[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2016 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 40
Protection of Environment
________________________
Parts 50 to 51
Revised as of July 1, 2016
Containing a codification of documents of general
applicability and future effect
As of July 1, 2016
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency 3
Finding Aids:
Table of CFR Titles and Chapters........................ 659
Alphabetical List of Agencies Appearing in the CFR...... 679
List of CFR Sections Affected........................... 689
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 50.1 refers
to title 40, part 50,
section 1.
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[[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
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
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To determine whether a Code volume has been amended since its
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OMB CONTROL NUMBERS
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collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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(a) The incorporation will substantially reduce the volume of
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(b) The matter incorporated is in fact available to the extent
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(c) The incorporating document is drafted and submitted for
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What if the material incorporated by reference cannot be found? If
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this volume.
[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register.
July 1, 2016.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of thirty-seven
volumes. The parts in these volumes are arranged in the following order:
Parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-
52.2019), part 52 (52.2020-end of part 52), parts 53-59, part 60 (60.1-
60.499), part 60 (60.500-end of part 60, sections), part 60
(Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63
(63.6580-63.8830), part 63 (63.8980-end of part 63), parts 64-71, parts
72-79, part 80, part 81, parts 82-86, parts 87-95, parts 96-99, parts
100-135, parts 136-149, parts 150-189, parts 190-259, parts 260-265,
parts 266-299, parts 300-399, parts 400-424, parts 425-699, parts 700-
722, parts 723-789, parts 790-999, parts 1000-1059, and part 1060 to
end. The contents of these volumes represent all current regulations
codified under this title of the CFR as of July 1, 2016.
Chapter I--Environmental Protection Agency appears in all thirty-
seven volumes. Regulations issued by the Council on Environmental
Quality, including an Index to Parts 1500 through 1508, appear in the
volume containing parts 1060 to end. The OMB control numbers for title
40 appear in Sec. 9.1 of this chapter.
For this volume, Michele Bugenhagen was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains parts 50 to 51)
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Part
chapter i--Environmental Protection Agency (Continued)...... 50
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
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SUBCHAPTER C--AIR PROGRAMS
Part Page
50 National primary and secondary ambient air
quality standards....................... 5
51 Requirements for preparation, adoption, and
submittal of implementation plans....... 162
[[Page 5]]
SUBCHAPTER C_AIR PROGRAMS
PART 50_NATIONAL PRIMARY AND SECONDARY AMBIENT AIR QUALITY STANDARDS
--Table of Contents
Sec.
50.1 Definitions.
50.2 Scope.
50.3 Reference conditions.
50.4 National primary ambient air quality standards for sulfur oxides
(sulfur dioxide).
50.5 National secondary ambient air quality standard for sulfur oxides
(sulfur dioxide).
50.6 National primary and secondary ambient air quality standards for
PM10.
50.7 National primary and secondary ambient air quality standards for
PM2.5.
50.8 National primary ambient air quality standards for carbon monoxide.
50.9 National 1-hour primary and secondary ambient air quality standards
for ozone.
50.10 National 8-hour primary and secondary ambient air quality
standards for ozone.
50.11 National primary and secondary ambient air quality standards for
oxides of nitrogen (with nitrogen dioxide as the indicator).
50.12 National primary and secondary ambient air quality standards for
lead.
50.13 National primary and secondary ambient air quality standards for
PM2.5.
50.14 Treatment of air quality monitoring data influenced by exceptional
events.
50.15 National primary and secondary ambient air quality standards for
ozone.
50.16 National primary and secondary ambient air quality standards for
lead.
50.17 National primary ambient air quality standards for sulfur oxides
(sulfur dioxide).
50.18 National primary ambient air quality standards for
PM2.5.
50.19 National primary and secondary ambient air quality standards for
ozone.
Appendix A-1 to Part 50--Reference Measurement Principle and Calibration
Procedure for the Measurement of Sulfur Dioxide in the
Atmosphere (Ultraviolet Fluorescence Method)
Appendix A-2 to Part 50--Reference Method for the Determination of
Sulfur Dioxide in the Atmosphere (Pararosaniline Method)
Appendix B to Part 50--Reference Method for the Determination of
Suspended Particulate Matter in the Atmosphere (High-Volume
Method)
Appendix C to Part 50--Measurement Principle and Calibration Procedure
for the Measurement of Carbon Monoxide in the Atmosphere (Non-
Dispersive Infrared Photometry)
Appendix D to Part 50--Reference Measurement Principle and Calibration
Procedure for the Measurement of Ozone in the Atmosphere
(Chemiluminescence Method)
Appendix E to Part 50 [Reserved]
Appendix F to Part 50--Measurement Principle and Calibration Procedure
for the Measurement of Nitrogen Dioxide in the Atmosphere (Gas
Phase Chemiluminescence)
Appendix G to Part 50--Reference Method for the Determination of Lead in
Total Suspended Particulate Matter
Appendix H to Part 50--Interpretation of the 1-Hour Primary and
Secondary National Ambient Air Quality Standards for Ozone
Appendix I to Part 50--Interpretation of the 8-Hour Primary and
Secondary National Ambient Air Quality Standards for Ozone
Appendix J to Part 50--Reference Method for the Determination of
Particulate Matter as PM10 in the Atmosphere
Appendix K to Part 50--Interpretation of the National Ambient Air
Quality Standards for Particulate Matter
Appendix L to Part 50--Reference Method for the Determination of Fine
Particulate Matter as PM2.5 in the Atmosphere
Appendix M to Part 50 [Reserved]
Appendix N to Part 50--Interpretation of the National Ambient Air
Quality Standards for PM2.5
Appendix O to Part 50--Reference Method for the Determination of Coarse
Particulate Matter as PM10-2.5 in the Atmosphere
Appendix P to Part 50--Interpretation of the Primary and Secondary
National Ambient Air Quality Standards for Ozone
Appendix Q to Part 50--Reference Method for the Determination of Lead in
Particulate Matter as PM10 Collected From Ambient
Air
Appendix R to Part 50--Interpretation of the National Ambient Air
Quality Standards for Lead
Appendix S to Part 50--Interpretation of the Primary National Ambient
Air Quality Standards for Oxides of Nitrogen (Nitrogen
Dioxide)
Appendix T to Part 50--Interpretation of the Primary National Ambient
Air Quality Standards for Oxides of Sulfur (Sulfur Dioxide)
Appendix U to Pt. 50--Interpretation of the Primary and Secondary
National
[[Page 6]]
Ambient Air Quality Standards for Ozone
Authority: 42 U.S.C. 7401, et seq.
Source: 36 FR 22384, Nov. 25, 1971, unless otherwise noted.
Sec. 50.1 Definitions.
(a) As used in this part, all terms not defined herein shall have
the meaning given them by the Act.
(b) Act means the Clean Air Act, as amended (42 U.S.C. 1857-18571,
as amended by Pub. L. 91-604).
(c) Agency means the Environmental Protection Agency.
(d) Administrator means the Administrator of the Environmental
Protection Agency.
(e) Ambient air means that portion of the atmosphere, external to
buildings, to which the general public has access.
(f) Reference method means a method of sampling and analyzing the
ambient air for an air pollutant that is specified as a reference method
in an appendix to this part, or a method that has been designated as a
reference method in accordance with part 53 of this chapter; it does not
include a method for which a reference method designation has been
cancelled in accordance with Sec. 53.11 or Sec. 53.16 of this chapter.
(g) Equivalent method means a method of sampling and analyzing the
ambient air for an air pollutant that has been designated as an
equivalent method in accordance with part 53 of this chapter; it does
not include a method for which an equivalent method designation has been
cancelled in accordance with Sec. 53.11 or Sec. 53.16 of this chapter.
(h) Traceable means that a local standard has been compared and
certified either directly or via not more than one intermediate
standard, to a primary standard such as a National Bureau of Standards
Standard Reference Material (NBS SRM), or a USEPA/NBS-approved Certified
Reference Material (CRM).
(i) Indian country is as defined in 18 U.S.C. 1151.
(j) Exceptional event means an event that affects air quality, is
not reasonably controllable or preventable, is an event caused by human
activity that is unlikely to recur at a particular location or a natural
event, and is determined by the Administrator in accordance with 40 CFR
50.14 to be an exceptional event. It does not include stagnation of air
masses or meteorological inversions, a meteorological event involving
high temperatures or lack of precipitation, or air pollution relating to
source noncompliance.
(k) Natural event means an event in which human activity plays
little or no direct causal role.
(l) Exceedance with respect to a national ambient air quality
standard means one occurrence of a measured or modeled concentration
that exceeds the specified concentration level of such standard for the
averaging period specified by the standard.
[36 FR 22384, Nov. 25, 1971, as amended at 41 FR 11253, Mar. 17, 1976;
48 FR 2529, Jan. 20, 1983; 63 FR 7274, Feb. 12, 1998; 72 FR 13580, Mar.
22, 2007]
Sec. 50.2 Scope.
(a) National primary and secondary ambient air quality standards
under section 109 of the Act are set forth in this part.
(b) National primary ambient air quality standards define levels of
air quality which the Administrator judges are necessary, with an
adequate margin of safety, to protect the public health. National
secondary ambient air quality standards define levels of air quality
which the Administrator judges necessary to protect the public welfare
from any known or anticipated adverse effects of a pollutant. Such
standards are subject to revision, and additional primary and secondary
standards may be promulgated as the Administrator deems necessary to
protect the public health and welfare.
(c) The promulgation of national primary and secondary ambient air
quality standards shall not be considered in any manner to allow
significant deterioration of existing air quality in any portion of any
State or Indian country.
(d) The proposal, promulgation, or revision of national primary and
secondary ambient air quality standards shall not prohibit any State or
Indian country from establishing ambient air quality standards for that
State or area under a tribal CAA program or
[[Page 7]]
any portion thereof which are more stringent than the national
standards.
[36 FR 22384, Nov. 25, 1971, as amended at 63 FR 7274, Feb. 12, 1998]
Sec. 50.3 Reference conditions.
All measurements of air quality that are expressed as mass per unit
volume (e.g., micrograms per cubic meter) other than for particulate
matter (PM2.5) standards contained in Sec. Sec. 50.7, 50.13,
and 50.18, and lead standards contained in Sec. 50.16 shall be
corrected to a reference temperature of 25 (deg) C and a reference
pressure of 760 millimeters of mercury (1,013.2 millibars). Measurements
of PM2.5 for purposes of comparison to the standards
contained in Sec. Sec. 50.7, 50.13, and 50.18, and of lead for purposes
of comparison to the standards contained in Sec. 50.16 shall be
reported based on actual ambient air volume measured at the actual
ambient temperature and pressure at the monitoring site during the
measurement period.
[78 FR 3277, Jan. 15, 2013]
Sec. 50.4 National primary ambient air quality standards for sulfur
oxides (sulfur dioxide).
(a) The level of the annual standard is 0.030 parts per million
(ppm), not to be exceeded in a calendar year. The annual arithmetic mean
shall be rounded to three decimal places (fractional parts equal to or
greater than 0.0005 ppm shall be rounded up).
(b) The level of the 24-hour standard is 0.14 parts per million
(ppm), not to be exceeded more than once per calendar year. The 24-hour
averages shall be determined from successive nonoverlapping 24-hour
blocks starting at midnight each calendar day and shall be rounded to
two decimal places (fractional parts equal to or greater than 0.005 ppm
shall be rounded up).
(c) Sulfur oxides shall be measured in the ambient air as sulfur
dioxide by the reference method described in appendix A to this part or
by an equivalent method designated in accordance with part 53 of this
chapter.
(d) To demonstrate attainment, the annual arithmetic mean and the
second-highest 24-hour averages must be based upon hourly data that are
at least 75 percent complete in each calendar quarter. A 24-hour block
average shall be considered valid if at least 75 percent of the hourly
averages for the 24-hour period are available. In the event that only
18, 19, 20, 21, 22, or 23 hourly averages are available, the 24-hour
block average shall be computed as the sum of the available hourly
averages using 18, 19, etc. as the divisor. If fewer than 18 hourly
averages are available, but the 24-hour average would exceed the level
of the standard when zeros are substituted for the missing values,
subject to the rounding rule of paragraph (b) of this section, then this
shall be considered a valid 24-hour average. In this case, the 24-hour
block average shall be computed as the sum of the available hourly
averages divided by 24.
(e) The standards set forth in this section will remain applicable
to all areas notwithstanding the promulgation of SO2 national
ambient air quality standards (NAAQS) in Sec. 50.17. The SO2
NAAQS set forth in this section will no longer apply to an area one year
after the effective date of the designation of that area, pursuant to
section 107 of the Clean Air Act, for the SO2 NAAQS set forth
in Sec. 50.17; except that for areas designated nonattainment for the
SO2 NAAQS set forth in this section as of the effective date
of Sec. 50.17, and areas not meeting the requirements of a SIP call
with respect to requirements for the SO2 NAAQS set forth in
this section, the SO2 NAAQS set forth in this section will
apply until that area submits, pursuant to section 191 of the Clean Air
Act, and EPA approves, an implementation plan providing for attainment
of the SO2 NAAQS set forth in Sec. 50.17.
[61 FR 25579, May 22, 1996, as amended at 75 FR 35592, June 22, 2010]
Sec. 50.5 National secondary ambient air quality standard for sulfur
oxides (sulfur dioxide).
(a) The level of the 3-hour standard is 0.5 parts per million (ppm),
not to be exceeded more than once per calendar year. The 3-hour averages
shall be determined from successive nonoverlapping 3-hour blocks
starting at midnight each calendar day and shall be rounded to 1 decimal
place (fractional parts
[[Page 8]]
equal to or greater than 0.05 ppm shall be rounded up).
(b) Sulfur oxides shall be measured in the ambient air as sulfur
dioxide by the reference method described in appendix A of this part or
by an equivalent method designated in accordance with part 53 of this
chapter.
(c) To demonstrate attainment, the second-highest 3-hour average
must be based upon hourly data that are at least 75 percent complete in
each calendar quarter. A 3-hour block average shall be considered valid
only if all three hourly averages for the 3-hour period are available.
