinyl/Fabric/Leather/              VFL                              1.55
 Polycarbonate Coatings.
Webbing/Veiling Coatings.........  WFC                              0.85
Weld-Through Primers.............  WTP                              1.00
Wood Stains......................  WSP                              1.40
Wood Touch-up/Repair or            WTR                             1.50
 Restoration Coatings.
------------------------------------------------------------------------
\a\ Regulated entities may use these category codes or define their own
  in accordance with Sec. 59.511(b)(6).


[[Page 337]]



 Table 2A to Subpart E of Part 59--Reactivity Factors

------------------------------------------------------------------------
                                                            Reactivity
                Compound                      CAS No.         factor
------------------------------------------------------------------------
1-Butanol...............................         71-36-3            3.34
1,2,4-Trimethylbenzene..................         95-63-6            7.18
2-Butanol (s-Butyl alcohol).............         78-92-2            1.60
2-Butoxy-1-Ethanol (Ethylene glycol             111-76-2            1.67
 monobutyl ether).......................
2-Propoxyethanol (ethylene glycol              2807-30-9            3.52
 monopropyl ether)......................
Acetone (Propanone).....................         67-64-1            0.43
Amyl acetate (Pentyl ethanoate, pentyl          628-63-7            0.96
 acetate)...............................
Butane..................................        106-97-8            1.33
Butyl acetate, n........................        123-86-4            0.89
Cyclohexanone...........................        108-94-1            1.61
Di (2-ethylhexyl phthalate).............        117-81-7  ..............
Diacetone alcohol.......................        123-42-2            0.68
Diethanolamine..........................        111-42-2            4.05
Diisobutyl ketone.......................        108-83-8            2.94
Dimethyl ether..........................        115-10-6            0.93
Ethanol.................................         64-17-5            1.69
Ethyl acetate...........................        141-78-6            0.64
Ethyl benzene...........................        100-41-4            2.79
Ethyl-3-Ethoxypropionate................        763-69-9            3.61
Ethylene glycol monoethyl ether acetate         111-15-9             1.9
 (2-Ethoxyethyl acetate)................
Heptane.................................        142-82-5            1.28
Hexane..................................        110-54-3            1.45
Isobutane...............................         75-28-6            1.35
Isobutanol..............................         78-83-1            2.24
Isobutyl Acetate........................        110-19-0            0.67
Isohexane Isomers.......................        107-83-5            1.80
Isopropyl alcohol (2-Propanol)..........         67-63-0            0.71
Methanol................................         67-56-1            0.71
Methyl amyl ketone......................        110-43-0            2.80
Methyl ethyl ketone (2-Butanone)........         78-93-3            1.49
Methyl isobutyl ketone..................        108-10-1            4.31
Methyl n-Propyl Ketone (2-Pentanone)....        107-87-9            3.07
N,N-Dimethylethanolamine................        108-01-0            4.76
N-Butyl alcohol (Butanol)...............         71-36-3            3.34
Pentane.................................        109-66-0            1.54
Propane.................................         74-98-6            0.56
Propylene glycol........................         57-55-6            2.75
Propylene glycol monomethyl ether               108-65-6            1.71
 acetate................................
Texanol (1,3 Pentanediol, 2,2,4-              25265-77-4            0.89
 trimethyl, 1-isobutyrate)..............
Toluene.................................        108-88-3            3.97
Vinyl Chloride..........................         75-01-4            2.92
Xylene, meta-...........................        108-38-3           10.61
Xylene, ortho-..........................         95-47-6            7.49
Xylene, para-...........................        106-42-3            4.25
------------------------------------------------------------------------



 Table 2B to Subpart E of Part 59--Reactivity Factors for Aliphatic 
                      Hydrocarbon Solvent Mixtures

------------------------------------------------------------------------
                        Average
        Bin          boiling point        Criteria          Reactivity
                    *  (degrees F)                            factor
------------------------------------------------------------------------
1.................          80-205  Alkanes (< 2%                   2.08
                                     Aromatics).
2.................          80-205  N- & Iso-Alkanes                1.59
                                     (= 90%
                                     and < 2% Aromatics).
3.................          80-205  Cyclo-Alkanes (= 90% and <
                                     2% Aromatics).
4.................          80-205  Alkanes (2 to < 8%              2.24
                                     Aromatics).
5.................          80-205  Alkanes (8 to 22%               2.56
                                     Aromatics).
6.................  205  Alkanes (< 2%                   1.41
                              -340   Aromatics).
7.................  205  N- & Iso-Alkanes (              1.17
                              -340   = 90%
                                     and < 2% Aromatics).
8.................  205  Cyclo-Alkanes (= 90% and <
                                     2% Aromatics).
9.................  205  Alkanes (2 to < 8%              1.62
                              -340   Aromatics).
10................  205  Alkanes (8 to 22%               2.03
                              -340   Aromatics).
11................  340  Alkanes (< 2%                   0.91
                              -460   Aromatics).
12................  340  N- & Iso-Alkanes                0.81
                              -460   (= 90%
                                     and < 2% Aromatics).
13................  340  Cyclo-Alkanes (= 90% and <
                                     2% Aromatics).
14................  340  Alkanes (2 to < 8%              1.21
                              -460   Aromatics).
15................  340  Alkanes (8 to 22%               1.82
                              -460   Aromatics).
16................  460  Alkanes (< 2%                   0.57
                              -580   Aromatics).
17................  460  N- & Iso-Alkanes                0.51
                              -580   (= 90%
                                     and < 2% Aromatics).
18................  460  Cyclo-Alkanes (= 90% and <
                                     2% Aromatics).

[[Page 338]]

 
19................  460  Alkanes (2 to < 8%              0.88
                              -580   Aromatics).
20................  460  Alkanes (8 to 22%              1.49
                              -580   Aromatics).
------------------------------------------------------------------------
* Average Boiling Point = (Initial Boiling Point + Dry Point) / 2 (b)
  Aromatic Hydrocarbon Solvents



  Table 2C to Subpart E of Part 59--Reactivity Factors for Aromatic 
                      Hydrocarbon Solvent Mixtures

------------------------------------------------------------------------
                     Boiling range                          Reactivity
        Bin           (degrees F)         Criteria            factor
------------------------------------------------------------------------
21................         280-290  Aromatic Content                7.37
                                     (=98%).
22................         320-350  Aromatic Content                7.51
                                     (=98%).
23................         355-420  Aromatic Content                8.07
                                     (=98%).
24................         450-535  Aromatic Content                5.00
                                     (=98%).
------------------------------------------------------------------------



Subpart F_Control of Evaporative Emissions From New and In-Use Portable 
                             Fuel Containers

    Source: 72 FR 8533, Feb. 26, 2007, unless otherwise noted.

                       Overview and Applicability



Sec. 59.600  Does this subpart apply for my products?

    (a) Except as provided in Sec. 59.605 and paragraph (b) of this 
section, the regulations in this subpart F apply for all portable fuel 
containers (defined in Sec. 59.680) that are manufactured on or after 
January 1, 2009.
    (b) See Sec. 59.602 (a) and (b) to determine how to apply the 
provisions of this subpart for containers that were manufactured before 
January 1, 2009.



Sec. 59.601  Do the requirements of this subpart apply to me?

    (a) Unless specified otherwise in this subpart, the requirements and 
prohibitions of this subpart apply to all manufacturers and importers of 
portable fuel containers. Certain prohibitions in Sec. 59.602 apply to 
all other persons.
    (b) New portable fuel containers that are subject to the emissions 
standards of this part must be covered by a certificate of conformity 
that is issued to the manufacturer of the container. If more than one 
person meets the definition of manufacturer for a portable fuel 
container, see Sec. 59.621 to determine if you are the manufacturer who 
may apply for and receive a certificate of conformity.
    (c) Unless specifically noted otherwise, the term ``you'' means 
manufacturers, as defined in Sec. 59.680.



Sec. 59.602  What are the general prohibitions and requirements
of this subpart?

    (a) General prohibition for manufacturers and importers. No 
manufacturer or importer may sell, offer for sale, introduce or deliver 
for introduction into commerce in the United States, or import any new 
portable fuel container that is subject to the emissions standards of 
this subpart and is manufactured after December 31, 2008 unless it is 
covered by a valid certificate of conformity, it is labeled as required, 
and it complies with all of the applicable requirements of this subpart, 
including compliance with the emissions standards for its useful life. 
After June 30, 2009, no manufacturer or importer may sell, offer for 
sale, introduce or deliver into commerce in the United States, or import 
any new portable fuel container that was manufactured prior to January 
1, 2009 unless it meets the requirements of this subpart.
    (b) General prohibition for wholesale distributors. No wholesale 
distributor may sell, offer for sale, or distribute any portable fuel 
container in the United States that is subject to the emissions 
standards of this subpart and is manufactured after December 31, 2008 
unless it is covered by a valid certificate of conformity and is labeled 
as required. After December 31, 2009, no wholesale distributor may sell, 
offer for sale, or distribute in the United States any portable fuel 
container that

[[Page 339]]

was manufactured prior to January 1, 2009 unless it meets the 
requirements of this subpart. After December 31, 2009, all new portable 
fuel containers shall be deemed to be manufactured after December 31, 
2008 unless they are in retail inventory.
    (c) Reporting and recordkeeping. (1) You must keep the records and 
submit the reports specified in Sec. 59.628. Records must be retained 
for at least 5 years from the date of manufacture or importation and 
must be supplied to EPA upon request.
    (2) No person may alter, destroy, or falsify any record or report 
required by this subpart.
    (d) Testing and access to facilities. You may not keep us from 
entering your facility to observe tests or inspect facilities if we are 
authorized to do so. Also, you must perform the tests we require (or 
have the tests done for you). Failure to perform this testing is 
prohibited.
    (e) Warranty. You may not fail to offer, provide notice of, or honor 
the emissions warranty required under this subpart.
    (f) Replacement components. No person may sell, offer for sale, 
introduce or deliver for introduction into commerce in the United 
States, import, or install any replacement component for portable fuel 
containers subject to the standards of this subpart where the component 
has the effect of disabling, bypassing, or rendering inoperative the 
emissions controls of the containers.
    (g) Violations. If a person violates any prohibition or requirement 
of this subpart or the Act concerning portable fuel containers, it shall 
be considered a separate violation for each portable fuel container.
    (h) Assessment of penalties and injunctions. We may assess 
administrative penalties, bring a civil action to assess and recover 
civil penalties, bring a civil action to enjoin and restrain violations, 
or bring criminal action as provided by the Clean Air Act.



Sec. 59.603  How must manufacturers apply good engineering judgment?

    (a) In addition to other requirements and prohibitions set forth in 
this subpart, you must use good engineering judgment for decisions 
related to any requirements under this subpart. This includes your 
applications for certification, any testing you do to show that your 
portable fuel containers comply with requirements that apply to them, 
and how you select, categorize, determine, and apply these requirements.
    (b) Upon request, you must provide EPA a written description of the 
engineering judgment in question. Such information must be provided 
within 15 working days unless EPA specifies a different period of time 
to respond.
    (c) We may reject your decision if it is not based on good 
engineering judgment or is otherwise inconsistent with the requirements 
that apply, and we may--
    (1) Suspend, revoke, or void a certificate of conformity if we 
determine you used incorrect or incomplete information or failed to 
consider relevant information, or that your decision was not based on 
good engineering judgment; or
    (2) Notify you that we believe any aspect of your application or 
other information submission may be incorrect or invalid due to lack of 
good engineering judgment or other cause. Unless a different period is 
specified, you will have 30 days to respond to our notice and 
specifically address our concerns. After considering your information, 
we will notify you regarding our finding, which may include the actions 
provided in paragraph (c)(1) of this section.
    (d) If you disagree with our conclusions under paragraph (c) of this 
section, you may file a request for a hearing with the Designated 
Compliance Officer as described in Sec. 59.699. In your request, you 
must specifically state your objections, and include relevant data or 
supporting analysis. The request must be signed by your authorized 
representative. If we agree that your request raises a substantial 
factual issue, we will hold the hearing according to Sec. 59.699.



Sec. 59.605  What portable fuel containers are excluded from
this subpart's requirements?

    This section describes exclusions that apply to certain portable 
fuel containers. The prohibitions and requirements of this subpart do 
not apply for containers excluded under this section.

[[Page 340]]

Exclusions under this section are based on inherent characteristics of 
the containers. See Sec. 59.660 for exemptions that apply based on 
special circumstances.
    (a) Containers approved as safety cans consistent with the 
requirements of 29 CFR 1926.150 through 1926.152 are excluded. Such cans 
generally have a flash-arresting screens, spring-closing lids and spout 
covers and have been approved by a nationally recognized testing 
laboratory such as Factory Mutual Engineering Corp. or Underwriters 
Laboratories, Inc., or Federal agencies such as Bureau of Mines, or U.S. 
Coast Guard.
    (b) Containers with a nominal capacity of less than 0.25 gallons or 
more than 10.0 gallons are excluded.
    (c) Containers designed and marketed solely to deliver fuel directly 
to nonroad engines during engine operation, such as containers with a 
connection for a fuel line and a reserve fuel area, are considered to be 
nonroad fuel tanks, and are thus excluded.



Sec. 59.607  Submission of information.

    (a) You are responsible for all statements you make to us related to 
this subpart F, including information not required during certification. 
You are required to provide truthful and complete information. This 
subpart describes the consequences of failing to meet this obligation. 
The consequences also may include prosecution under 18 U.S.C. 1001 and 
42 U.S.C. 7431(c)(2).
    (b) We may require an officer or authorized representative of your 
company with knowledge of the information contained in the submittal to 
approve and sign any submission of information to us, and to certify 
that all the information submitted is accurate and complete.

               Emission Standards and Related Requirements



Sec. 59.611  What evaporative emission requirements apply 
under this subpart?

    (a) Hydrocarbon emissions from portable fuel containers may not 
exceed 0.3 grams per gallon per day when measured with the test 
procedures in Sec. Sec. 59.650 through 59.653. This procedure measures 
diurnal venting emissions and permeation emissions.
    (b) For the purpose of this section, portable fuel containers 
include spouts, caps, gaskets, and other parts provided with the 
container.
    (c) The following general requirements also apply for all portable 
fuel containers subject to the standards of this subpart:
    (1) Prohibited controls. The following controls are prohibited:
    (i) For anyone to design, manufacture, or install emission control 
systems so they cause or contribute to an unreasonable risk to public 
health, welfare, or safety while operating.
    (ii) For anyone to design, manufacture, or install emission control 
systems with features that disable, deactivate, reduce effectiveness, or 
bypass the emission controls, either actively or passively. For example, 
you may not include a manual vent that the operator can open to bypass 
emission controls. You may ask us to allow such features if needed for 
safety reasons or if the features operate during emission tests 
described in subpart F of this part.
    (2) Leaks. You must design and manufacture your containers to be 
free of leaks. This requirement applies when your container is upright, 
partially inverted, or completely inverted.
    (3) Refueling. You are required to design your portable fuel 
containers to minimize spillage during refueling to the extent 
practical. This requires that you use good engineering judgment to avoid 
designs that will make it difficult to refuel typical vehicle and 
equipment designs without spillage.
    (d) Portable fuel containers must meet the standards and 
requirements specified in this subpart throughout the useful life of the 
container. The useful life of the container is five years beginning on 
the date of sale to the ultimate purchaser.