If only one or two hourly averages are available, but the 3-hour average
would exceed the level of the standard when zeros are substituted for
the missing values, subject to the rounding rule of paragraph (a) of
this section, then this shall be considered a valid 3-hour average. In
all cases, the 3-hour block average shall be computed as the sum of the
hourly averages divided by 3.
[61 FR 25580, May 22, 1996]
Sec. 50.6 National primary and secondary ambient air quality standards
for PM [bdi1][bdi0].
(a) The level of the national primary and secondary 24-hour ambient
air quality standards for particulate matter is 150 micrograms per cubic
meter (mg/m\3\), 24-hour average concentration. The standards are
attained when the expected number of days per calendar year with a 24-
hour average concentration above 150 mg/m\3\, as determined in
accordance with appendix K to this part, is equal to or less than one.
(b) [Reserved]
(c) For the purpose of determining attainment of the primary and
secondary standards, particulate matter shall be measured in the ambient
air as PM10 (particles with an aerodynamic diameter less than
or equal to a nominal 10 micrometers) by:
(1) A reference method based on appendix J and designated in
accordance with part 53 of this chapter, or
(2) An equivalent method designated in accordance with part 53 of
this chapter.
[52 FR 24663, July 1, 1987, as amended at 62 FR 38711, July 18, 1997; 65
FR 80779, Dec. 22, 2000; 71 FR 61224, Oct. 17, 2006]
Sec. 50.7 National primary and secondary ambient air quality standards
for PM2.5.
(a) The national primary and secondary ambient air quality standards
for particulate matter are 15.0 micrograms per cubic meter (mg/m\3\)
annual arithmetic mean concentration, and 65 mg/m\3\ 24-hour average
concentration measured in the ambient air as PM2.5 (particles
with an aerodynamic diameter less than or equal to a nominal 2.5
micrometers) by either:
(1) A reference method based on appendix L of this part and
designated in accordance with part 53 of this chapter; or
(2) An equivalent method designated in accordance with part 53 of
this chapter.
(b) The annual primary and secondary PM2.5 standards are
met when the annual arithmetic mean concentration, as determined in
accordance with appendix N of this part, is less than or equal to 15.0
micrograms per cubic meter.
(c) The 24-hour primary and secondary PM2.5 standards are
met when the 98\th\ percentile 24-hour concentration, as determined in
accordance with appendix N of this part, is less than or equal to 65
micrograms per cubic meter.
[62 FR 38711, July 18, 1997, as amended at 69 FR 45595, July 30, 2004]
Sec. 50.8 National primary ambient air quality standards for carbon
monoxide.
(a) The national primary ambient air quality standards for carbon
monoxide are:
(1) 9 parts per million (10 milligrams per cubic meter) for an 8-
hour average concentration not to be exceeded more than once per year
and
(2) 35 parts per million (40 milligrams per cubic meter) for a 1-
hour average concentration not to be exceeded more than once per year.
(b) The levels of carbon monoxide in the ambient air shall be
measured by:
(1) A reference method based on appendix C and designated in
accordance with part 53 of this chapter, or
(2) An equivalent method designated in accordance with part 53 of
this chapter.
[[Page 9]]
(c) An 8-hour average shall be considered valid if at least 75
percent of the hourly average for the 8-hour period are available. In
the event that only six (or seven) hourly averages are available, the 8-
hour average shall be computed on the basis of the hours available using
six (or seven) as the divisor.
(d) When summarizing data for comparision with the standards,
averages shall be stated to one decimal place. Comparison of the data
with the levels of the standards in parts per million shall be made in
terms of integers with fractional parts of 0.5 or greater rounding up.
[50 FR 37501, Sept. 13, 1985]
Sec. 50.9 National 1-hour primary and secondary ambient air quality
standards for ozone.
(a) The level of the national 1-hour primary and secondary ambient
air quality standards for ozone measured by a reference method based on
appendix D to this part and designated in accordance with part 53 of
this chapter, is 0.12 parts per million (235 mg/m\3\). The standard is
attained when the expected number of days per calendar year with maximum
hourly average concentrations above 0.12 parts per million (235 mg/m\3\)
is equal to or less than 1, as determined by appendix H to this part.
(b) The 1-hour standards set forth in this section will remain
applicable to all areas notwithstanding the promulgation of 8-hour ozone
standards under Sec. 50.10. The 1-hour NAAQS set forth in paragraph (a)
of this section will no longer apply to an area one year after the
effective date of the designation of that area for the 8-hour ozone
NAAQS pursuant to section 107 of the Clean Air Act. Area designations
and classifications with respect to the 1-hour standards are codified in
40 CFR part 81.
[62 FR 38894, July 18, 1997, as amended at 65 FR 45200, July 20, 2000;
68 FR 38163, June 26, 2003, 69 FR 23996, Apr. 30, 2004; 77 FR 28441, May
14, 2012]
Sec. 50.10 National 8-hour primary and secondary ambient air quality
standards for ozone.
(a) The level of the national 8-hour primary and secondary ambient
air quality standards for ozone, measured by a reference method based on
appendix D to this part and designated in accordance with part 53 of
this chapter, is 0.08 parts per million (ppm), daily maximum 8-hour
average.
(b) The 8-hour primary and secondary ozone ambient air quality
standards are met at an ambient air quality monitoring site when the
average of the annual fourth-highest daily maximum 8-hour average ozone
concentration is less than or equal to 0.08 ppm, as determined in
accordance with appendix I to this part.
(c) Until the effective date of the final Implementation of the 2008
National Ambient Air Quality Standards for Ozone: State Implementation
Plan Requirements Rule (final SIP Requirements Rule) to be codified at
40 CFR 51.1100 et seq., the 1997 ozone NAAQS set forth in this section
will continue in effect, notwithstanding the promulgation of the 2008
ozone NAAQS under Sec. 50.15. The 1997 ozone NAAQS set forth in this
section will no longer apply upon the effective date of the final SIP
Requirements Rule. For purposes of the anti-backsliding requirements of
Sec. 51.1105, Sec. 51.165 and Appendix S to part 51, the area
designations and classifications with respect to the revoked 1997 ozone
NAAQS are codified in 40 CFR part 81.
[62 FR 38894, July 18, 1997, as amended at 77 FR 30170, May 21, 2012; 80
FR 12312, Mar. 6, 2015]
Sec. 50.11 National primary and secondary ambient air quality standards
for oxides of nitrogen (with nitrogen dioxide as the indicator).
(a) The level of the national primary annual ambient air quality
standard for oxides of nitrogen is 53 parts per billion (ppb, which is 1
part in 1,000,000,000), annual average concentration, measured in the
ambient air as nitrogen dioxide.
(b) The level of the national primary 1-hour ambient air quality
standard for oxides of nitrogen is 100 ppb, 1-hour average
concentration, measured in the ambient air as nitrogen dioxide.
(c) The level of the national secondary ambient air quality standard
for nitrogen dioxide is 0.053 parts per million (100 micrograms per
cubic
[[Page 10]]
meter), annual arithmetic mean concentration.
(d) The levels of the standards shall be measured by:
(1) A reference method based on appendix F to this part; or
(2) By a Federal equivalent method (FEM) designated in accordance
with part 53 of this chapter.
(e) The annual primary standard is met when the annual average
concentration in a calendar year is less than or equal to 53 ppb, as
determined in accordance with appendix S of this part for the annual
standard.
(f) The 1-hour primary standard is met when the three-year average
of the annual 98th percentile of the daily maximum 1-hour average
concentration is less than or equal to 100 ppb, as determined in
accordance with appendix S of this part for the 1-hour standard.
(g) The secondary standard is attained when the annual arithmetic
mean concentration in a calendar year is less than or equal to 0.053
ppm, rounded to three decimal places (fractional parts equal to or
greater than 0.0005 ppm must be rounded up). To demonstrate attainment,
an annual mean must be based upon hourly data that are at least 75
percent complete or upon data derived from manual methods that are at
least 75 percent complete for the scheduled sampling days in each
calendar quarter.
[75 FR 6531, Feb. 9, 2010]
Sec. 50.12 National primary and secondary ambient air quality
standards for lead.
(a) National primary and secondary ambient air quality standards for
lead and its compounds, measured as elemental lead by a reference method
based on appendix G to this part, or by an equivalent method, are: 1.5
micrograms per cubic meter, maximum arithmetic mean averaged over a
calendar quarter.
(b) The standards set forth in this section will remain applicable
to all areas notwithstanding the promulgation of lead national ambient
air quality standards (NAAQS) in Sec. 50.16. The lead NAAQS set forth
in this section will no longer apply to an area one year after the
effective date of the designation of that area, pursuant to section 107
of the Clean Air Act, for the lead NAAQS set forth in Sec. 50.16;
except that for areas designated nonattainment for the lead NAAQS set
forth in this section as of the effective date of Sec. 50.16, the lead
NAAQS set forth in this section will apply until that area submits,
pursuant to section 191 of the Clean Air Act, and EPA approves, an
implementation plan providing for attainment and/or maintenance of the
lead NAAQS set forth in Sec. 50.16.
(Secs. 109, 301(a) Clean Air Act as amended (42 U.S.C. 7409, 7601(a)))
[43 FR 46258, Oct. 5, 1978, as amended at 73 FR 67051, Nov. 12, 2008]
Sec. 50.13 National primary and secondary ambient air quality standards
for PM2.5.
(a) The national primary and secondary ambient air quality standards
for particulate matter are 15.0 micrograms per cubic meter (mg/m\3\)
annual arithmetic mean concentration, and 35 mg/m\3\ 24-hour average
concentration measured in the ambient air as PM2.5 (particles
with an aerodynamic diameter less than or equal to a nominal 2.5
micrometers) by either:
(1) A reference method based on appendix L of this part and
designated in accordance with part 53 of this chapter; or
(2) An equivalent method designated in accordance with part 53 of
this chapter.
(b) The annual primary and secondary PM2.5 standards are
met when the annual arithmetic mean concentration, as determined in
accordance with appendix N of this part, is less than or equal to 15.0
mg/m\3\.
(c) The 24-hour primary and secondary PM2.5 standards are
met when the 98th percentile 24-hour concentration, as determined in
accordance with appendix N of this part, is less than or equal to 35 mg/
m\3\.
[71 FR 61224, Oct. 17, 2006]
Sec. 50.14 Treatment of air quality monitoring data influenced by
exceptional events.
(a) Requirements. (1) A State may request EPA to exclude data
showing
[[Page 11]]
exceedances or violations of the national ambient air quality standard
that are directly due to an exceptional event from use in determinations
by demonstrating to EPA's satisfaction that such event caused a specific
air pollution concentration at a particular air quality monitoring
location.
(2) Demonstration to justify data exclusion may include any reliable
and accurate data, but must demonstrate a clear causal relationship
between the measured exceedance or violation of such standard and the
event in accordance with paragraph (c)(3)(iv) of this section.
(b) Determinations by EPA. (1) EPA shall exclude data from use in
determinations of exceedances and NAAQS violations where a State
demonstrates to EPA's satisfaction that an exceptional event caused a
specific air pollution concentration in excess of one or more national
ambient air quality standards at a particular air quality monitoring
location and otherwise satisfies the requirements of this section.
(2) EPA shall exclude data from use in determinations of exceedances
and NAAQS violations where a State demonstrates to EPA's satisfaction
that emissions from fireworks displays caused a specific air pollution
concentration in excess of one or more national ambient air quality
standards at a particular air quality monitoring location and otherwise
satisfies the requirements of this section. Such data will be treated in
the same manner as exceptional events under this rule, provided a State
demonstrates that such use of fireworks is significantly integral to
traditional national, ethnic, or other cultural events including, but
not limited to July Fourth celebrations which satisfy the requirements
of this section.
(3) EPA shall exclude data from use in determinations of exceedances
and NAAQS violations, where a State demonstrates to EPA's satisfaction
that emissions from prescribed fires caused a specific air pollution
concentration in excess of one or more national ambient air quality
standards at a particular air quality monitoring location and otherwise
satisfies the requirements of this section provided that such emissions
are from prescribed fires that EPA determines meets the definition in
Sec. 50.1(j), and provided that the State has certified to EPA that it
has adopted and is implementing a Smoke Management Program or the State
has ensured that the burner employed basic smoke management practices.
If an exceptional event occurs using the basic smoke management
practices approach, the State must undertake a review of its approach to
ensure public health is being protected and must include consideration
of development of a SMP.
(4) [Reserved]
(c) Schedules and Procedures. (1) Public notification.
(i) All States and, where applicable, their political subdivisions
must notify the public promptly whenever an event occurs or is
reasonably anticipated to occur which may result in the exceedance of an
applicable air quality standard.
(ii) [Reserved]
(2) Flagging of data.
(i) A State shall notify EPA of its intent to exclude one or more
measured exceedances of an applicable ambient air quality standard as
being due to an exceptional event by placing a flag in the appropriate
field for the data record of concern which has been submitted to the AQS
database.
(ii) Flags placed on data in accordance with this section shall be
deemed informational only, and the data shall not be excluded from
determinations with respect to exceedances or violations of the national
ambient air quality standards unless and until, following the State's
submittal of its demonstration pursuant to paragraph (c)(3) of this
section and EPA review, EPA notifies the State of its concurrence by
placing a concurrence flag in the appropriate field for the data record
in the AQS database.
(iii) Flags placed on data as being due to an exceptional event
together with an initial description of the event shall be submitted to
EPA not later than July 1st of the calendar year following the year in
which the flagged measurement occurred, except as allowed under
paragraph (c)(2)(vi) of this section.
(iv)-(v) [Reserved]
(vi) Table 1 identifies the data submission process for a new or
revised
[[Page 12]]
NAAQS. This process shall apply to those data that will or may influence
the initial designation of areas for any new or revised NAAQS.