Sec. 59.612  What emission-related warranty requirements apply to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
that the new portable fuel container, including all parts of its 
evaporative emission-control system, is:

[[Page 341]]

    (1) Designed, built, and equipped so it conforms at the time of sale 
to the ultimate purchaser with the requirements of this subpart.
    (2) Is free from defects in materials and workmanship that may keep 
it from meeting these requirements.
    (b) Warranty notice and period. Your emission-related warranty must 
be valid for a minimum of one year from the date of sale to the ultimate 
purchaser.
    (c) Notice. You must provide a warranty notice with each container.



Sec. 59.613  What operation and maintenance instructions 
must I give to buyers?

    You must provide the ultimate purchaser of the new portable fuel 
container written instructions for properly maintaining and using the 
emission-control system.



Sec. 59.615  How must I label and identify the portable
fuel containers I produce?

    This section describes how you must label your portable fuel 
containers.
    (a) At the time of manufacture, indelibly mark the month and year of 
manufacture on each container.
    (b) Mold into or affix a legible label identifying each portable 
fuel container. The label must be:
    (1) Attached so it is not easily removable.
    (2) Secured to a part of the container that can be easily viewed 
when the can is in use, not on the bottom of the container.
    (3) Written in English.
    (c) The label must include:
    (1) The heading ``EMISSION CONTROL INFORMATION''.
    (2) Your full corporate name, trademark and warranty contact 
information.
    (3) A standardized identifier such as EPA's standardized designation 
for the emission families, the model number, or the part number.
    (4) This statement: ``THIS CONTAINER COMPLIES WITH U.S. EPA EMISSION 
REGULATIONS FOR PORTABLE FUEL CONTAINERS (40 CFR Part 59).''.
    (5) This statement: ``THE EMISSIONS WARRANTY IS VALID FOR A MINIMUM 
OF ONE YEAR FROM DATE OF PURCHASE.''.
    (d) You may add information to the emission control information 
label to identify other emission standards that the container meets or 
does not meet (such as California standards). You may also add other 
information to ensure that the portable fuel container will be properly 
maintained and used.
    (e) You may request that we approve modified labeling requirements 
in this subpart F if you show that it is necessary or appropriate. We 
will approve your request if your alternate label is consistent with the 
requirements of this subpart.
    (f) You may identify the name and trademark of another company 
instead of their own on your emission control information label, subject 
to the following provisions:
    (1) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (i) Meet the emission warranty requirements that apply under Sec. 
59.612. This may involve a separate agreement involving reimbursement of 
warranty-related expenses.
    (ii) Report all warranty-related information to the certificate 
holder.
    (2) In your application for certification, identify the company 
whose trademark you will use and describe the arrangements you have made 
to meet your requirements under this section.
    (3) You remain responsible for meeting all the requirements of this 
subpart.

                      Certifying Emission Families



Sec. 59.621  Who may apply for a certificate of conformity?

    A certificate of conformity may be issued only to the manufacturer 
that completes the construction of the portable fuel container. In 
unusual circumstances, upon a petition by a manufacturer, we may allow 
another manufacturer of the container to hold the certificate of 
conformity. However, in order to hold the certificate, the manufacturer 
must demonstrate day-to-day

[[Page 342]]

ability to ensure that containers produced under the certificate will 
comply with the requirements of this subpart.



Sec. 59.622  What are the general requirements for obtaining
a certificate of conformity and producing portable fuel containers

under it?

    (a) You must send us a separate application for a certificate of 
conformity for each emission family. A certificate of conformity for 
containers is valid from the indicated effective date until the end of 
the production period for which it is issued. We may require new 
certification prior to the end of the production period if we finds that 
containers are not meeting the standards in use during their useful 
life.
    (b) The application must be written in English and contain all the 
information required by this subpart and must not include false or 
incomplete statements or information (see Sec. Sec. 59.607 and 59.629).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec. 59.628.
    (d) You must use good engineering judgment for all decisions related 
to your application (see Sec. 59.603).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 59.629 for provisions describing how we will process 
your application.
    (g) If we approve your application, we will issue a certificate that 
will allow you to produce the containers that you described in your 
application for a specified production period. Certificates do not allow 
you to produce containers that were not described in your application, 
unless we approve the additional containers under Sec. 59.624.



Sec. 59.623  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
59.622(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the emission family's specifications and other basic 
parameters of the emission controls. List each distinguishable 
configuration in the emission family. Include descriptions and part 
numbers for all detachable components such as spouts and caps.
    (b) Describe and explain the method of emission control.
    (c) Describe the products you selected for testing and the reasons 
for selecting them.
    (d) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec. 
59.650).
    (e) List the specifications of the test fuel to show that it falls 
within the required ranges specified in Sec. 59.650.
    (f) Include the maintenance and use instructions and warranty 
information you will give to the ultimate purchaser of each new portable 
fuel container (see Sec. 59.613).
    (g) Describe your emission control information label (see Sec. 
59.615).
    (h) State that your product was tested as described in the 
application (including the test procedures, test parameters, and test 
fuels) to show you meet the requirements of this subpart.
    (i) Present emission data to show your products meet the applicable 
emission standards. Where applicable, Sec. Sec. 59.626 and 59.627 may 
allow you to submit an application in certain cases without new emission 
data.
    (j) Report all test results, including those from invalid tests or 
from any other tests, whether or not they were conducted according to 
the test procedures of Sec. Sec. 59.650 through 59.653. We may ask you 
to send other information to confirm that your tests were valid under 
the requirements of this subpart.
    (k) Unconditionally certify that all the products in the emission 
family comply with the requirements of this subpart, other referenced 
parts of the CFR, and the Clean Air Act.
    (l) Include estimates of U.S.-directed production volumes.
    (m) Include the information required by other sections of this 
subpart.
    (n) Include other relevant information, including any additional 
information requested by EPA.
    (o) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any

[[Page 343]]

of your officers or employees for any action by EPA or otherwise by the 
United States related to the requirements of this subpart.



Sec. 59.624  How do I amend my application for certification?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified configurations, subject to the 
provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.
    (a) You must amend your application before you take either of the 
following actions:
    (1) Add a configuration to an emission family. In this case, the 
configuration added must be consistent with other configurations in the 
emission family with respect to the criteria listed in Sec. 59.625.
    (2) Change a configuration already included in an emission family in 
a way that may affect emissions, or change any of the components you 
described in your application for certification. This includes 
production and design changes that may affect emissions any time during 
the portable fuel containers' lifetime.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the configuration 
you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
emission family complies with all applicable requirements. You may do 
this by showing that the original emission data are still appropriate 
with respect to showing compliance of the amended family with all 
applicable requirements.
    (3) If the original emission data for the emission family are not 
appropriate to show compliance for the new or modified configuration, 
include new test data showing that the new or modified configuration 
meets the requirements of this subpart.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For emission families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified configuration. You may ask for a 
hearing if we deny your request (see Sec. 59.699).
    (e) For emission families already covered by a certificate of 
conformity and you send us a request to amend your application, you may 
sell and distribute the new or modified configuration before we make a 
decision under paragraph (d) of this section, subject to the provisions 
of this paragraph. If we determine that the affected configurations do 
not meet applicable requirements, we will notify you to cease production 
of the configurations and any containers from the new or modified 
configuration will not be considered covered by the certificate. In 
addition, we may require you to recall any affected containers that you 
have already distributed, including those sold to the ultimate 
purchasers. Choosing to produce containers under this paragraph (e) is 
deemed to be consent to recall all containers that we determine do not 
meet applicable emission standards or other requirements and to remedy 
the nonconformity at no expense to the owner. If you do not provide 
information required under paragraph (c) of this section within 30 days, 
you must stop producing the new or modified containers.



Sec. 59.625  How do I select emission families?

    (a) Divide your product line into families of portable fuel 
containers that are expected to have similar emission characteristics 
throughout the useful life.
    (b) Group containers in the same emission family if they are the 
same in all the following aspects:
    (1) Type of material (including pigments, plasticizers, UV 
inhibitors, or other additives that may affect control of emissions).

[[Page 344]]

    (2) Production method.
    (3) Spout and cap design.
    (4) Gasket material and design.
    (5) Emission control strategy.
    (c) You may subdivide a group of containers that is identical under 
paragraph (b) of this section into different emission families if you 
show the expected emission characteristics are different.
    (d) You may group containers that are not identical with respect to 
the things listed in paragraph (b) of this section in the same emission 
family if you show that their emission characteristics will be similar 
throughout their useful life.



Sec. 59.626  What emission testing must I perform for my application
for a certificate of conformity?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec. 59.611.
    (a) Test your products using the procedures and equipment specified 
in Sec. Sec. 59.650 through 59.653.
    (b) Select an emission-data unit from each emission family for 
testing. You must test a production sample or a preproduction product 
that will represent actual production. Select the configuration that is 
most likely to exceed (or have emissions nearest to) the applicable 
emission standard. For example, for a family of multilayer portable fuel 
containers, test the container with the thinnest barrier layer. Test 
three identical containers.
    (c) We may measure emissions from any of your products from the 
emission family. You must supply your products to us if we choose to 
perform confirmatory testing.
    (d) You may ask to use emission data from a previous production 
period (carryover) instead of doing new tests, but only if the emission-
data from the previous production period remains the appropriate 
emission-data unit under paragraph (b) of this section. For example, you 
may not carryover emission data for your family of containers if you 
have added a thinner-walled container than was tested previously.
    (e) We may require you to test a second unit of the same or 
different configuration in addition to the unit tested under paragraph 
(b) of this section.
    (f) If you use an alternate test procedure under Sec. 59.652 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in this subpart, we may reject 
data you generated using the alternate procedure and base our compliance 
determination on the later testing.



Sec. 59.627  How do I demonstrate that my emission family complies
with evaporative emission standards?

    (a) For purposes of certification, your emission family is 
considered in compliance with an evaporative emission standard in Sec. 
59.611(a) if the test results from all portable fuel containers in the 
family that have been tested show measured emissions levels that are at 
or below the applicable standard.
    (b) Your emissions family is deemed not to comply if any container 
representing that family has test results showing an official emission 
level above the standard.
    (c) Round the measured emission level to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard.



Sec. 59.628  What records must I keep and what reports 
must I send to EPA?

    (a) Organize and maintain the following records:
    (1) A copy of all applications and any other information you send 
us.
    (2) Any of the information we specify in Sec. 59.623 that you were 
not required to include in your application.
    (3) A detailed history of each emission-data unit. For each 
emission-data unit, include all of the following:
    (i) The emission-data unit's construction, including its origin and 
buildup, steps you took to ensure that it represents production 
containers, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) All your emission tests, including documentation on routine and 
standard tests, as specified in Sec. Sec. 59.650 through 59.653, and 
the date and purpose of each test.

[[Page 345]]

    (iii) All tests to diagnose emission-control performance, giving the 
date and time of each and the reasons for the test.
    (iv) Any other relevant events or information.
    (4) Production figures for each emission family divided by assembly 
plant.
    (5) If you identify your portable fuel containers by lot number or 
other identification numbers, keep a record of these numbers for all the 
containers you produce under each certificate of conformity.
    (b) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in paragraph (a) of this section for five years after we issue 
your certificate.
    (c) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.
    (d) Send us copies of any maintenance instructions or explanations 
if we ask for them.
    (e) Send us an annual warranty report summarizing successful 
warranty claims by emission family under Sec. 59.612, including the 
reason for the claim. You must submit the report by July 1 for the 
preceding calendar year.



Sec. 59.629  What decisions may EPA make regarding my certificate
of conformity?

    (a) If we determine your application is complete and shows that the 
emission family meets all the requirements of this subpart and the Act, 
we will issue a certificate of conformity for your emission family for 
the specified production period. We may make the approval subject to 
additional conditions.
    (b) We may deny your application for certification if we determine 
that your emission family fails to comply with emission standards or 
other requirements of this subpart or the Act. Our decision may be based 
on a review of all information available to us. If we deny your 
application, we will explain why in writing.
    (c) In addition, we may deny your application or suspend, revoke, or 
void your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information.
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities (see Sec. 
59.698). This includes a failure to provide reasonable assistance.
    (5) Produce portable fuel containers for importation into the United 
States at a location where local law prohibits us from carrying out 
authorized activities.
    (6) Fail to supply requested information or amend your application 
to include all portable fuel containers being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this subpart.
    (d) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 59.699).



Sec. 59.630  EPA testing.

    We may test any portable fuel container subject to the standards of 
this subpart.
    (a) Certification and production sample testing. Upon our request, a 
manufacturer must supply a prototype container or a reasonable number of 
production samples to us for verification testing. These samples will 
generally be tested using the full test procedure of Sec. 59.653.
    (b) In-use testing. We may test in-use containers using the test 
procedure of Sec. 59.653 without preconditioning.



Sec. 59.650  General testing provisions.

    (a) The test procedures of this subpart are addressed to you as a 
manufacturer, but they apply equally to anyone who does testing for you.

[[Page 346]]

    (b) Unless we specify otherwise, the terms ``procedures'' and ``test 
procedures'' in this subpart include all aspects of testing, including 
the equipment specifications, calibrations, calculations, and other 
protocols and procedural specifications needed to measure emissions.
    (c) The specification for gasoline to be used for testing is given 
in 40 CFR 1065.710. Use the grade of gasoline specified for general 
testing. Blend this grade of gasoline with reagent grade ethanol in a 
volumetric ratio of 90.0 percent gasoline to 10.0 percent ethanol. You 
may use ethanol that is less pure if you can demonstrate that it will 
not affect your ability to demonstrate compliance with the applicable 
emission standards.
    (d) Accuracy and precision of all temperature measurements must be 
2.2 [deg]C or better.
    (e) Accuracy and precision of mass balances must be sufficient to 
ensure accuracy and precision of two percent or better for emission 
measurements for products at the maximum level allowed by the standard. 
The readability of the display may not be coarser than half of the 
required accuracy and precision.



Sec. 59.652  Other procedures.

    (a) Your testing. The procedures in this subpart apply for all 
testing you do to show compliance with emission standards, with certain 
exceptions listed in this section.
    (b) Our testing. These procedures generally apply for testing that 
we do to determine if your portable fuel containers complies with 
applicable emission standards. We may perform other testing as allowed 
by the Act.
    (c) Exceptions. We may allow or require you to use procedures other 
than those specified in this subpart as follows:
    (1) You may request to use special procedures if your portable fuel 
containers cannot be tested using the specified procedures. We will 
approve your request if we determine that it would produce emission 
measurements that represent in-use operation and we determine that it 
can be used to show compliance with the requirements of Sec. 59.611.
    (2) You may ask to use emission data collected using other 
procedures, such as those of the California Air Resources Board. We will 
approve this only if you show us that using these other procedures do 
not affect your ability to show compliance with the applicable emission 
standards. This generally requires emission levels to be far enough 
below the applicable emission standards so that any test differences do 
not affect your ability to state unconditionally that your containers 
will meet all applicable emission standards when tested using the 
specified test procedures.
    (3) You may request to use alternate procedures that are equivalent 
to allowed procedures, or more accurate or more precise than allowed 
procedures.
    (4) You may not use other procedures under this paragraph (c) until 
we approve your request.



Sec. 59.653  How do I test portable fuel containers?