Table 1--Schedule for Flagging and Documentation Submission for Data
Influenced by Exceptional Events for Use in Initial Area Designations
------------------------------------------------------------------------
Exceptional events/regulatory Exceptional events deadline schedule
action \d\
------------------------------------------------------------------------
Flagging and initial event If state and tribal initial
description deadline for data designation recommendations for a
years 1, 2 and 3.\a\. new/revised NAAQS are due August
through January, then the flagging
and initial event description
deadline will be the July 1 prior
to the recommendation deadline. If
state and tribal recommendations
for a new/revised NAAQS are due
February through July, then the
flagging and initial event
description deadline will be the
January 1 prior to the
recommendation deadline.
Exceptional events demonstration No later than the date that state
submittal deadline for data years and tribal recommendations are due
1, 2 and 3.\a\. to EPA.
Flagging, initial event By the last day of the month that is
description and exceptional 1 year and 7 months after
events demonstration submittal promulgation of a new/revised
deadline for data year 4 \b\ and, NAAQS, unless either option a or b
where applicable, data year 5.\c\. applies.
a. If the EPA follows a 3-year
designation schedule, the deadline
is 2 years and 7 months after
promulgation of a new/revised
NAAQS.
b. If the EPA notifies the state/
tribe that it intends to complete
the initial area designations
process according to a schedule
between 2 and 3 years, the deadline
is 5 months prior to the date
specified for final designations
decisions in such EPA notification.
------------------------------------------------------------------------
\a\ Where data years 1, 2, and 3 are those years expected to be
considered in state and tribal recommendations.
\b\ Where data year 4 is the additional year of data that the EPA may
consider when it makes final area designations for a new/revised NAAQS
under the standard designations schedule.
\c\ Where data year 5 is the additional year of data that the EPA may
consider when it makes final area designations for a new/revised NAAQS
under an extended designations schedule.
\d\ The date by which air agencies must certify their ambient air
quality monitoring data in AQS is annually on May 1 of the year
following the year of data collection as specified in 40 CFR
58.15(a)(2). In some cases, however, air agencies may choose to
certify a prior year's data in advance of May 1 of the following year,
particularly if the EPA has indicated its intent to promulgate final
designations in the first 8 months of the calendar year. Data
flagging, initial event description and exceptional events
demonstration deadlines for ``early certified'' data will follow the
deadlines for ``year 4'' and ``year 5'' data.
(3) Submission of demonstrations. (i) Except as allowed under
paragraph (c)(2)(vi) of this section, a State that has flagged data as
being due to an exceptional event and is requesting exclusion of the
affected measurement data shall, after notice and opportunity for public
comment, submit a demonstration to justify data exclusion to EPA not
later than the lesser of 3 years following the end of the calendar
quarter in which the flagged concentration was recorded or 12 months
prior to the date that a regulatory decision must be made by EPA. A
State must submit the public comments it received along with its
demonstration to EPA.
(ii)-(iii) [Reserved]
(iv) The demonstration to justify data exclusion shall provide
evidence that:
(A) The event satisfies the criteria set forth in 40 CFR 50.1(j);
(B) There is a clear causal relationship between the measurement
under consideration and the event that is claimed to have affected the
air quality in the area;
(C) The event is associated with a measured concentration in excess
of normal historical fluctuations, including background; and
(D) There would have been no exceedance or violation but for the
event.
(v) With the submission of the demonstration, the State must
document that the public comment process was followed.
[72 FR 13580, Mar. 22, 2007; 72 FR 28612, May 22, 2007; 73 FR 67051,
Nov. 12, 2008; 74 FR 70598, Nov. 21, 2008; 74 FR 23312, May 19, 2009; 75
FR 6531, Feb. 9, 2010; 75 FR 35592, June 22, 2010; 78 FR 3277, Jan. 15,
2013; 80 FR 65452, Oct. 26, 2015]
Sec. 50.15 National primary and secondary ambient air quality standards
for ozone.
(a) The level of the national 8-hour primary and secondary ambient
air quality standards for ozone (O3) is 0.075 parts per
million (ppm), daily maximum 8-hour average, measured by a reference
method based on appendix D to this part and designated in accordance
with part 53 of this chapter or an
[[Page 13]]
equivalent method designated in accordance with part 53 of this chapter.
(b) The 8-hour primary and secondary O3 ambient air
quality standards are met at an ambient air quality monitoring site when
the 3-year average of the annual fourth-highest daily maximum 8-hour
average O3 concentration is less than or equal to 0.075 ppm,
as determined in accordance with appendix P to this part.
[73 FR 16511, Mar. 27, 2008]
Sec. 50.16 National primary and secondary ambient air quality standards
for lead.
(a) The national primary and secondary ambient air quality standards
for lead (Pb) and its compounds are 0.15 micrograms per cubic meter,
arithmetic mean concentration over a 3-month period, measured in the
ambient air as Pb either by:
(1) A reference method based on appendix G of this part and
designated in accordance with part 53 of this chapter or;
(2) An equivalent method designated in accordance with part 53 of
this chapter.
(b) The national primary and secondary ambient air quality standards
for Pb are met when the maximum arithmetic 3-month mean concentration
for a 3-year period, as determined in accordance with appendix R of this
part, is less than or equal to 0.15 micrograms per cubic meter.
[73 FR 67052, Nov. 12, 2008]
Sec. 50.17 National primary ambient air quality standards for sulfur
oxides (sulfur dioxide).
(a) The level of the national primary 1-hour annual ambient air
quality standard for oxides of sulfur is 75 parts per billion (ppb,
which is 1 part in 1,000,000,000), measured in the ambient air as sulfur
dioxide (SO2).
(b) The 1-hour primary standard is met at an ambient air quality
monitoring site when the three-year average of the annual (99th
percentile) of the daily maximum 1-hour average concentrations is less
than or equal to 75 ppb, as determined in accordance with appendix T of
this part.
(c) The level of the standard shall be measured by a reference
method based on appendix A or A-1 of this part, or by a Federal
Equivalent Method (FEM) designated in accordance with part 53 of this
chapter.
[75 FR 35592, June 22, 2010]
Sec. 50.18 National primary ambient air quality standards for PM2.5.
(a) The national primary ambient air quality standards for
PM2.5 are 12.0 micrograms per cubic meter (mg/m\3\) annual
arithmetic mean concentration and 35 mg/m\3\ 24-hour average
concentration measured in the ambient air as PM2.5 (particles
with an aerodynamic diameter less than or equal to a nominal 2.5
micrometers) by either:
(1) A reference method based on appendix L to this part and
designated in accordance with part 53 of this chapter; or
(2) An equivalent method designated in accordance with part 53 of
this chapter.
(b) The primary annual PM2.5 standard is met when the
annual arithmetic mean concentration, as determined in accordance with
appendix N of this part, is less than or equal to 12.0 mg/m\3\.
(c) The primary 24-hour PM2.5 standard is met when the
98th percentile 24-hour concentration, as determined in accordance with
appendix N of this part, is less than or equal to 35 mg/m\3\.
[78 FR 3277, Jan. 15, 2013]
Sec. 50.19 National primary and secondary ambient air quality standards
for ozone.
(a) The level of the national 8-hour primary ambient air quality
standard for ozone (O3) is 0.070 parts per million (ppm),
daily maximum 8-hour average, measured by a reference method based on
appendix D to this part and designated in accordance with part 53 of
this chapter or an equivalent method designated in accordance with part
53 of this chapter.
(b) The 8-hour primary O3 ambient air quality standard is
met at an ambient air quality monitoring site when the 3-year average of
the annual fourth-highest daily maximum 8-hour average O3
concentration is less than or equal to 0.070 ppm, as determined in
accordance with appendix U to this part.
[[Page 14]]
(c) The level of the national secondary ambient air quality standard
for O3 is 0.070 ppm, daily maximum 8-hour average, measured
by a reference method based on appendix D to this part and designated in
accordance with part 53 of this chapter or an equivalent method
designated in accordance with part 53 of this chapter.
(d) The 8-hour secondary O3 ambient air quality standard
is met at an ambient air quality monitoring site when the 3-year average
of the annual fourth-highest daily maximum 8-hour average O3
concentration is less than or equal to 0.070 ppm, as determined in
accordance with appendix U to this part.
[80 FR 65452, Oct. 26, 2015]
Sec. Appendix A-1 to Part 50--Reference Measurement Principle and
Calibration Procedure for the Measurement of Sulfur Dioxide in the
Atmosphere (Ultraviolet Fluorescence Method)
1.0 Applicability
1.1 This ultraviolet fluorescence (UVF) method provides a
measurement of the concentration of sulfur dioxide (SO2) in
ambient air for determining compliance with the national primary and
secondary ambient air quality standards for sulfur oxides (sulfur
dioxide) as specified in Sec. 50.4, Sec. 50.5, and Sec. 50.17 of this
chapter. The method is applicable to the measurement of ambient
SO2 concentrations using continuous (real-time) sampling.
Additional quality assurance procedures and guidance are provided in
part 58, appendix A, of this chapter and in Reference 3.
2.0 Principle
2.1 This reference method is based on automated measurement of the
intensity of the characteristic fluorescence released by SO2
in an ambient air sample contained in a measurement cell of an analyzer
when the air sample is irradiated by ultraviolet (UV) light passed
through the cell. The fluorescent light released by the SO2
is also in the ultraviolet region, but at longer wavelengths than the
excitation light. Typically, optimum instrumental measurement of
SO2 concentrations is obtained with an excitation wavelength
in a band between approximately 190 to 230 nm, and measurement of the
SO2 fluorescence in a broad band around 320 nm, but these
wavelengths are not necessarily constraints of this reference method.
Generally, the measurement system (analyzer) also requires means to
reduce the effects of aromatic hydrocarbon species, and possibly other
compounds, in the air sample to control measurement interferences from
these compounds, which may be present in the ambient air. References 1
and 2 describe UVF method.
2.2 The measurement system is calibrated by referencing the
instrumental fluorescence measurements to SO2 standard
concentrations traceable to a National Institute of Standards and
Technology (NIST) primary standard for SO2 (see Calibration
Procedure below).
2.3 An analyzer implementing this measurement principle is shown
schematically in Figure 1. Designs should include a measurement cell, a
UV light source of appropriate wavelength, a UV detector system with
appropriate wave length sensitivity, a pump and flow control system for
sampling the ambient air and moving it into the measurement cell, sample
air conditioning components as necessary to minimize measurement
interferences, suitable control and measurement processing capability,
and other apparatus as may be necessary. The analyzer must be designed
to provide accurate, repeatable, and continuous measurements of
SO2 concentrations in ambient air, with measurement
performance as specified in Subpart B of Part 53 of this chapter.
2.4 Sampling considerations: The use of a particle filter on the
sample inlet line of a UVF SO2 analyzer is required to
prevent interference, malfunction, or damage due to particles in the
sampled air.
3.0 Interferences
3.1 The effects of the principal potential interferences may need to
be mitigated to meet the interference equivalent requirements of part 53
of this chapter. Aromatic hydrocarbons such as xylene and naphthalene
can fluoresce and act as strong positive interferences. These gases can
be removed by using a permeation type scrubber (hydrocarbon ``kicker'').
Nitrogen oxide (NO) in high concentrations can also fluoresce and cause
positive interference. Optical filtering can be employed to improve the
rejection of interference from high NO. Ozone can absorb UV light given
off by the SO2 molecule and cause a measurement offset. This
effect can be reduced by minimizing the measurement path length between
the area where SO2 fluorescence occurs and the
photomultiplier tube detector (e.g., <5 cm). A hydrocarbon scrubber,
optical filter and appropriate distancing of the measurement path length
may be required method components to reduce interference.
4.0 Calibration Procedure
Atmospheres containing accurately known concentrations of sulfur
dioxide are prepared
[[Page 15]]
using a compressed gas transfer standard diluted with accurately metered
clean air flow rates.
4.1 Apparatus: Figure 2 shows a typical generic system suitable for
diluting a SO2 gas cylinder concentration standard with clean
air through a mixing chamber to produce the desired calibration
concentration standards. A valve may be used to conveniently divert the
SO2 from the sampling manifold to provide clean zero air at
the output manifold for zero adjustment. The system may be made up using
common laboratory components, or it may be a commercially manufactured
system. In either case, the principle components are as follows:
4.1.1 SO2 standard gas flow control and measurement
devices (or a combined device) capable of regulating and maintaining the
standard gas flow rate constant to within [2 percent and measuring the
gas flow rate accurate to within [2, properly calibrated to a NIST-
traceable standard.
4.1.2 Dilution air flow control and measurement devices (or a
combined device) capable of regulating and maintaining the air flow rate
constant to within [2 percent and measuring the air flow rate accurate
to within [2, properly calibrated to a NIST-traceable standard.
4.1.3 Mixing chamber, of an inert material such as glass and of
proper design to provide thorough mixing of pollutant gas and diluent
air streams.
4.1.4 Sampling manifold, constructed of glass,
polytetrafluoroethylene (PTFE Teflon \TM\), or other suitably inert
material and of sufficient diameter to insure a minimum pressure drop at
the analyzer connection, with a vent designed to insure a minimum over-
pressure (relative to ambient air pressure) at the analyzer connection
and to prevent ambient air from entering the manifold.
4.1.5 Standard gas pressure regulator, of clean stainless steel with
a stainless steel diaphragm, suitable for use with a high pressure
SO2 gas cylinder.
4.1.6 Reagents
4.1.6.1 SO2 gas concentration transfer standard having a
certified SO2 concentration of not less than 10 ppm, in
N2, traceable to a NIST Standard Reference Material (SRM).
4.1.6.2 Clean zero air, free of contaminants that could cause a
detectable response or a change in sensitivity of the analyzer. Since
ultraviolet fluorescence analyzers may be sensitive to aromatic
hydrocarbons and O2-to-N2 ratios, it is important
that the clean zero air contains less than 0.1 ppm aromatic hydrocarbons
and O2 and N2 percentages approximately the same
as in ambient air. A procedure for generating zero air is given in
reference 1.
4.2 Procedure
4.2.1 Obtain a suitable calibration apparatus, such as the one shown
schematically in Figure 1, and verify that all materials in contact with
the pollutant are of glass, Teflon \TM\, or other suitably inert
material and completely clean.
4.2.2 Purge the SO2 standard gas lines and pressure
regulator to remove any residual air.