    You must test the portable fuel container as described in your 
application, with the applicable spout attached except as otherwise 
noted. Tighten fittings in a manner representative of how they would be 
tightened by a typical user.
    (a) Preconditioning for durability. Complete the following steps 
before an emissions test, in any order, unless we determine that 
omission of one or more of these durability steps will not affect the 
emissions from your container.
    (1) Pressure cycling. Perform a pressure test by sealing the 
container and cycling it between +13.8 and -1.7 kPa (+2.0 and -0.5 psig) 
for 10,000 cycles at a rate of 60 seconds per cycle. For this test, the 
spout may be removed and the pressure applied through the opening where 
the spout attaches. The purpose of this test is to represent 
environmental wall stresses caused by pressure changes and other factors 
(such as vibration or thermal expansion). If your container cannot be 
tested using the pressure cycles specified by this paragraph (a)(1), you 
may ask to use special test procedures under Sec. 59.652(c).
    (2) UV exposure. Perform a sunlight-exposure test by exposing the 
container to an ultraviolet light of at least

[[Page 347]]

24 W/m\2\ (0.40 W-hr/m\2\/min) on the container surface for at least 450 
hours. Alternatively, the container may be exposed to direct natural 
sunlight for an equivalent period of time, as long as you ensure that 
the container is exposed to at least 450 daylight hours.
    (3) Slosh testing. Perform a slosh test by filling the portable fuel 
container to 40 percent of its capacity with the fuel specified in 
paragraph (e) of this section and rocking it at a rate of 15 cycles per 
minute until you reach one million total cycles. Use an angle deviation 
of +15[deg] to -15[deg] from level.
    (4) Spout actuation. Perform the following spout actuation and 
inversion steps at the end on the slosh testing, and at the end of the 
preconditioning soak.
    (i) Perform one complete actuation/inversion cycle per day for ten 
days.
    (ii) One actuation/inversion cycle consists of the following steps:
    (A) Remove and replace the spout to simulate filling the container.
    (B) Slowly invert the container and keep it inverted for at least 5 
seconds to ensure that the spout and mechanisms become saturated with 
fuel. Any fuel leaking from any part of the container will denote a leak 
and must be reported as part of certification. Once completed, place the 
container on a flat surface in the upright position.
    (C) Actuate the spout by fully opening and closing without 
dispensing fuel. The spout must return to the closed position without 
the aid of the operator (e.g., pushing or pulling the spout closed). 
Repeat for a total of 10 actuations. If at any point the spout fails to 
return to the closed position, the container fails the test.
    (D) Repeat the step contained in paragraph (a)(4)(ii)(B) of this 
section (i.e., the inversion step).
    (E) Repeat the steps contained in paragraph (a)(4)(ii)(C) of this 
section (i.e., ten actuations).
    (b) Preconditioning fuel soak. Complete the following steps before a 
diurnal emission test:
    (1) Fill the portable fuel container with the specified fuel to its 
nominal capacity, seal it using the spout, and allow it to soak at 28 
5 [deg]C for 20 weeks. Alternatively, the 
container may be soaked for 10 weeks at 43 5 
[deg]C. You may count the time of the preconditioning steps in paragraph 
(a) of this section as part of the preconditioning fuel soak, as long as 
the ambient temperature remains within the specified temperature range 
and the fuel tank is at least 40 percent full; you may add or replace 
fuel as needed to conduct the specified durability procedures.
    (2) Pour the fuel out of the container and immediately refill to 50 
percent of nominal capacity. Be careful to not spill any fuel on the 
container. Wipe the outside of the container as needed to remove any 
liquid fuel that may have spilled on it.
    (3) Install the spout assembly that will be used in the production 
containers. The spout and other openings (such as vents) on the 
container must be tested in their open condition unless they close 
automatically and are unlikely to be left open by the user during 
typical storage. All manual closures such as caps must be left off the 
container and spout during testing.
    (c) Reference container. A reference container is required to 
correct for buoyancy effects that may occur during testing. Prepare the 
reference tank as follows:
    (1) Obtain a second container of the same model as the test tank. 
You may not use a container that has previously contained fuel or any 
other contents that might affect the stability of its mass.
    (2) Fill the reference container with enough dry sand (or other 
inert material) so that the mass of the reference container is 
approximately the same as the test container when filled with fuel. Use 
good engineering judgment to determine how similar the mass of the 
reference container needs to be to the mass of the test container 
considering the performance characteristics of your balance.
    (3) Ensure that the sand (or other inert material) is dry. This may 
require heating the container or applying a vacuum to it.
    (4) Seal the container.
    (d) Diurnal test run. To run the test, take the following steps for 
a portable fuel container that was preconditioned as specified in 
paragraph (a) of this section.

[[Page 348]]

    (1) Stabilize the fuel temperature within the portable fuel 
container at 22.2 [deg]C. Vent the container at this point to relieve 
any positive or negative pressure that may have developed during 
stabilization.
    (2) Weigh the sealed reference container and record the weight. 
Place the reference on the balance and tare it so that it reads zero. 
Place the sealed test container on the balance and record the difference 
between the test container and the reference container. This value is 
Minitial Take this measurement within 8 hours of filling the 
test container with fuel as specified in paragraph (b)(2) of this 
section.
    (3) Immediately place the portable fuel container within a well 
ventilated, temperature-controlled room or enclosure. Do not spill or 
add any fuel.
    (4) Close the room or enclosure.
    (5) Follow the temperature profile in the following table for all 
portable fuel containers. Use good engineering judgment to follow this 
profile as closely as possible. You may use linearly interpolated 
temperatures or a spline fit for temperatures between the hourly 
setpoints.

 Table 1 of Sec. 59.653--Diurnal Temperature Profile for Portable Fuel
                               Containers
------------------------------------------------------------------------
                                                               Ambient
                                                             Temperature
                       Time  (hours)                           ( [deg]C)
                                                               Profile
------------------------------------------------------------------------
0..........................................................         22.2
1..........................................................         22.5
2..........................................................         24.2
3..........................................................         26.8
4..........................................................         29.6
5..........................................................         31.9
6..........................................................         33.9
7..........................................................         35.1
8..........................................................         35.4
9..........................................................         35.6
10.........................................................         35.3
11.........................................................         34.5
12.........................................................         33.2
13.........................................................         31.4
14.........................................................         29.7
15.........................................................         28.2
16.........................................................         27.2
17.........................................................         26.1
18.........................................................         25.1
19.........................................................         24.3
20.........................................................         23.7
21.........................................................         23.3
22.........................................................         22.9
23.........................................................         22.6
24.........................................................         22.2
------------------------------------------------------------------------

    (6) At the end of the diurnal period, retare the balance using the 
reference container and weigh the portable fuel container. Record the 
difference in mass between the reference container and the test. This 
value is Mfinal.
    (7) Subtract Mfinal from Minitial and divide 
the difference by the nominal capacity of the container (using at least 
three significant figures) to calculate the g/gallon/day emission rate 
as follows:

    Emission rate = (Minitial--Mfinal)/(nominal 
capacity)/(one day)

    (8) Round your result to the same number of decimal places as the 
emission standard.
    (9) Instead of determining emissions by weighing the container 
before and after the diurnal temperature cycle, you may place the 
container in a SHED meeting the specifications of 40 CFR 86.107-96(a)(1) 
and measure emissions directly. Immediately following the stabilization 
in paragraph (d)(1) of this section, purge the SHED and follow the 
temperature profile from paragraph (d)(4) of this section. Start 
measuring emissions when you start the temperature profile and stop 
measuring emissions when the temperature profile concludes.
    (e) For metal containers, you may demonstrate for certification that 
your portable fuel containers comply with the evaporative emission 
standards without performing the pre-soak or container durability cycles 
(i.e., the pressure cycling, UV exposure, and slosh testing) specified 
in this section. For other containers, you may demonstrate compliance 
without performing the durability cycles specified in this section only 
if we approve it after you have presented data clearly demonstrating 
that the cycle or cycles do not negatively impact the permeation rate of 
the materials used in the containers.

                      Special Compliance Provisions



Sec. 59.660  Exemption from the standards.

    In certain circumstances, we may exempt portable fuel containers 
from the evaporative emission standards and requirements of Sec. 59.611 
and the prohibitions and requirements of Sec. 59.602. You

[[Page 349]]

do not need an exemption for any containers that you own but do not 
sell, offer for sale, introduce or deliver for introduction into U.S. 
commerce, or import into the United States. Submit your request for an 
exemption to the Designated Compliance Officer.
    (a) Portable fuel containers that are intended for export only and 
are in fact exported are exempt provided they are clearly labeled as 
being for export only. Keep records for five years of all portable fuel 
containers that you manufacture for export. Any introduction into U.S. 
commerce of such portable fuel containers for any purpose other than 
export is considered to be a violation of Sec. 59.602 by the 
manufacturer. You do not need to request this exemption.
    (b) You may ask us to exempt portable fuel containers that you will 
purchase, sell, or distribute for the sole purpose of testing them.
    (c) You may ask us to exempt portable fuel containers for the 
purpose of national security, as long as your request is endorsed by an 
agency of the federal government responsible for national defense. In 
your request, explain why you need the exemption.
    (d) You may ask us to exempt containers that are designed and 
marketed solely for rapidly refueling racing applications which are 
designed to create a leak proof seal with the target tank or are 
designed to connect with a receiver installed on the target tank. This 
exemption is generally intended for containers used to rapidly refuel a 
race car during a pit stop and similar containers. In your request, 
explain how why these containers are unlikely to be used for nonracing 
applications. We may limit these exemptions to those applications that 
are allowed to use gasoline exempted under 40 CFR 80.200(a).
    (e) EPA may impose reasonable conditions on any exemption, including 
a limit on the number of containers that are covered by an exemption.



Sec. 59.662  What temporary provisions address hardship due to
unusual circumstances?

    (a) After considering the circumstances, we may exempt you from the 
evaporative emission standards and requirements of Sec. 59.611 of this 
subpart and the prohibitions and requirements of Sec. 59.602 for 
specified portable fuel containers that do not comply with emission 
standards if all the following conditions apply:
    (1) Unusual circumstances that are clearly outside your control and 
that could not have been avoided with reasonable discretion prevent you 
from meeting requirements from this subpart.
    (2) You exercised prudent planning and were not able to avoid the 
violation; you have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (3) Not having the exemption will jeopardize the solvency of your 
company.
    (4) No other allowances are available under the regulations in this 
chapter to avoid the impending violation, including the provisions of 
Sec. 59.663.
    (b) To apply for an exemption, you must send the Designated 
Compliance Officer a written request as soon as possible before you are 
in violation. In your request, show that you meet all the conditions and 
requirements in paragraph (a) of this section.
    (c) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (d) You must give us other relevant information if we ask for it.
    (e) We may include reasonable additional conditions on an approval 
granted under this section, including provisions to recover or otherwise 
address the lost environmental benefit or paying fees to offset any 
economic gain resulting from the exemption.
    (f) We may approve renewable extensions of up to one year. We may 
review and revise an extension as reasonable under the circumstances.
    (g) Add a legible label, written in English, to a readily visible 
part of each container exempted under this section. This label must 
prominently include at least the following items:
    (1) Your corporate name and trademark.
    (2) The statement ``EXEMPT UNDER 40 CFR 59.662.''.

[[Page 350]]



Sec. 59.663  What are the provisions for extending compliance
\deadlines for manufacturers under hardship?

    (a) After considering the circumstances, we may extend the 
compliance deadline for you to meet new emission standards, as long as 
you meet all the conditions and requirements in this section.
    (b) To apply for an extension, you must send the Designated 
Compliance Officer a written request. In your request, show that all the 
following conditions and requirements apply:
    (1) You have taken all possible business, technical, and economic 
steps to comply.
    (2) Show that the burden of compliance costs prevents you from 
meeting the requirements of this subpart by the required compliance 
date.
    (3) Not having the exemption will jeopardize the solvency of your 
company.
    (4) No other allowances are available under the regulations in this 
subpart to avoid the impending violation.
    (c) In describing the steps you have taken to comply under paragraph 
(b)(1) of this section, include at least the following information:
    (1) Describe your business plan, showing the range of projects 
active or under consideration.
    (2) Describe your current and projected financial standing, with and 
without the burden of complying in full with the applicable regulations 
in this subpart by the required compliance date.
    (3) Describe your efforts to raise capital to comply with 
regulations in this subpart.
    (4) Identify the engineering and technical steps you have taken or 
plan to take to comply with regulations in this subpart.
    (5) Identify the level of compliance you can achieve. For example, 
you may be able to produce containers that meet a somewhat less 
stringent emission standard than the regulations in this subpart 
require.
    (d) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (e) You must give us other relevant information if we ask for it.
    (f) An authorized representative of your company must sign the 
request and include the statement: ``All the information in this request 
is true and accurate, to the best of my knowledge.''.
    (g) Send your request for this extension at least nine months before 
the relevant deadline.
    (h) We may include reasonable requirements on an approval granted 
under this section, including provisions to recover or otherwise address 
the lost environmental benefit. For example, we may require that you 
meet a less stringent emission standard.
    (i) We may approve renewable extensions of up to one year. We may 
review and revise an extension as reasonable under the circumstances.
    (j) Add a permanent, legible label, written in English, to a readily 
visible part of each container exempted under this section. This label 
must prominently include at least the following items:
    (1) Your corporate name and trademark.
    (2) The statement ``EXEMPT UNDER 40 CFR 59.663.''.



Sec. 59.664  What are the requirements for importing portable 
fuel containers into the United States?

    As specified in this section, we may require you to post a bond if 
you import into the United States containers that are subject to the 
standards of this subpart. See paragraph (f) of this section for the 
requirements related to importing containers that have been certified by 
someone else.
    (a) Prior to importing containers into the U.S., we may require you 
to post a bond to cover any potential compliance or enforcement actions 
under the Clean Air Act if you cannot demonstrate to us that you have 
assets of an appropriate liquidity readily available in the United 
States with a value equal to the retail value of the containers that you 
will import during the calendar year.
    (b) We may set the value of the bond up to five dollars per 
container.
    (c) You may meet the bond requirements of this section by obtaining 
a bond from a third-party surety that is

[[Page 351]]

cited in the U.S. Department of Treasury Circular 570, ``Companies 
Holding Certificates of Authority as Acceptable Sureties on Federal 
Bonds and as Acceptable Reinsuring Companies'' (http://
www.fms.treas.gov/c570/c570.html#certified).
    (d) If you forfeit some or all of your bond in an enforcement 
action, you must post any appropriate bond for continuing importation 
within 90 days after you forfeit the bond amount.
    (e) You will forfeit the proceeds of the bond posted under this 
section if you need to satisfy any United States administrative final 
order or judicial judgment against you arising from your conduct in 
violation of this subpart.
    (f) This paragraph (f) applies if you import for resale containers 
that have been certified by someone else. You and the certificate holder 
are each responsible for compliance with the requirements of this 
subpart and the Clean Air Act. No bond is required under this section if 
either you or the certificate holder meet the conditions in paragraph 
(a) of this section. Otherwise, the importer must comply with the bond 
requirements of this section.

               Definitions and Other Reference Information



Sec. 59.680  What definitions apply to this subpart?