4.2.3 Ensure that there are no leaks in the system and that the flow
measuring devices are properly and accurately calibrated under the
conditions of use against a reliable volume or flow rate standard such
as a soap-bubble meter or a wet-test meter traceable to a NIST standard.
All volumetric flow rates should be corrected to the same reference
temperature and pressure by using the formula below:
[GRAPHIC] [TIFF OMITTED] TR22JN10.000
Where:
Fc = corrected flow rate (L/min at 25 C and 760 mm Hg),
Fm = measured flow rate, (at temperature, Tm and pressure,
Pm),
Pm = measured pressure in mm Hg, (absolute), and
Tm = measured temperature in degrees Celsius.
4.2.4 Allow the SO2 analyzer under calibration to sample
zero air until a stable response is obtained, then make the proper zero
adjustment.
4.2.5 Adjust the airflow to provide an SO2 concentration
of approximately 80 percent of the upper measurement range limit of the
SO2 instrument and verify that the total air flow of the
calibration system exceeds the demand of all analyzers sampling from the
output manifold (with the excess vented).
4.2.6 Calculate the actual SO2 calibration concentration
standard as:
[[Page 16]]
[GRAPHIC] [TIFF OMITTED] TR22JN10.001
Where:
C = the concentration of the SO2 gas standard
Fp = the flow rate of SO2 gas standard
Ft = the total air flow rate of pollutant and diluent gases
4.2.7 When the analyzer response has stabilized, adjust the
SO2 span control to obtain the desired response equivalent to
the calculated standard concentration. If substantial adjustment of the
span control is needed, it may be necessary to re-check the zero and
span adjustments by repeating steps 4.2.4 through 4.2.7 until no further
adjustments are needed.
4.2.8 Adjust the flow rate(s) to provide several other
SO2 calibration concentrations over the analyzer's
measurement range. At least five different concentrations evenly spaced
throughout the analyzer's range are suggested.
4.2.9 Plot the analyzer response (vertical or Y-axis) versus
SO2 concentration (horizontal or X-axis). Compute the linear
regression slope and intercept and plot the regression line to verify
that no point deviates from this line by more than 2 percent of the
maximum concentration tested.
Note: Additional information on calibration and pollutant standards
is provided in Section 12 of Reference 3.
5.0 Frequency of Calibration
The frequency of calibration, as well as the number of points
necessary to establish the calibration curve and the frequency of other
performance checking will vary by analyzer; however, the minimum
frequency, acceptance criteria, and subsequent actions are specified in
Reference 3, Appendix D: Measurement Quality Objectives and Validation
Template for SO2 (page 9 of 30). The user's quality control
program should provide guidelines for initial establishment of these
variables and for subsequent alteration as operational experience is
accumulated. Manufacturers of analyzers should include in their
instruction/operation manuals information and guidance as to these
variables and on other matters of operation, calibration, routine
maintenance, and quality control.
6.0 References for SO2 Method
1. H. Okabe, P. L. Splitstone, and J. J. Ball, ``Ambient and Source
SO2 Detector Based on a Fluorescence Method'',
Journal of the Air Control Pollution Association, vol. 23, p.
514-516 (1973).
2. F. P. Schwarz, H. Okabe, and J. K. Whittaker, ``Fluorescence
Detection of Sulfur Dioxide in Air at the Parts per Billion
Level,'' Analytical Chemistry, vol. 46, pp. 1024-1028 (1974).
3. QA Handbook for Air Pollution Measurement Systems--Volume II. Ambient
Air Quality Monitoring Programs. U.S.
[[Page 17]]
[GRAPHIC] [TIFF OMITTED] TR22JN10.002
[[Page 18]]
[GRAPHIC] [TIFF OMITTED] TR22JN10.003
[75 FR 35593, June 22, 2010]
Sec. Appendix A-2 to Part 50--Reference Method for the Determination of
Sulfur Dioxide in the Atmosphere (Pararosaniline Method)
1.0 Applicability.
1.1 This method provides a measurement of the concentration of
sulfur dioxide (SO2) in ambient air for determining
compliance with the primary and secondary national ambient air quality
standards for sulfur oxides (sulfur dioxide) as specified in Sec. 50.4
and Sec. 50.5 of this chapter. The method is applicable to the
measurement of ambient SO2 concentrations using sampling
periods ranging from 30 minutes to 24 hours. Additional quality
assurance procedures and guidance are provided in part 58, appendixes A
and B, of this chapter and in references 1 and 2.
2.0 Principle.
2.1 A measured volume of air is bubbled through a solution of 0.04 M
potassium tetrachloromercurate (TCM). The SO2 present in the
air stream reacts with the TCM solution to form a stable
monochlorosulfonatomercurate(3) complex. Once formed, this complex
resists air oxidation(4, 5) and is stable in the presence of strong
oxidants such as ozone and oxides of nitrogen. During subsequent
analysis, the complex is reacted with acid-bleached pararosaniline dye
and formaldehyde to form an intensely colored pararosaniline methyl
sulfonic acid.
(6) The optical density of this species is determined
spectrophotometrically at 548 nm and is directly related to the amount
of SO2 collected. The total volume of air sampled, corrected
to EPA reference conditions (25 C, 760 mm Hg [101 kPa]), is determined
from the measured flow rate and the sampling time. The concentration of
SO2 in the ambient air is computed and expressed in
micrograms per standard cubic meter (mg/std m\3\).
3.0 Range.
3.1 The lower limit of detection of SO2 in 10 mL of TCM
is 0.75 mg (based on collaborative
[[Page 19]]
test results).(7) This represents a concentration of 25 mg
SO2/m\3\ (0.01 ppm) in an air sample of 30 standard liters
(short-term sampling) and a concentration of 13 mg SO2/m\3\
(0.005 ppm) in an air sample of 288 standard liters (long-term
sampling). Concentrations less than 25 mg SO2/m\3\ can be
measured by sampling larger volumes of ambient air; however, the
collection efficiency falls off rapidly at low concentrations.(8, 9)
Beer's law is adhered to up to 34 mg of SO2 in 25 mL of final
solution. This upper limit of the analysis range represents a
concentration of 1,130 mg SO2/m\3\ (0.43 ppm) in an air
sample of 30 standard liters and a concentration of 590 mg
SO2/m\3\ (0.23 ppm) in an air sample of 288 standard liters.
Higher concentrations can be measured by collecting a smaller volume of
air, by increasing the volume of absorbing solution, or by diluting a
suitable portion of the collected sample with absorbing solution prior
to analysis.
4.0 Interferences.
4.1 The effects of the principal potential interferences have been
minimized or eliminated in the following manner: Nitrogen oxides by the
addition of sulfamic acid,(10, 11) heavy metals by the addition of
ethylenediamine tetracetic acid disodium salt (EDTA) and phosphoric
acid,(10, 12) and ozone by time delay.(10) Up to 60 mg Fe (III), 22 mg V
(V), 10 mg Cu (II), 10 mg Mn (II), and 10 mg Cr (III) in 10 mL absorbing
reagent can be tolerated in the procedure.(10) No significant
interference has been encountered with 2.3 mg NH3.(13)
5.0 Precision and Accuracy.
5.1 The precision of the analysis is 4.6 percent (at the 95 percent
confidence level) based on the analysis of standard sulfite samples.(10)
5.2 Collaborative test results (14) based on the analysis of
synthetic test atmospheres (SO2 in scrubbed air) using the
24-hour sampling procedure and the sulfite-TCM calibration procedure
show that:
The replication error varies linearly with concentration from [2.5 mg/
m\3\ at concentrations of 100 mg/m\3\ to [7 mg/m\3\ at concentrations of
400 mg/m\3\.
The day-to-day variability within an individual laboratory
(repeatability) varies linearly with concentration from [18.1 mg/m\3\ at
levels of 100 mg/m\3\ to [50.9 mg/m\3\ at levels of 400 mg/m\3\.
The day-to-day variability between two or more laboratories
(reproducibility) varies linearly with concentration from [36.9 mg/m\3\
at levels of 100 mg/m\3\ to [103.5 m g/m\3\ at levels of 400 mg/m\3\.
The method has a concentration-dependent bias, which becomes
significant at the 95 percent confidence level at the high concentration
level. Observed values tend to be lower than the expected SO2
concentration level.
6.0 Stability.
6.1 By sampling in a controlled temperature environment of 15 [10
C, greater than 98.9 percent of the SO2-TCM complex is
retained at the completion of sampling. (15) If kept at 5 C following
the completion of sampling, the collected sample has been found to be
stable for up to 30 days. (10) The presence of EDTA enhances the
stability of SO2 in the TCM solution and the rate of decay is
independent of the concentration of SO2. (16)
7.0 Apparatus.
7.1 Sampling.
7.1.1 Sample probe: A sample probe meeting the requirements of
section 7 of 40 CFR part 58, appendix E (Teflon or glass with
residence time less than 20 sec.) is used to transport ambient air to
the sampling train location. The end of the probe should be designed or
oriented to preclude the sampling of precipitation, large particles,
etc. A suitable probe can be constructed from Teflon tubing connected
to an inverted funnel.
7.1.2 Absorber--short-term sampling: An all glass midget impinger
having a solution capacity of 30 mL and a stem clearance of 4 [1 mm from
the bottom of the vessel is used for sampling periods of 30 minutes and
1 hour (or any period considerably less than 24 hours). Such an impinger
is shown in Figure 1. These impingers are commercially available from
distributors such as Ace Glass, Incorporated.
7.1.3 Absorber--24-hour sampling: A polypropylene tube 32 mm in
diameter and 164 mm long (available from Bel Art Products, Pequammock,
NJ) is used as the absorber. The cap of the absorber must be a
polypropylene cap with two ports (rubber stoppers are unacceptable
because the absorbing reagent can react with the stopper to yield
erroneously high SO2 concentrations). A glass impinger stem,
6 mm in diameter and 158 mm long, is inserted into one port of the
absorber cap. The tip of the stem is tapered to a small diameter orifice
(0.4 [0.1 mm) such that a No. 79 jeweler's drill bit will pass through
the opening but a No. 78 drill bit will not. Clearance from the bottom
of the absorber to the tip of the stem must be 6 [2 mm. Glass stems can
be fabricated by any reputable glass blower or can be obtained from a
scientific supply firm. Upon receipt, the orifice test should be
performed to verify the orifice size. The 50 mL volume level should be
permanently marked on the absorber. The assembled absorber is shown in
Figure 2.
7.1.4 Moisture trap: A moisture trap constructed of a glass trap as
shown in Figure 1 or a polypropylene tube as shown in Figure 2 is placed
between the absorber tube and flow control device to prevent entrained
liquid from reaching the flow control device. The tube is packed with
indicating silica gel as shown in Figure 2. Glass wool may be
substituted for silica gel when collecting short-term samples (1 hour or
less) as shown in
[[Page 20]]
Figure 1, or for long term (24 hour) samples if flow changes are not
routinely encountered.
7.1.5 Cap seals: The absorber and moisture trap caps must seal
securely to prevent leaks during use. Heat-shrink material as shown in
Figure 2 can be used to retain the cap seals if there is any chance of
the caps coming loose during sampling, shipment, or storage.
[[Page 21]]
[[Page 22]]
7.1.6 Flow control device: A calibrated rotameter and needle valve
combination capable of maintaining and measuring air flow to within [2
percent is suitable for short-term sampling but may not be used for
long-term sampling. A critical orifice can be used for regulating flow
rate for both long-term and short-term sampling. A 22-gauge hypodermic
needle 25 mm long may be used as a critical orifice to yield a flow rate
of approximately 1 L/min for a 30-minute sampling period. When sampling
for 1 hour, a 23-gauge hypodermic needle 16 mm in length will provide a
flow rate of approximately 0.5 L/min. Flow control for a 24-hour sample
may be provided by a 27-gauge hypodermic needle critical orifice that is
9.5 mm in length. The flow rate should be in the range of 0.18 to 0.22
L/min.
7.1.7 Flow measurement device: Device calibrated as specified in
9.4.1 and used to measure sample flow rate at the monitoring site.
7.1.8 Membrane particle filter: A membrane filter of 0.8 to 2 mm
porosity is used to protect the flow controller from particles during
long-term sampling. This item is optional for short-term sampling.
7.1.9 Vacuum pump: A vacuum pump equipped with a vacuum gauge and
capable of maintaining at least 70 kPa (0.7 atm) vacuum differential
across the flow control device at the specified flow rate is required
for sampling.
7.1.10 Temperature control device: The temperature of the absorbing
solution during sampling must be maintained at 15 [10 C. As soon as
possible following sampling and until analysis, the temperature of the
collected sample must be maintained at 5 [5 C. Where an extended
period of time may elapse before the collected sample can be moved to
the lower storage temperature, a collection temperature near the lower
limit of the 15 [10 C range should be used to minimize losses during
this period. Thermoelectric coolers specifically designed for this
temperature control are available commercially and normally operate in
the range of 5 to 15 C. Small refrigerators can be modified to provide
the required temperature control; however, inlet lines must be insulated
from the lower temperatures to prevent condensation when sampling under
humid conditions. A small heating pad may be necessary when sampling at
low temperatures (<7 C) to prevent the absorbing solution from
freezing.(17)
7.1.11 Sampling train container: The absorbing solution must be
shielded from light during and after sampling. Most commercially
available sampler trains are enclosed in a light-proof box.
7.1.12 Timer: A timer is recommended to initiate and to stop
sampling for the 24-hour period. The timer is not a required piece of
equipment; however, without the timer a technician would be required to
start and stop the sampling manually. An elapsed time meter is also
recommended to determine the duration of the sampling period.
7.2 Shipping.
7.2.1 Shipping container: A shipping container that can maintain a
temperature of 5 [5 C is used for transporting the sample from the
collection site to the analytical laboratory. Ice coolers or
refrigerated shipping containers have been found to be satisfactory. The
use of eutectic cold packs instead of ice will give a more stable
temperature control. Such equipment is available from Cole-Parmer
Company, 7425 North Oak Park Avenue, Chicago, IL 60648.