    The following definitions apply to this subpart. The definitions 
apply to all subparts unless we note otherwise. All undefined terms have 
the meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust and that, if adjusted, may affect emissions. You 
may ask us to exclude a parameter if you show us that it will not be 
adjusted in use in a way that affects emissions.
    Certification means relating to the process of obtaining a 
certificate of conformity for an emission family that complies with the 
emission standards and requirements in this subpart.
    Configuration means a unique combination of hardware (material, 
geometry, and size) and calibration within an emission family. Units 
within a single configuration differ only with respect to normal 
production variability.
    Container means portable fuel container.
    Designated Compliance Officer means the Manager, Engine Programs 
Group (6403-J), U.S. Environmental Protection Agency, 1200 Pennsylvania 
Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW.,Washington, DC 20460.
    Emission-control system means any device, system, or element of 
design that controls or reduces the regulated evaporative emissions 
from.
    Emission-data unit means a portable fuel container that is tested 
for certification. This includes components tested by EPA.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Emission family has the meaning given in Sec. 59.625.
    Evaporative means relating to fuel emissions that result from 
permeation of fuel through the portable fuel container materials and 
from ventilation of the container.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See Sec. 59.603 for the administrative 
process we use to evaluate good engineering judgment.
    Hydrocarbon (HC) means total hydrocarbon (THC).
    Manufacture means the physical and engineering process of designing 
and/or constructing a portable fuel container.
    Manufacturer means any person who manufactures a portable fuel 
container for sale in the United States.
    Nominal capacity means the expected volumetric working capacity of a 
container.
    Official emission result means the measured emission rate for an 
emission-data unit.
    Portable fuel container means any reusable container designed and 
marketed (or otherwise intended) for use

[[Page 352]]

by consumers for receiving, transporting, storing, and dispensing 
gasoline, diesel fuel, or kerosene. For the purpose of this subpart, all 
utility jugs that are red, yellow or blue in color are deemed to be 
portable fuel containers, regardless of how they are labeled or 
marketed.
    Production period means the period in which a portable fuel 
container will be produced under a certificate of conformity. The 
maximum production period is five years.
    Revoke means to terminate the certificate or an exemption for an 
emission family. If we revoke a certificate or exemption, you must apply 
for a new certificate or exemption before continuing to introduce the 
affected containers into commerce. This does not apply to containers you 
no longer possess.
    Round has the meaning given in 40 CFR 1065.1001.
    Suspend means to temporarily discontinue the certificate or an 
exemption for an emission family. If we suspend a certificate, you may 
not introduce into commerce portable fuel containers from that emission 
family unless we reinstate the certificate or approve a new one. If we 
suspend an exemption, you may not introduce into commerce containers 
that were previously covered by the exemption unless we reinstate the 
exemption.
    Total hydrocarbon means the combined mass of organic compounds 
measured by the specified procedure for measuring total hydrocarbon, 
expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 
1.85:1.
    Ultimate purchaser means, with respect to any portable fuel 
container, the first person who in good faith purchases such a container 
for purposes other than resale.
    Ultraviolet light means electromagnetic radiation with a wavelength 
between 300 and 400 nanometers.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
    U.S.-directed production volume means the amount of portable fuel 
containers, subject to the requirements of this subpart, produced by a 
manufacturer for which the manufacturer has a reasonable assurance that 
sale was or will be made to ultimate purchasers in the United States.
    Useful life means the period during which a portable fuel container 
is required to comply with all applicable emission standards. See Sec. 
59.611.
    Void means to invalidate a certificate or an exemption ab initio 
(i.e. retroactively). Portable fuel containers introduced into U.S. 
commerce under the voided certificate or exemption is a violation of 
this subpart, whether or not they were introduced before the certificate 
or exemption was voided.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.



Sec. 59.685  What symbols, acronyms, and abbreviations does
this subpart use?

    The following symbols, acronyms, and abbreviations apply to this 
subpart:

CFR Code of Federal Regulations
EPA Environmental Protection Agency
HC hydrocarbon
NIST National Institute of Standards and Technology
THC total hydrocarbon
U.S.C. United States Code



Sec. 59.695  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.

[[Page 353]]



Sec. 59.697  State actions.

    The provisions in this subpart do not preclude any State or any 
political subdivision of a State from:
    (a) Adopting and enforcing any emission standard or limitation 
applicable to anyone subject to the provisions of this part; or
    (b) 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.



Sec. 59.698  May EPA enter my facilities for inspections?

    (a) We may inspect your portable fuel containers, testing, 
manufacturing processes, storage facilities (including port facilities 
for imported containers or other relevant facilities), or records, as 
authorized by the Act, to enforce the provisions of this subpart. 
Inspectors will have authorizing credentials and will limit inspections 
to reasonable times--usually, normal operating hours.
    (b) If we come to inspect, we may or may not have a warrant or court 
order.
    (1) If we do not have a warrant or court order, you may deny us 
entry.
    (2) If we have a warrant or court order, you must allow us to enter 
the facility and carry out the activities it describes.
    (c) We may seek a warrant or court order authorizing an inspection 
described in this section, whether or not we first tried to get your 
permission to inspect.
    (d) We may select any facility to do any of the following:
    (1) Inspect and monitor any aspect of portable fuel container 
manufacturing, assembly, storage, or other procedures, and any 
facilities where you do them.
    (2) Inspect and monitor any aspect of test procedures or test-
related activities, including test container selection, preparation, 
durability cycles, and maintenance and verification of your test 
equipment's calibration.
    (3) Inspect and copy records or documents related to assembling, 
storing, selecting, and testing a container.
    (4) Inspect and photograph any part or aspect of containers or 
components use for assembly.
    (e) You must give us reasonable help without charge during an 
inspection authorized by the Act. For example, you may need to help us 
arrange an inspection with the facility's managers, including clerical 
support, copying, and translation. You may also need to show us how the 
facility operates and answer other questions. If we ask in writing to 
see a particular employee at the inspection, you must ensure that he or 
she is present (legal counsel may accompany the employee).
    (f) If you have facilities in other countries, we expect you to 
locate them in places where local law does not keep us from inspecting 
as described in this section. We will not try to inspect if we learn 
that local law prohibits it, but we may suspend your certificate if we 
are not allowed to inspect.



Sec. 59.699  How do I request a hearing?

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this subpart. To do this, you must file a written 
request with the Designated Compliance Officer, including a description 
of your objection and any supporting data, within 30 days after we make 
a decision.
    (b) For a hearing you request under the provisions of this subpart, 
we will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.


[[Page 355]]



                              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 357]]

            Material Approved for Incorporation by Reference

                      (Revised as of July 1, 2008)

  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, December 3, 2005; South Central 
  Alaska Clean Air Authority Requirements 
  Applicable to OCS Sources, August 21, 1992; 
  Outer Continental Shelf Air Regulations 
  Consistency Update for Alaska, February 8, 2007.
California: State of California Requirements        Section 55.14; Part 
  Applicable to OCS Sources, February 2006; San           55, Appendix A
  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 2006; South 
  Coast Air Quality Management District 
  Requirements Applicable to OCS Sources (Parts I, 
  II, and III), February 2006; Ventura County Air 
  Pollution Control District Requirements 
  Applicable to OCS Sources, February 2006; Outer 
  Continental Shelf Air Regulations; Consistency 
  Update for California, October 23, 2007; Outer 
  Continental Shelf Air Regulations Consistency 
  Update for California, April 29, 2008.
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 
  Properties for Curing and Sealing Concrete.
ASTM D523-89, Standard Test Method for Specular        59.104(e); 59.401
  Gloss.
ASTM D 523-89, Standard Test Method for Specular          59.508; 59.515
Gloss, March 31, 1989 (Reapproved 1999).
[[Page 358]]

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.


California Air Resources Board

  9528 Telstar Avenue, El Monte CA 91731
CARB Method 310, Determination of Volatile Organic        59.508; 59.515
  Compounds (VOC) in Consumer Products and 
  Reactive Organic Compounds in Aerosol Coating 
  Products, May 5, 2005.


South Coast Air Quality Management District (SCAQMD)

  421865 Copley Drive, Diamond Bar CA 91765; (909) 
  396-2000; 1-(800) CUT-SMOG (288-7664)
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).
SCAQMD Method 318-95, Determination of Weight             59.508; 59.515
  Percent Elemental Metal in Coatings by X-Ray 
  Diffraction, July, 1996.

[[Page 359]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2008)

                      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  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 100--
                199)
        II  Office of Management and Budget Circulars and Guidance 
                (200--299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300-- 
                399)
        VI  Department of State (Parts 600--699)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1880--1899)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
    XXXVII  Peace Corps (Parts 3700--3799)

[[Page 360]]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability 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 (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600-- 3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Parts 4300--
                4399)
      XXXV  Office of Personnel Management (Parts 4500--4599)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)

[[Page 361]]

       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
      XCIX  Department of Defense Human Resources Management and 
                Labor Relations Systems (Department of Defense--
                Office of Personnel Management) (Parts 9900--9999)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 0--99)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)

[[Page 362]]

       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)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy Policy and New Uses, Department of 
                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)

[[Page 363]]

      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)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XIII  Nuclear Waste Technical Review Board (Parts 1303--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)

[[Page 364]]

       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)
       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)

[[Page 365]]

       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)

          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)

[[Page 366]]

       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 Service, Department of 
                Labor (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millenium Challenge Corporation (Parts 1300--1399)

[[Page 367]]

       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 
                HousingCommissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)

[[Page 368]]

         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 (Parts 1200--1299)

                      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)

                   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)

[[Page 369]]

      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)
        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)

[[Page 370]]

            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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)

[[Page 371]]

            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvmeent, 
                Department of Education [Reserved]
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             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)
        VI  [Reserved]
       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 (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             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)
       III  Copyright Royalty Board, Library of Congress (Parts 
                301--399)

[[Page 372]]

        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 Regulatory 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)
            Chapters 62--100 [Reserved]
            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)
            Chapters 103--104 [Reserved]
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)

[[Page 373]]

            Chapters 129--200 [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [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 303-1--303-99)
       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 374]]

        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) 
                [Reserved]
         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 375]]

       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  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management, Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  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)
        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 [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)

[[Page 376]]

        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  Pipeline and Hazardous Materials Safety 
                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  Research and Innovative Technology Administration, 
                Department of Transportation [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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)
         V  Marine Mammal Commission (Parts 500--599)

[[Page 377]]

        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 379]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2008)

                                                  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              22, II
  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                               2, IX; 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 380]]

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                       5, LXVIII; 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
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 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 381]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 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                   2, XV; 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

[[Page 382]]

  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 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 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 Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102

[[Page 383]]

  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 Accountability Office                  4, I
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          2, III; 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
  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      2, XXIV; 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
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
[[Page 384]]

Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
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            2, XIV; 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                                2, XXVII; 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

[[Page 385]]

  Secretary of Labor, Office of                   29, Subtitle A
  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
  Copyright Royalty Board                         37, III
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, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Millenium Challenge Corporation                   22, XIII
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     2, XVIII; 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      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
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 Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
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 Intelligence, Office of Director of      32, XVII
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                       2, XXV; 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
Natural Resources Conservation Service            7, VI

[[Page 386]]

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
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
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
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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
Privacy and Civil Liberties Oversight Board       6, X
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
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
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                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III

[[Page 387]]

Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 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
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  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 Claims Collection Standards             31, IX
  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                       2, VIII; 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 389]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations that 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

40 CFR
                                                                   69 FR
                                                                    Page
Chapter I
Title 40 nomenclature change.......................................18803
58.13 (d) revised..................................................45595
58 Appendix D amended..............................................52838

                                  2005

40 CFR
                                                                   70 FR
                                                                    Page
Chapter I
55.14 (e)(3)(ii)(F), (G) and (H) revised...........................20055
55 Appendix A amended..............................................20055

                                  2006

40 CFR
                                                                   71 FR
                                                                    Page
Chapter I
53.1 Revised.......................................................61271
53.2 Revised.......................................................61271
53.3 Revised.......................................................61271
53.4 Revised.......................................................61271
53.5 Revised.......................................................61271
53.8 Revised.......................................................61276
53.9 Revised.......................................................61276
53.1--53.16 (Subpart A) Table A-1 revised..........................61276
    Appendix A amended.............................................61278
53.30--53.35 (Subpart C) Revised...................................61278
53.50--53.59 (Subpart E) Heading revised...........................61289
53.50 Revised......................................................61289
53.51 Revised......................................................61290
53.52 (e)(1) revised...............................................61291
53.53 (e)(1) revised...............................................61291
53.54 (d)(1) revised...............................................61291
53.55 (a)(1) introductory text, (2), (e)(1) and (g)(5)(i) revised 
                                                                   61291
53.56 (a)(2) and (e)(1) revised....................................61292
53.57 (a), (b) and (e)(1) revised..................................61292
53.58 Revised......................................................61292
53.59 (a) and (b)(5) revised.......................................61293
53.50--53.59 (Subpart E) Table E-1 revised.........................61294
    Appendix A amended.............................................61295
53.60 (b), (c), (d) introductory text and (f)(4) revised...........61295

[[Page 390]]

53.61 Heading revised..............................................61295
53.66 (e)(2)(iii) revised..........................................61295
53.60--53.66 (Subpart F) Table F-1 revised.........................61295
    Figure E-1 redesignated as Figure F-1..........................61296
55.14 (e)(3)(i)(A), (ii)(F), (G) and (H) revised; eff. 7-24-06.....35807
55 Appendix A amended; eff.7-24-06.................................35807
58 Authority citation revised......................................61296
58.1--58.3 (Subpart A) Revised.....................................61296
58.10--58.16 (Subpart B) Revised...................................61298
58.20 (Subpart C) Revised..........................................61302
58.30 (Subpart D) Revised..........................................61302
58.40--58.46 (Subpart E) Removed...................................61302
58.50 Revised......................................................61302
58.60 Revised......................................................61303
58.61 Revised......................................................61303
58 Appendix A revised..............................................61303
    Appendix B removed; Appendix C revised.........................61313
    Appendix D revised.............................................61316
    Appendix E revised.............................................61323
    Appendix F table removed.......................................61328
59.1 (Subpart A) Added.............................................58753

                                  2007

40 CFR
                                                                   72 FR
                                                                    Page
Chapter I
53.35 (d)(4) Equation 12, (e)(1) Equation 13, (f)(1) Equation 15, 
        (g)(1) Equation 17 and (h)(1) Equation 21 revised; eff. 9-
        10-07......................................................32202
53.30--53.34 (Subpart C) Tables C-1 and C-4 revised; eff. 9-10-07 
                                                                   32203
    Figures C-1 through C-4 revised; eff. 9-10-07..................32204
53.58 (g)(1)(i) Equation 26 revised; eff. 9-10-07..................32208
53.50--53.59 (Subpart E) Table E-1 revised; eff. 9-10-07...........32208
53.60--53.66 (Subpart F) Table F-1 revised; eff. 9-10-07...........32209
55.14 (e)(2)(i)(A) revised..........................................5939
    (e)(3)(ii)(H) revised..........................................59950
55 Appendix A amended........................................5939, 59950
    Appendix A corrected; CFR correction...........................60251
58.10 (a)(2) amended; eff. 9-10-07.................................32210
58.12 (d)(1) and (3) revised; (e) amended; eff. 9-10-07............32210
    (e) Figure 1 revised; eff. 9-10-07.............................32210
58.20 (c) revised; eff. 9-10-07....................................32210
58 Appendices A and D amended; eff. 9-10-07........................32211
59 Authority citation revised.......................................8533
59.1 Revised.......................................................57222
59.600--59.699 (Subpart F) Added....................................8533

                                  2008

   (Regulations published from January 1, 2008, through July 1, 2008)

40 CFR
                                                                   73 FR
                                                                    Page
Chapter I
55.14 (e)(3)(ii)(F), (G) and (H) revised...........................23117
55 Appendix A amended..............................................23117
58 Appendix G amended..............................................16513
59.500--59.516 (Subpart E) Added...................................15622
59.501 (a), (b)(1), (2) and (3) revised............................15425


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