7.3 Analysis.
7.3.1 Spectrophotometer: A spectrophotometer suitable for
measurement of absorbances at 548 nm with an effective spectral
bandwidth of less than 15 nm is required for analysis. If the
spectrophotometer reads out in transmittance, convert to absorbance as
follows:
[GRAPHIC] [TIFF OMITTED] TC08NO91.000
where:
A = absorbance, and
T = transmittance (0<=T<1).
A standard wavelength filter traceable to the National Bureau of
Standards is used to verify the wavelength calibration according to the
procedure enclosed with the filter. The wavelength calibration must be
verified upon initial receipt of the instrument and after each 160 hours
of normal use or every 6 months, whichever occurs first.
7.3.2 Spectrophotometer cells: A set of 1-cm path length cells
suitable for use in the visible region is used during analysis. If the
cells are unmatched, a matching correction factor must be determined
according to Section 10.1.
7.3.3 Temperature control device: The color development step during
analysis must be conducted in an environment that is in the range of 20
to 30 C and controlled to [1 C. Both calibration and sample analysis
must be performed under identical conditions (within 1 C). Adequate
temperature control may be obtained by means of constant temperature
baths, water baths with manual temperature control, or temperature
controlled rooms.
7.3.4 Glassware: Class A volumetric glassware of various capacities
is required for preparing and standardizing reagents and standards and
for dispensing solutions during analysis. These included pipets,
volumetric flasks, and burets.
7.3.5 TCM waste receptacle: A glass waste receptacle is required for
the storage of spent TCM solution. This vessel should be stoppered and
stored in a hood at all times.
8.0 Reagents.
8.1 Sampling.
[[Page 23]]
8.1.1 Distilled water: Purity of distilled water must be verified by
the following procedure:(18)
Place 0.20 mL of potassium permanganate solution (0.316 g/L), 500 mL
of distilled water, and 1mL of concentrated sulfuric acid in a
chemically resistant glass bottle, stopper the bottle, and allow to
stand.
If the permanganate color (pink) does not disappear completely after a
period of 1 hour at room temperature, the water is suitable for use.
If the permanganate color does disappear, the water can be purified by
redistilling with one crystal each of barium hydroxide and potassium
permanganate in an all glass still.
8.1.2 Absorbing reagent (0.04 M potassium tetrachloromercurate
[TCM]): Dissolve 10.86 g mercuric chloride, 0.066 g EDTA, and 6.0 g
potassium chloride in distilled water and dilute to volume with
distilled water in a 1,000-mL volumetric flask. (Caution: Mercuric
chloride is highly poisonous. If spilled on skin, flush with water
immediately.) The pH of this reagent should be between 3.0 and 5.0 (10)
Check the pH of the absorbing solution by using pH indicating paper or a
pH meter. If the pH of the solution is not between 3.0 and 5.0, dispose
of the solution according to one of the disposal techniques described in
Section 13.0. The absorbing reagent is normally stable for 6 months. If
a precipitate forms, dispose of the reagent according to one of the
procedures described in Section 13.0.
8.2 Analysis.
8.2.1 Sulfamic acid (0.6%): Dissolve 0.6 g sulfamic acid in 100 mL
distilled water. Perpare fresh daily.
8.2.2 Formaldehyde (0.2%): Dilute 5 mL formaldehyde solution (36 to
38 percent) to 1,000 mL with distilled water. Prepare fresh daily.
8.2.3 Stock iodine solution (0.1 N): Place 12.7 g resublimed iodine
in a 250-mL beaker and add 40 g potassium iodide and 25 mL water. Stir
until dissolved, transfer to a 1,000 mL volumetric flask and dilute to
volume with distilled water.
8.2.4 Iodine solution (0.01 N): Prepare approximately 0.01 N iodine
solution by diluting 50 mL of stock iodine solution (Section 8.2.3) to
500 mL with distilled water.
8.2.5 Starch indicator solution: Triturate 0.4 g soluble starch and
0.002 g mercuric iodide (preservative) with enough distilled water to
form a paste. Add the paste slowly to 200 mL of boiling distilled water
and continue boiling until clear. Cool and transfer the solution to a
glass stopperd bottle.
8.2.6 1 N hydrochloric acid: Slowly and while stirring, add 86 mL of
concentrated hydrochloric acid to 500 mL of distilled water. Allow to
cool and dilute to 1,000 mL with distilled water.
8.2.7 Potassium iodate solution: Accurately weigh to the nearest 0.1
mg, 1.5 g (record weight) of primary standard grade potassium iodate
that has been previously dried at 180 C for at least 3 hours and cooled
in a dessicator. Dissolve, then dilute to volume in a 500-mL volumetric
flask with distilled water.
8.2.8 Stock sodium thiosulfate solution (0.1 N): Prepare a stock
solution by dissolving 25 g sodium thiosulfate (Na2
S2 O3 / 5H2 O) in 1,000 mL freshly
boiled, cooled, distilled water and adding 0.1 g sodium carbonate to the
solution. Allow the solution to stand at least 1 day before
standardizing. To standardize, accurately pipet 50 mL of potassium
iodate solution (Section 8.2.7) into a 500-mL iodine flask and add 2.0 g
of potassium iodide and 10 mL of 1 N HCl. Stopper the flask and allow to
stand for 5 minutes. Titrate the solution with stock sodium thiosulfate
solution (Section 8.2.8) to a pale yellow color. Add 5 mL of starch
solution (Section 8.2.5) and titrate until the blue color just
disappears. Calculate the normality (Ns) of the stock sodium
thiosulfate solution as follows:
[GRAPHIC] [TIFF OMITTED] TC08NO91.001
where:
M = volume of thiosulfate required in mL, and
W = weight of potassium iodate in g (recorded weight in Section 8.2.7).
[GRAPHIC] [TIFF OMITTED] TC08NO91.002
8.2.9 Working sodium thiosulfate titrant (0.01 N): Accurately pipet
100 mL of stock sodium thiosulfate solution (Section 8.2.8) into a
1,000-mL volumetric flask and dilute to volume with freshly boiled,
cooled, distilled water. Calculate the normality of the working sodium
thiosulfate titrant (NT) as follows:
[GRAPHIC] [TIFF OMITTED] TC08NO91.003
8.2.10 Standardized sulfite solution for the preparation of working
sulfite-TCM solution: Dissolve 0.30 g sodium metabisulfite
(Na2 S2 O5) or 0.40 g sodium sulfite
(Na2 SO3) in 500 mL of recently boiled, cooled,
distilled water. (Sulfite solution is unstable; it is therefore
important to use water of the highest purity to minimize this
instability.) This solution contains the equivalent of 320 to 400 mg
SO2/mL. The actual concentration of the solution is
determined by adding excess iodine and back-titrating with standard
sodium thiosulfate solution. To back-titrate, pipet 50 mL of the 0.01 N
iodine solution (Section 8.2.4) into each of two 500-mL iodine flasks (A
and B). To flask A (blank) add 25 mL distilled water, and to flask B
(sample)
[[Page 24]]
pipet 25 mL sulfite solution. Stopper the flasks and allow to stand for
5 minutes. Prepare the working sulfite-TCM solution (Section 8.2.11)
immediately prior to adding the iodine solution to the flasks. Using a
buret containing standardized 0.01 N thiosulfate titrant (Section
8.2.9), titrate the solution in each flask to a pale yellow color. Then
add 5 mL starch solution (Section 8.2.5) and continue the titration
until the blue color just disappears.
8.2.11 Working sulfite-TCM solution: Accurately pipet 5 mL of the
standard sulfite solution (Section 8.2.10) into a 250-mL volumetric
flask and dilute to volume with 0.04 M TCM. Calculate the concentration
of sulfur dioxide in the working solution as follows:
[GRAPHIC] [TIFF OMITTED] TC08NO91.004
where:
A = volume of thiosulfate titrant required for the blank, mL;
B = volume of thiosulfate titrant required for the sample, mL;
NT = normality of the thiosulfate titrant, from equation (3);
32,000 = milliequivalent weight of SO2, mg;
25 = volume of standard sulfite solution, mL; and
0.02 = dilution factor.
This solution is stable for 30 days if kept at 5 C. (16) If not
kept at 5 C, prepare fresh daily.
8.2.12 Purified pararosaniline (PRA) stock solution (0.2% nominal):
8.2.12.1 Dye specifications--
The dye must have a maximum absorbance at a wavelength of 540 nm when
assayed in a buffered solution of 0.1 M sodium acetate-acetic acid;
The absorbance of the reagent blank, which is temperature sensitive
(0.015 absorbance unit/ C), must not exceed 0.170 at 22 C with a 1-cm
optical path length when the blank is prepared according to the
specified procedure;
The calibration curve (Section 10.0) must have a slope equal to 0.030
[0.002 absorbance unit/mg SO2 with a 1-cm optical path length
when the dye is pure and the sulfite solution is properly standardized.
8.2.12.2 Preparation of stock PRA solution--A specially purified (99
to 100 percent pure) solution of pararosaniline, which meets the above
specifications, is commercially available in the required 0.20 percent
concentration (Harleco Co.). Alternatively, the dye may be purified, a
stock solution prepared, and then assayed according to the procedure as
described below.(10)
8.2.12.3 Purification procedure for PRA--
1. Place 100 mL each of 1-butanol and 1 N HCl in a large separatory
funnel (250-mL) and allow to equilibrate. Note: Certain batches of 1-
butanol contain oxidants that create an SO2 demand. Before
using, check by placing 20 mL of 1-butanol and 5 mL of 20 percent
potassium iodide (KI) solution in a 50-mL separatory funnel and shake
thoroughly. If a yellow color appears in the alcohol phase, redistill
the 1-butanol from silver oxide and collect the middle fraction or
purchase a new supply of 1-butanol.
2. Weigh 100 mg of pararosaniline hydrochloride dye (PRA) in a small
beaker. Add 50 mL of the equilibrated acid (drain in acid from the
bottom of the separatory funnel in 1.) to the beaker and let stand for
several minutes. Discard the remaining acid phase in the separatory
funnel.
3. To a 125-mL separatory funnel, add 50 mL of the equilibrated 1-
butanol (draw the 1-butanol from the top of the separatory funnel in
1.). Transfer the acid solution (from 2.) containing the dye to the
funnel and shake carefully to extract. The violet impurity will transfer
to the organic phase.
4. Transfer the lower aqueous phase into another separatory funnel,
add 20 mL of equilibrated 1-butanol, and extract again.
5. Repeat the extraction procedure with three more 10-mL portions of
equilibrated 1-butanol.
6. After the final extraction, filter the acid phase through a
cotton plug into a 50-mL volumetric flask and bring to volume with 1 N
HCl. This stock reagent will be a yellowish red.
7. To check the purity of the PRA, perform the assay and adjustment
of concentration (Section 8.2.12.4) and prepare a reagent blank (Section
11.2); the absorbance of this reagent blank at 540 nm should be less
than 0.170 at 22 C. If the absorbance is greater than 0.170 under these
conditions, further extractions should be performed.
8.2.12.4 PRA assay procedure--The concentration of pararosaniline
hydrochloride (PRA) need be assayed only once after purification. It is
also recommended that commercial solutions of pararosaniline be assayed
when first purchased. The assay procedure is as follows:(10)
1. Prepare 1 M acetate-acetic acid buffer stock solution with a pH
of 4.79 by dissolving
[[Page 25]]
13.61 g of sodium acetate trihydrate in distilled water in a 100-mL
volumetric flask. Add 5.70 mL of glacial acetic acid and dilute to
volume with distilled water.
2. Pipet 1 mL of the stock PRA solution obtained from the
purification process or from a commercial source into a 100-mL
volumetric flask and dilute to volume with distilled water.
3. Transfer a 5-mL aliquot of the diluted PRA solution from 2. into
a 50-mL volumetric flask. Add 5mL of 1 M acetate-acetic acid buffer
solution from 1. and dilute the mixture to volume with distilled water.
Let the mixture stand for 1 hour.
4. Measure the absorbance of the above solution at 540 nm with a
spectrophotometer against a distilled water reference. Compute the
percentage of nominal concentration of PRA by
[GRAPHIC] [TIFF OMITTED] TC08NO91.005
where:
A = measured absorbance of the final mixture (absorbance units);
W = weight in grams of the PRA dye used in the assay to prepare 50 mL of
stock solution (for example, 0.100 g of dye was used to
prepare 50 mL of solution in the purification procedure; when
obtained from commercial sources, use the stated concentration
to compute W; for 98% PRA, W = .098 g.); and
K = 21.3 for spectrophotometers having a spectral bandwidth of less than
15 nm and a path length of 1 cm.
8.2.13 Pararosaniline reagent: To a 250-mL volumetric flask, add 20
mL of stock PRA solution. Add an additional 0.2 mL of stock solution for
each percentage that the stock assays below 100 percent. Then add 25 mL
of 3 M phosphoric acid and dilute to volume with distilled water. The
reagent is stable for at least 9 months. Store away from heat and light.
9.0 Sampling Procedure.
9.1 General Considerations. Procedures are described for short-term
sampling (30-minute and 1-hour) and for long-term sampling (24-hour).
Different combinations of absorbing reagent volume, sampling rate, and
sampling time can be selected to meet special needs. For combinations
other than those specifically described, the conditions must be adjusted
so that linearity is maintained between absorbance and concentration
over the dynamic range. Absorbing reagent volumes less than 10 mL are
not recommended. The collection efficiency is above 98 percent for the
conditions described; however, the efficiency may be substantially lower
when sampling concentrations below 25 mgSO2/m\3\.(8,9)
9.2 30-Minute and 1-Hour Sampling. Place 10 mL of TCM absorbing
reagent in a midget impinger and seal the impinger with a thin film of
silicon stopcock grease (around the ground glass joint). Insert the
sealed impinger into the sampling train as shown in Figure 1, making
sure that all connections between the various components are leak tight.
Greaseless ball joint fittings, heat shrinkable Teflon tubing, or
Teflon tube fittings may be used to attain leakfree conditions for
portions of the sampling train that come into contact with air
containing SO2. Shield the absorbing reagent from direct
sunlight by covering the impinger with aluminum foil or by enclosing the
sampling train in a light-proof box. Determine the flow rate according
to Section 9.4.2. Collect the sample at 1 [0.10 L/min for 30-minute
sampling or 0.500 [0.05 L/min for 1-hour sampling. Record the exact
sampling time in minutes, as the sample volume will later be determined
using the sampling flow rate and the sampling time. Record the
atmospheric pressure and temperature.
9.3 24-Hour Sampling. Place 50 mL of TCM absorbing solution in a
large absorber, close the cap, and, if needed, apply the heat shrink
material as shown in Figure 3. Verify that the reagent level is at the
50 mL mark on the absorber. Insert the sealed absorber into the sampling
train as shown in Figure 2. At this time verify that the absorber
temperature is controlled to 15 [10 C. During sampling, the absorber
temperature must be controlled to prevent decomposition of the collected
complex. From the onset of sampling until analysis, the absorbing
solution must be protected from direct sunlight. Determine the flow rate
according to Section 9.4.2. Collect the sample for 24 hours from
midnight to midnight at a flow rate of 0.200 [0.020 L/min. A start/stop
timer is helpful for initiating and stopping sampling and an elapsed
time meter will be useful for determining the sampling time.
[[Page 26]]
9.4 Flow Measurement.
9.4.1 Calibration: Flow measuring devices used for the on-site flow
measurements required in 9.4.2 must be calibrated against a reliable
flow or volume standard such as an NBS traceable bubble flowmeter or
calibrated wet test meter. Rotameters or critical orifices used in the
sampling train may be calibrated, if desired, as a quality control
check, but such calibration shall not replace the on-site flow
measurements required by 9.4.2. In-line rotameters, if they are to be
calibrated, should be calibrated in situ, with the appropriate volume of
solution in the absorber.
9.4.2 Determination of flow rate at sampling site: For short-term
samples, the standard flow rate is determined at the sampling site at
the initiation and completion of sample collection with a calibrated
flow measuring device connected to the inlet of the absorber. For 24-
hour samples, the standard flow rate is determined at the time the
absorber is placed in the sampling train and again when the absorber is
removed from the train for shipment to the analytical laboratory with a
calibrated flow measuring device connected to the inlet of the sampling
train. The flow rate determination must be made with all components of
the sampling system in operation (e.g., the absorber temperature
controller and any sample box heaters must also be operating). Equation
6 may be used to determine the standard flow rate when a calibrated
positive displacement meter is used as the flow measuring device. Other
types of calibrated flow measuring devices may also be used to determine
the flow rate at the sampling site provided that the user applies any
appropriate corrections to devices for which output is dependent on
temperature or pressure.
[[Page 27]]
[GRAPHIC] [TIFF OMITTED] TC08NO91.006
where:
Qstd = flow rate at standard conditions, std L/min (25 C and
760 mm Hg);
Qact = flow rate at monitoring site conditions, L/min;
Pb = barometric pressure at monitoring site conditions, mm Hg
or kPa;
RH = fractional relative humidity of the air being measured;
PH2O = vapor pressure of water at the temperature
of the air in the flow or volume standard, in the same units
as Pb, (for wet volume standards only, i.e., bubble
flowmeter or wet test meter; for dry standards, i.e., dry test
meter, PH2O = 0);
Pstd = standard barometric pressure, in the same units as
Pb (760 mm Hg or 101 kPa); and
Tmeter = temperature of the air in the flow or volume
standard, C (e.g., bubble flowmeter).
If a barometer is not available, the following equation may be used
to determine the barometric pressure:
[GRAPHIC] [TIFF OMITTED] TC08NO91.007
where:
H = sampling site elevation above sea level in meters.
If the initial flow rate (Qi) differs from the flow rate
of the critical orifice or the flow rate indicated by the flowmeter in
the sampling train (Qc) by more than 5 percent as determined
by equation (8), check for leaks and redetermine Qi.
[GRAPHIC] [TIFF OMITTED] TC08NO91.008
Invalidate the sample if the difference between the initial
(Qi) and final (Qf) flow rates is more than 5
percent as determined by equation (9):
[GRAPHIC] [TIFF OMITTED] TC08NO91.009
9.5 Sample Storage and Shipment. Remove the impinger or absorber
from the sampling train and stopper immediately. Verify that the
temperature of the absorber is not above 25 C. Mark the level of the
solution with a temporary (e.g., grease pencil) mark. If the sample will
not be analyzed within 12 hours of sampling, it must be stored at 5 [5
C until analysis. Analysis must occur within 30 days. If the sample is
transported or shipped for a period exceeding 12 hours, it is
recommended that thermal coolers using eutectic ice packs, refrigerated
shipping containers, etc., be used for periods up to 48 hours. (17)
Measure the temperature of the absorber solution when the shipment is
received. Invalidate the sample if the temperature is above 10 C. Store
the sample at 5 [5 C until it is analyzed.
10.0 Analytical Calibration.
10.1 Spectrophotometer Cell Matching. If unmatched spectrophotometer
cells are used, an absorbance correction factor must be determined as
follows:
1. Fill all cells with distilled water and designate the one that
has the lowest absorbance at 548 nm as the reference. (This reference
cell should be marked as such and continually used for this purpose
throughout all future analyses.)
2. Zero the spectrophotometer with the reference cell.
3. Determine the absorbance of the remaining cells (Ac)
in relation to the reference cell and record these values for future
use. Mark all cells in a manner that adequately identifies the
correction.
The corrected absorbance during future analyses using each cell is
determining as follows:
[GRAPHIC] [TIFF OMITTED] TC08NO91.010
where:
A = corrected absorbance,
Aobs = uncorrected absorbance, and
Ac = cell correction.
10.2 Static Calibration Procedure (Option 1). Prepare a dilute
working sulfite-TCM solution by diluting 10 mL of the working sulfite-
TCM solution (Section 8.2.11) to 100 mL with TCM absorbing reagent.
Following the table below, accurately pipet the indicated volumes of the
sulfite-TCM solutions into a series of 25-mL volumetric flasks. Add TCM
absorbing reagent as indicated to bring the volume in each flask to 10
mL.
[[Page 28]]
------------------------------------------------------------------------
Volume of
sulfite- Volume of Total mg
Sulfite-TCM solution TCM TCM, mL SO2
solution (approx.*
------------------------------------------------------------------------
Working................................ 4.0 6.0 28.8
Working................................ 3.0 7.0 21.6
Working................................ 2.0 8.0 14.4
Dilute working......................... 10.0 0.0 7.2
Dilute working......................... 5.0 5.0 3.6
0.0 10.0 0.0
------------------------------------------------------------------------
*Based on working sulfite-TCM solution concentration of 7.2 mg SO2/mL;
the actual total mg SO2 must be calculated using equation 11 below.
To each volumetric flask, add 1 mL 0.6% sulfamic acid (Section
8.2.1), accurately pipet 2 mL 0.2% formaldehyde solution (Section
8.2.2), then add 5 mL pararosaniline solution (Section 8.2.13). Start a
laboratory timer that has been set for 30 minutes. Bring all flasks to
volume with recently boiled and cooled distilled water and mix
thoroughly. The color must be developed (during the 30-minute period) in
a temperature environment in the range of 20 to 30 C, which is
controlled to [1 C. For increased precision, a constant temperature
bath is recommended during the color development step. After 30 minutes,
determine the corrected absorbance of each standard at 548 nm against a
distilled water reference (Section 10.1). Denote this absorbance as (A).
Distilled water is used in the reference cell rather than the reagant
blank because of the temperature sensitivity of the reagent blank.
Calculate the total micrograms SO2 in each solution:
[GRAPHIC] [TIFF OMITTED] TC08NO91.011
where:
VTCM/SO2 = volume of sulfite-TCM solution used, mL;
CTCM/SO2 = concentration of sulfur dioxide in the working
sulfite-TCM, mg SO2/mL (from equation 4); and
D = dilution factor (D = 1 for the working sulfite-TCM solution; D = 0.1
for the diluted working sulfite-TCM solution).
A calibration equation is determined using the method of linear
least squares (Section 12.1). The total micrograms SO2
contained in each solution is the x variable, and the corrected
absorbance (eq. 10) associated with each solution is the y variable. For
the calibration to be valid, the slope must be in the range of 0.030
[0.002 absorbance unit/mg SO2, the intercept as determined by
the least squares method must be equal to or less than 0.170 absorbance
unit when the color is developed at 22 C (add 0.015 to this 0.170
specification for each C above 22 C) and the correlation coefficient
must be greater than 0.998. If these criteria are not met, it may be the
result of an impure dye and/or an improperly standardized sulfite-TCM
solution. A calibration factor (Bs) is determined by
calculating the reciprocal of the slope and is subsequently used for
calculating the sample concentration (Section 12.3).
10.3 Dynamic Calibration Procedures (Option 2). Atmospheres
containing accurately known concentrations of sulfur dioxide are
prepared using permeation devices. In the systems for generating these
atmospheres, the permeation device emits gaseous SO2 at a
known, low, constant rate, provided the temperature of the device is
held constant ([0.1 C) and the device has been accurately calibrated at
the temperature of use. The SO2 permeating from the device is
carried by a low flow of dry carrier gas to a mixing chamber where it is
diluted with SO2-free air to the desired concentration and
supplied to a vented manifold. A typical system is shown schematically
in Figure 4 and this system and other similar systems have been
described in detail by O'Keeffe and Ortman; (19) Scaringelli, Frey, and
Saltzman, (20) and Scaringelli, O'Keeffe, Rosenberg, and Bell. (21)
Permeation devices may be prepared or purchased and in both cases must
be traceable either to a National Bureau of Standards (NBS) Standard
Reference Material (SRM 1625, SRM 1626, SRM 1627) or to an NBS/EPA-
approved commercially available Certified Reference Material (CRM).
CRM's are described in Reference 22, and a list of CRM sources is
available from the address shown for Reference 22. A recommended
protocol for certifying a permeation device to an NBS SRM or CRM is
given in Section 2.0.7 of Reference 2. Device permeation rates of 0.2 to
0.4 mg/min, inert gas flows of about 50 mL/min, and dilution air flow
rates from 1.1 to 15 L/min conveniently yield standard atmospheres in
the range of 25 to 600 mg SO2/m\3\ (0.010 to 0.230 ppm).
10.3.1 Calibration Option 2A (30-minute and 1-hour samples):
Generate a series of six standard atmospheres of SO2 (e.g.,
0, 50, 100, 200, 350, 500, 750 mg/m\3\) by adjusting the dilution flow
rates appropriately. The concentration of SO2 in each
atmosphere is calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.014
where:
[[Page 29]]
Ca = concentration of SO2 at standard conditions,
mg/m\3\;
Pr = permeation rate, mg/min;
Qd = flow rate of dilution air, std L/min; and
Qp = flow rate of carrier gas across permeation device, std
L/min.
[[Page 30]]
Be sure that the total flow rate of the standard exceeds the flow
demand of the sample train, with the excess flow vented at atmospheric
pressure. Sample each atmosphere using similar apparatus as shown in
Figure 1 and under the same conditions as field sampling (i.e., use same
absorbing reagent volume and sample same volume of air at an equivalent
flow rate). Due to the length of the sampling periods required, this
method is not recommended for 24-hour sampling. At the completion of
sampling, quantitatively transfer the contents of each impinger to one
of a series of 25-mL volumetric flasks (if 10 mL of absorbing solution
was used) using small amounts of distilled water for rinse (<5mL). If
10 mL of absorbing solution was used, bring the absorber
solution in each impinger to orginal volume with distilled H2
O and pipet 10-mL portions from each impinger into a series of 25-mL
volumetric flasks. If the color development steps are not to be started
within 12 hours of sampling, store the solutions at 5 [5 C. Calculate
the total micrograms SO2 in each solution as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.015
where:
Ca = concentration of SO2 in the standard
atmosphere, mg/m\3\;
Os = sampling flow rate, std L/min;
t = sampling time, min;
Va = volume of absorbing solution used for color development
(10 mL); and
Vb = volume of absorbing solution used for sampling, mL.
Add the remaining reagents for color development in the same manner
as in Section 10.2 for static solutions. Calculate a calibration
equation and a calibration factor (Bg) according to Section
10.2, adhering to all the specified criteria.
10.3.2 Calibration Option 2B (24-hour samples): Generate a standard
atmosphere containing approximately 1,050 mg SO2/m\3\ and
calculate the exact concentration according to equation 12. Set up a
series of six absorbers according to Figure 2 and connect to a common
manifold for sampling the standard atmosphere. Be sure that the total
flow rate of the standard exceeds the flow demand at the sample
manifold, with the excess flow vented at atmospheric pressure. The
absorbers are then allowed to sample the atmosphere for varying time
periods to yield solutions containing 0, 0.2, 0.6, 1.0, 1.4, 1.8, and
2.2 mg SO2/mL solution. The sampling times required to attain
these solution concentrations are calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.016
where:
t = sampling time, min;
Vb = volume of absorbing solution used for sampling (50 mL);
Cs = desired concentration of SO2 in the absorbing
solution, mg/mL;
Ca = concentration of the standard atmosphere calculated
according to equation 12, mg/m\3\; and
Qs = sampling flow rate, std L/min.
At the completion of sampling, bring the absorber solutions to
original volume with distilled water. Pipet a 10-mL portion from each
absorber into one of a series of 25-mL volumetric flasks. If the color
development steps are not to be started within 12 hours of sampling,
store the solutions at 5 [5 C. Add the remaining reagents for color
development in the same manner as in Section 10.2 for static solutions.
Calculate the total mg SO2 in each standard as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.017
where:
Va = volume of absorbing solution used for color development
(10 mL).
All other parameters are defined in equation 14.
Calculate a calibration equation and a calibration factor
(Bt) according to Section 10.2 adhering to all the specified
criteria.
11.0 Sample Preparation and Analysis.
11.1 Sample Preparation. Remove the samples from the shipping
container. If the shipment period exceeded 12 hours from the completion
of sampling, verify that the temperature is below 10 C. Also, compare
the solution level to the temporary level mark on the absorber. If
either the temperature is above 10 C or there was significant loss
(more than 10 mL) of the sample during shipping, make an appropriate
notation in the record and invalidate the sample. Prepare the samples
for analysis as follows:
1. For 30-minute or 1-hour samples: Quantitatively transfer the
entire 10 mL amount of absorbing solution to a 25-mL volumetric flask
and rinse with a small amount (<5 mL) of distilled water.
2. For 24-hour samples: If the volume of the sample is less than the
original 50-mL volume (permanent mark on the absorber), adjust the
volume back to the original volume with distilled water to compensate
for water lost to evaporation during sampling. If the final volume is
greater than the original volume, the volume must be measured using a
graduated cylinder. To analyze, pipet 10 mL
[[Page 31]]
of the solution into a 25-mL volumetric flask.
11.2 Sample Analysis. For each set of determinations, prepare a
reagent blank by adding 10 mL TCM absorbing solution to a 25-mL
volumetric flask, and two control standards containing approximately 5
and 15 mg SO2, respectively. The control standards are
prepared according to Section 10.2 or 10.3. The analysis is carried out
as follows:
1. Allow the sample to stand 20 minutes after the completion of
sampling to allow any ozone to decompose (if applicable).
2. To each 25-mL volumetric flask containing reagent blank, sample,
or control standard, add 1 mL of 0.6% sulfamic acid (Section 8.2.1) and
allow to react for 10 min.
3. Accurately pipet 2 mL of 0.2% formaldehyde solution (Section
8.2.2) and then 5 mL of pararosaniline solution (Section 8.2.13) into
each flask. Start a laboratory timer set at 30 minutes.
4. Bring each flask to volume with recently boiled and cooled
distilled water and mix thoroughly.
5. During the 30 minutes, the solutions must be in a temperature
controlled environment in the range of 20 to 30 C maintained to [1 C.
This temperature must also be within 1 C of that used during
calibration.
6. After 30 minutes and before 60 minutes, determine the corrected
absorbances (equation 10) of each solution at 548 nm using 1-cm optical
path length cells against a distilled water reference (Section 10.1).
(Distilled water is used as a reference instead of the reagent blank
because of the sensitivity of the reagent blank to temperature.)
7. Do not allow the colored solution to stand in the cells because a
film may be deposited. Clean the cells with isopropyl alcohol after use.
8. The reagent blank must be within 0.03 absorbance units of the
intercept of the calibration equation determined in Section 10.
11.3 Absorbance range. If the absorbance of the sample solution
ranges between 1.0 and 2.0, the sample can be diluted 1:1 with a portion
of the reagent blank and the absorbance redetermined within 5 minutes.
Solutions with higher absorbances can be diluted up to sixfold with the
reagent blank in order to obtain scale readings of less than 1.0
absorbance unit. However, it is recommended that a smaller portion (<10
mL) of the original sample be reanalyzed (if possible) if the sample
requires a dilution greater than 1:1.
11.4 Reagent disposal. All reagents containing mercury compounds
must be stored and disposed of using one of the procedures contained in
Section 13. Until disposal, the discarded solutions can be stored in
closed glass containers and should be left in a fume hood.
12.0 Calculations.
12.1 Calibration Slope, Intercept, and Correlation Coefficient. The
method of least squares is used to calculate a calibration equation in
the form of:
[GRAPHIC] [TIFF OMITTED] TC08NO91.012
where:
y = corrected absorbance,
m = slope, absorbance unit/mg SO2,
x = micrograms of SO2,
b = y intercept (absorbance units).
The slope (m), intercept (b), and correlation coefficient (r) are
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.018
[GRAPHIC] [TIFF OMITTED] TR31AU93.019
[GRAPHIC] [TIFF OMITTED] TR31AU93.020
where n is the number of calibration points.
A data form (Figure 5) is supplied for easily organizing calibration
data when the slope, intercept, and correlation coefficient are
calculated by hand.
12.2 Total Sample Volume. Determine the sampling volume at standard
conditions as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.021
where:
Vstd = sampling volume in std L,
Qi = standard flow rate determined at the initiation of
sampling in std L/min,
Qf = standard flow rate determined at the completion of
sampling is std L/min, and
t = total sampling time, min.
12.3 Sulfur Dioxide Concentration. Calculate and report the
concentration of each sample as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.022
where:
A = corrected absorbance of the sample solution, from equation (10);
Ao = corrected absorbance of the reagent blank, using
equation (10);
BX = calibration factor equal to Bs,
Bg, or Bt depending on the calibration
procedure used, the reciprocal of the slope of the calibration
equation;
Va = volume of absorber solution analyzed, mL;
Vb = total volume of solution in absorber (see 11.1-2), mL;
and
Vstd = standard air volume sampled, std L (from Section
12.2).
[[Page 32]]
Data Form
[For hand calculations]
----------------------------------------------------------------------------------------------------------------
Absor- bance
Calibration point no. Micro- grams So2 units
----------------------------------------------------------------------------------------------------------------
(x) (y) x\2\ xy y\2\
1............................. ................. ................. ................. ................ .....
2............................. ................. ................. ................. ................ .....
3............................. ................. ................. ................. ................ .....
4............................. ................. ................. ................. ................ .....
5............................. ................. ................. ................. ................ .....
6............................. ................. ................. ................. ................ .....
----------------------------------------------------------------------------------------------------------------
[Sigma] x=------ [Sigma] y=------ [Sigma] x\2\=------ [Sigma]xy------
[Sigma]y\2\------
n=------ (number of pairs of coordinates.)
________________________________________________________________________
Figure 5. Data form for hand calculations.
12.4 Control Standards. Calculate the analyzed micrograms of
SO2 in each control standard as follows:
[GRAPHIC] [TIFF OMITTED] TC08NO91.070
where:
Cq = analyzed mg SO2 in each control standard,
A = corrected absorbance of the control standard, and
Ao = corrected absorbance of the reagent blank.
The difference between the true and analyzed values of the control
standards must not be greater than 1 mg. If the difference is greater
than 1 mg, the source of the discrepancy must be identified and
corrected.
12.5 Conversion of mg/m\3\ to ppm (v/v). If desired, the
concentration of sulfur dioxide at reference conditions can be converted
to ppm SO2 (v/v) as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.023
13.0 The TCM absorbing solution and any reagents containing mercury
compounds must be treated and disposed of by one of the methods
discussed below. Both methods remove greater than 99.99 percent of the
mercury.
13.1 Disposal of Mercury-Containing Solutions.
13.2 Method for Forming an Amalgam.
1. Place the waste solution in an uncapped vessel in a hood.
2. For each liter of waste solution, add approximately 10 g of
sodium carbonate until neutralization has occurred (NaOH may have to be
used).
3. Following neutralization, add 10 g of granular zinc or magnesium.
4. Stir the solution in a hood for 24 hours. Caution must be
exercised as hydrogen gas is evolved by this treatment process.
5. After 24 hours, allow the solution to stand without stirring to
allow the mercury amalgam (solid black material) to settle to the bottom
of the waste receptacle.
6. Upon settling, decant and discard the supernatant liquid.
7. Quantitatively transfer the solid material to a container and
allow to dry.
8. The solid material can be sent to a mercury reclaiming plant. It
must not be discarded.
13.3 Method Using Aluminum Foil Strips.
1. Place the waste solution in an uncapped vessel in a hood.
2. For each liter of waste solution, add approximately 10 g of
aluminum foil strips. If all the aluminum is consumed and no gas is
evolved, add an additional 10 g of foil. Repeat until the foil is no
longer consumed and allow the gas to evolve for 24 hours.
3. Decant the supernatant liquid and discard.
4. Transfer the elemental mercury that has settled to the bottom of
the vessel to a storage container.
5. The mercury can be sent to a mercury reclaiming plant. It must
not be discarded.
14.0 References for SO2 Method.
1. Quality Assurance Handbook for Air Pollution Measurement Systems,
Volume I, Principles. EPA-600/9-76-005, U.S. Environmental Protection
Agency, Research Triangle Park, NC 27711, 1976.
2. Quality Assurance Handbook for Air Pollution Measurement Systems,
Volume II, Ambient Air Specific Methods. EPA-600/4-77-027a, U.S.
Environmental Protection Agency, Research Triangle Park, NC 27711, 1977.
3. Dasqupta, P. K., and K. B. DeCesare. Stability of Sulfur Dioxide
in Formaldehyde and Its Anomalous Behavior in Tetrachloromercurate (II).
Submitted for publication in Atmospheric Environment, 1982.
4. West, P. W., and G. C. Gaeke. Fixation of Sulfur Dioxide as
Disulfitomercurate (II) and Subsequent Colorimetric Estimation. Anal.
Chem., 28:1816, 1956.
5. Ephraim, F. Inorganic Chemistry. P. C. L. Thorne and E. R.
Roberts, Eds., 5th Edition, Interscience, 1948, p. 562.
6. Lyles, G. R., F. B. Dowling, and V. J. Blanchard. Quantitative
Determination of Formaldehyde in the Parts Per Hundred Million
Concentration Level. J. Air. Poll. Cont. Assoc., Vol. 15(106), 1965.
7. McKee, H. C., R. E. Childers, and O. Saenz, Jr. Collaborative
Study of Reference Method for Determination of Sulfur Dioxide in the
Atmosphere (Pararosaniline Method). EPA-APTD-0903, U.S. Environmental
Protection Agency, Research Triangle Park, NC 27711, September 1971.
8. Urone, P., J. B. Evans, and C. M. Noyes. Tracer Techniques in
Sulfur--Air Pollution Studies Apparatus and Studies of Sulfur Dioxide
Colorimetric and Conductometric Methods. Anal. Chem., 37: 1104, 1965.
[[Page 33]]
9. Bostrom, C. E. The Absorption of Sulfur Dioxide at Low
Concentrations (pphm) Studied by an Isotopic Tracer Method. Intern. J.
Air Water Poll., 9:333, 1965.
10. Scaringelli, F. P., B. E. Saltzman, and S. A. Frey.
Spectrophotometric Determination of Atmospheric Sulfur Dioxide. Anal.
Chem., 39: 1709, 1967.
11. Pate, J. B., B. E. Ammons, G. A. Swanson, and J. P. Lodge, Jr.
Nitrite Interference in Spectrophotometric Determination of Atmospheric
Sulfur Dioxide. Anal. Chem., 37:942, 1965.
12. Zurlo, N., and A. M. Griffini. Measurement of the Sulfur Dioxide
Content of the Air in the Presence of Oxides of Nitrogen and Heavy
Metals. Medicina Lavoro, 53:330, 1962.
13. Rehme, K. A., and F. P. Scaringelli. Effect of Ammonia on the
Spectrophotometric Determination of Atmospheric Concentrations of Sulfur
Dioxide. Anal. Chem., 47:2474, 1975.
14. McCoy, R. A., D. E. Camann, and H. C. McKee. Collaborative Study
of Reference Method for Determination of Sulfur Dioxide in the
Atmosphere (Pararosaniline Method) (24-Hour Sampling). EPA-650/4-74-027,
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711,
December 1973.
15. Fuerst, R. G. Improved Temperature Stability of Sulfur Dioxide
Samples Collected by the Federal Reference Method. EPA-600/4-78-018,
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711,
April 1978.
16. Scaringelli, F. P., L. Elfers, D. Norris, and S. Hochheiser.
Enhanced Stability of Sulfur Dioxide in Solution. Anal. Chem., 42:1818,
1970.
17. Martin, B. E. Sulfur Dioxide Bubbler Temperature Study. EPA-600/
4-77-040, U.S. Environmental Protection Agency, Research Triangle Park,
NC 27711, August 1977.
18. American Society for Testing and Materials. ASTM Standards,
Water; Atmospheric Analysis. Part 23. Philadelphia, PA, October 1968, p.
226.
19. O'Keeffe, A. E., and G. C. Ortman. Primary Standards for Trace
Gas Analysis. Anal. Chem., 38:760, 1966.
20. Scaringelli, F. P., S. A. Frey, and B. E. Saltzman. Evaluation
of Teflon Permeation Tubes for Use with Sulfur Dioxide. Amer. Ind.
Hygiene Assoc. J., 28:260, 1967.
21. Scaringelli, F. P., A. E. O'Keeffe, E. Rosenberg, and J. P.
Bell, Preparation of Known Concentrations of Gases and Vapors With
Permeation Devices Calibrated Gravimetrically. Anal. Chem., 42:871,
1970.
22. A Procedure for Establishing Traceability of Gas Mixtures to
Certain National Bureau of Standards Standard Reference Materials. EPA-
600/7-81-010, U.S. Environmental Protection Agency, Environmental
Monitoring Systems Laboratory (MD-77), Research Triangle Park, NC 27711,
January 1981.
[47 FR 54899, Dec. 6, 1982; 48 FR 17355, Apr. 22, 1983. Redesignated at
75 FR 35595, June 22, 2010]
Sec. Appendix B to Part 50--Reference Method for the Determination of
Suspended Particulate Matter in the Atmosphere (High-Volume Method)
1.0 Applicability.
1.1 This method provides a measurement of the mass concentration of
total suspended particulate matter (TSP) in ambient air for determining
compliance with the primary and secondary national ambient air quality
standards for particulate matter as specified in Sec. 50.6 and Sec.
50.7 of this chapter. The measurement process is nondestructive, and the
size of the sample collected is usually adequate for subsequent chemical
analysis. Quality assurance procedures and guidance are provided in part
58, appendixes A and B, of this chapter and in References 1 and 2.
2.0 Principle.
2.1 An air sampler, properly located at the measurement site, draws
a measured quantity of ambient air into a covered housing and through a
filter during a 24-hr (nominal) sampling period. The sampler flow rate
and the geometry of the shelter favor the collection of particles up to
25-50 mm (aerodynamic diameter), depending on wind speed and
direction.(3) The filters used are specified to have a minimum
collection efficiency of 99 percent for 0.3 mm (DOP) particles (see
Section 7.1.4).
2.2 The filter is weighed (after moisture equilibration) before and
after use to determine the net weight (mass) gain. The total volume of
air sampled, corrected to EPA standard conditions (25 C, 760 mm Hg [101
kPa]), is determined from the measured flow rate and the sampling time.
The concentration of total suspended particulate matter in the ambient
air is computed as the mass of collected particles divided by the volume
of air sampled, corrected to standard conditions, and is expressed in
micrograms per standard cubic meter (mg/std m\3\). For samples collected
at temperatures and pressures significantly different than standard
conditions, these corrected concentrations may differ substantially from
actual concentrations (micrograms per actual cubic meter), particularly
at high elevations. The actual particulate matter concentration can be
calculated from the corrected concentration using the actual temperature
and pressure during the sampling period.
3.0 Range.
3.1 The approximate concentration range of the method is 2 to 750
mg/std m\3\. The upper limit is determined by the point at which the
[[Page 34]]
sampler can no longer maintain the specified flow rate due to the
increased pressure drop of the loaded filter. This point is affected by
particle size distribution, moisture content of the collected particles,
and variability from filter to filter, among other things. The lower
limit is determined by the sensitivity of the balance (see Section 7.10)
and by inherent sources of error (see Section 6).
3.2 At wind speeds between 1.3 and 4.5 m/sec (3 and 10 mph), the
high-volume air sampler has been found to collect particles up to 25 to
50 mm, depending on wind speed and direction.(3) For the filter
specified in Section 7.1, there is effectively no lower limit on the
particle size collected.
4.0 Precision.
4.1 Based upon collaborative testing, the relative standard
deviation (coefficient of variation) for single analyst precision
(repeatability) of the method is 3.0 percent. The corresponding value
for interlaboratory precision (reproducibility) is 3.7 percent.(4)
5.0 Accuracy.
5.1 The absolute accuracy of the method is undefined because of the
complex nature of atmospheric particulate matter and the difficulty in
determining the ``true'' particulate matter concentration. This method
provides a measure of particulate matter concentration suitable for the
purpose specified under Section 1.0, Applicability.
6.0 Inherent Sources of Error.
6.1 Airflow variation. The weight of material collected on the
filter represents the (integrated) sum of the product of the
instantaneous flow rate times the instantaneous particle concentration.
Therefore, dividing this weight by the average flow rate over the
sampling period yields the true particulate matter concentration only
when the flow rate is constant over the period. The error resulting from
a nonconstant flow rate depends on the magnitude of the instantaneous
changes in the flow rate and in the particulate matter concentration.
Normally, such errors are not large, but they can be greatly reduced by
equipping the sampler with an automatic flow controlling mechanism that
maintains constant flow during the sampling period. Use of a contant
flow controller is recommended.*
---------------------------------------------------------------------------
*At elevated altitudes, the effectiveness of automatic flow
controllers may be reduced because of a reduction in the maximum sampler
flow.
---------------------------------------------------------------------------
6.2 Air volume measurement. If the flow rate changes substantially
or nonuniformly during the sampling period, appreciable error in the
estimated air volume may result from using the average of the
presampling and postsampling flow rates. Greater air volume measurement
accuracy may be achieved by (1) equipping the sampler with a flow
controlling mechanism that maintains constant air flow during the
sampling period,* (2) using a calibrated, continuous flow rate recording
device to record the actual flow rate during the samping period and
integrating the flow rate over the period, or (3) any other means that
will accurately measure the total air volume sampled during the sampling
period. Use of a continuous flow recorder is recommended, particularly
if the sampler is not equipped with a constant flow controller.
6.3 Loss of volatiles. Volatile particles collected on the filter
may be lost during subsequent sampling or during shipment and/or storage
of the filter prior to the postsampling weighing.(5) Although such
losses are largely unavoidable, the filter should be reweighed as soon
after sampling as practical.
6.4 Artifact particulate matter. Artifact particulate matter can be
formed on the surface of alkaline glass fiber filters by oxidation of
acid gases in the sample air, resulting in a higher than true TSP
determination.(6 7) This effect usually occurs early in the sample
period and is a function of the filter pH and the presence of acid
gases. It is generally believed to account for only a small percentage
of the filter weight gain, but the effect may become more significant
where relatively small particulate weights are collected.
6.5 Humidity. Glass fiber filters are comparatively insensitive to
changes in relative humidity, but collected particulate matter can be
hygroscopic.(8) The moisture conditioning procedure minimizes but may
not completely eliminate error due to moisture.
6.6 Filter handling. Careful handling of the filter between the
presampling and postsampling weighings is necessary to avoid errors due
to loss of fibers or particles from the filter. A filter paper cartridge
or cassette used to protect the filter can minimize handling errors.
(See Reference 2, Section 2).
6.7 Nonsampled particulate matter. Particulate matter may be
deposited on the filter by wind during periods when the sampler is
inoperative. (9) It is recommended that errors from this source be
minimized by an automatic mechanical device that keeps the filter
covered during nonsampling periods, or by timely installation and
retrieval of filters to minimize the nonsampling periods prior to and
following operation.
6.8 Timing errors. Samplers are normally controlled by clock timers
set to start and stop the sampler at midnight. Errors in the nominal
1,440-min sampling period may result from a power interruption during
the sampling period or from a discrepancy between the start or stop time
recorded on the filter information record and the actual start or stop
time of the sampler. Such discrepancies may be caused by (1) poor
resolution of the timer set-points, (2) timer error due to power
interruption, (3) missetting of
[[Page 35]]
the timer, or (4) timer malfunction. In general, digital electronic
timers have much better set-point resolution than mechanical timers, but
require a battery backup system to maintain continuity of operation
after a power interruption. A continuous flow recorder or elapsed time
meter provides an indication of the sampler run-time, as well as
indication of any power interruption during the sampling period and is
therefore recommended.
6.9 Recirculation of sampler exhaust. Under stagnant wind
conditions, sampler exhaust air can be resampled. This effect does not
appear to affect the TSP measurement substantially, but may result in
increased carbon and copper in the collected sample. (10) This problem
can be reduced by ducting the exhaust air well away, preferably
downwind, from the sampler.
7.0 Apparatus.
(See References 1 and 2 for quality assurance information.)
Note: Samplers purchased prior to the effective date of this
amendment are not subject to specifications preceded by ([dagger]).
7.1 Filter. (Filters supplied by the Environmental Protection Agency
can be assumed to meet the following criteria. Additional specifications
are required if the sample is to be analyzed chemically.)
7.1.1 Size: 20.3 [0.2 x 25.4 [0.2 cm (nominal 8 x 10 in).
7.1.2 Nominal exposed area: 406.5 cm\2\ (63 in\2\).
7.1.3. Material: Glass fiber or other relatively inert,
nonhygroscopic material. (8)
7.1.4 Collection efficiency: 99 percent minimum as measured by the
DOP test (ASTM-2986) for particles of 0.3 mm diameter.
7.1.5 Recommended pressure drop range: 42-54 mm Hg (5.6-7.2 kPa) at
a flow rate of 1.5 std m\3\/min through the nominal exposed area.
7.1.6 pH: 6 to 10. (11)
7.1.7 Integrity: 2.4 mg maximum weight loss. (11)
7.1.8 Pinholes: None.
7.1.9 Tear strength: 500 g minimum for 20 mm wide strip cut from
filter in weakest dimension. (See ASTM Test D828-60).
7.1.10 Brittleness: No cracks or material separations after single
lengthwise crease.
7.2 Sampler. The air sampler shall provide means for drawing the air
sample, via reduced pressure, through the filter at a uniform face
velocity.
7.2.1 The sampler shall have suitable means to:
a. Hold and seal the filter to the sampler housing.
b. Allow the filter to be changed conveniently.
c. Preclude leaks that would cause error in the measurement of the
air volume passing through the filter.
d. ([dagger]) Manually adjust the flow rate to accommodate
variations in filter pressure drop and site line voltage and altitude.
The adjustment may be accomplished by an automatic flow controller or by
a manual flow adjustment device. Any manual adjustment device must be
designed with positive detents or other means to avoid unintentional
changes in the setting.
---------------------------------------------------------------------------
([dagger]) See note at beginning of Section 7 of this appendix.
---------------------------------------------------------------------------
7.2.2 Minimum sample flow rate, heavily loaded filter: 1.1 m\3\/min
(39 ft\3\/min).[Dagger]
---------------------------------------------------------------------------
[Dagger] These specifications are in actual air volume units; to
convert to EPA standard air volume units, multiply the specifications by
(Pb/Pstd)(298/T) where Pb and T are the
barometric pressure in mm Hg (or kPa) and the temperature in K at the
sampler, and Pstd is 760 mm Hg (or 101 kPa).
---------------------------------------------------------------------------
7.2.3 Maximum sample flow rate, clean filter: 1.7 m\3\/min (60
ft\3\/min).[Dagger]
7.2.4 Blower Motor: The motor must be capable of continuous
operation for 24-hr periods.
7.3 Sampler shelter.
7.3.1 The sampler shelter shall:
a. Maintain the filter in a horizontal position at least 1 m above
the sampler supporting surface so that sample air is drawn downward
through the filter.
b. Be rectangular in shape with a gabled roof, similar to the design
shown in Figure 1.
c. Cover and protect the filter and sampler from precipitation and
other weather.
d. Discharge exhaust air at least 40 cm from the sample air inlet.
e. Be designed to minimize the collection of dust from the
supporting surface by incorporating a baffle between the exhaust outlet
and the supporting surface.
7.3.2 The sampler cover or roof shall overhang the sampler housing
somewhat, as shown in Figure 1, and shall be mounted so as to form an
air inlet gap between the cover and the sampler housing walls.
[dagger] This sample air inlet should be approximately
uniform on all sides of the sampler. [dagger] The area of the
sample air inlet must be sized to provide an effective particle capture
air velocity of between 20 and 35 cm/sec at the recommended operational
flow rate. The capture velocity is the sample air flow rate divided by
the inlet area measured in a horizontal plane at the lower edge of the
cover. [dagger] Ideally, the inlet area and operational flow
rate should be selected to obtain a capture air velocity of 25 [2 cm/
sec.
7.4 Flow rate measurement devices.
7.4.1 The sampler shall incorporate a flow rate measurement device
capable of indicating the total sampler flow rate. Two common types of
flow indicators covered in the calibration procedure are (1) an
electronic mass flowmeter and (2) an orifice or orifices
[[Page 36]]
located in the sample air stream together with a suitable pressure
indicator such as a manometer, or aneroid pressure gauge. A pressure
recorder may be used with an orifice to provide a continuous record of
the flow. Other types of flow indicators (including rotameters) having
comparable precision and accuracy are also acceptable.
7.4.2 [dagger] The flow rate measurement device must be capable of
being calibrated and read in units corresponding to a flow rate which is
readable to the nearest 0.02 std m\3\/min over the range 1.0 to 1.8 std
m\3\/min.
7.5 Thermometer, to indicate the approximate air temperature at the
flow rate measurement orifice, when temperature corrections are used.
7.5.1 Range: -40 to + 50 C (223-323 K).
7.5.2 Resolution: 2 C (2 K).
7.6 Barometer, to indicate barometric pressure at the flow rate
measurement orifice, when pressure corrections are used.
7.6.1 Range: 500 to 800 mm Hg (66-106 kPa).
7.6.2 Resolution: [5 mm Hg (0.67 kPa).
7.7 Timing/control device.
7.7.1 The timing device must be capable of starting and stopping the
sampler to obtain an elapsed run-time of 24 hr [1 hr (1,440 [60 min).
7.7.2 Accuracy of time setting: [30 min, or better. (See Section
6.8).
7.8 Flow rate transfer standard, traceable to a primary standard.
(See Section 9.2.)
7.8.1 Approximate range: 1.0 to 1.8 m\3\/min.
7.8.2 Resolution: 0.02 m\3\/min.
7.8.3 Reproducibility: [2 percent (2 times coefficient of variation)
over normal ranges of ambient temperature and pressure for the stated
flow rate range. (See Reference 2, Section 2.)
7.8.4 Maximum pressure drop at 1.7 std m\3\/min; 50 cm H2
O (5 kPa).
7.8.5 The flow rate transfer standard must connect without leaks to
the inlet of the sampler and measure the flow rate of the total air
sample.
7.8.6 The flow rate transfer standard must include a means to vary
the sampler flow rate over the range of 1.0 to 1.8 m\3\/min (35-64
ft\3\/min) by introducing various levels of flow resistance between the
sampler and the transfer standard inlet.
7.8.7 The conventional type of flow transfer standard consists of:
An orifice unit with adapter that connects to the inlet of the sampler,
a manometer or other device to measure orifice pressure drop, a means to
vary the flow through the sampler unit, a thermometer to measure the
ambient temperature, and a barometer to measure ambient pressure. Two
such devices are shown in Figures 2a and 2b. Figure 2a shows multiple
fixed resistance plates, which necessitate disassembly of the unit each
time the flow resistance is changed. A preferable design, illustrated in
Figure 2b, has a variable flow restriction that can be adjusted
externally without disassembly of the unit. Use of a conventional,
orifice-type transfer standard is assumed in the calibration procedure
(Section 9). However, the use of other types of transfer standards
meeting the above specifications, such as the one shown in Figure 2c,
may be approved; see the note following Section 9.1.
7.9 Filter conditioning environment
7.9.1 Controlled temperature: between 15 and 30 C with less than
[3 C variation during equilibration period.
7.9.2 Controlled humidity: Less than 50 percent relative humidity,
constant within [5 percent.
7.10 Analytical balance.
7.10.1 Sensitivity: 0.1 mg.
7.10.2 Weighing chamber designed to accept an unfolded 20.3 x 25.4
cm (8 x 10 in) filter.
7.11 Area light source, similar to X-ray film viewer, to backlight
filters for visual inspection.
7.12 Numbering device, capable of printing identification numbers on
the filters before they are placed in the filter conditioning
environment, if not numbered by the supplier.
8.0 Procedure.
(See References 1 and 2 for quality assurance information.)
8.1 Number each filter, if not already numbered, near its edge with
a unique identification number.
8.2 Backlight each filter and inspect for pinholes, particles, and
other imperfections; filters with visible imperfections must not be
used.
8.3 Equilibrate each filter in the conditioning environment for at
least 24-hr.
8.4 Following equilibration, weigh each filter to the nearest
milligram and record this tare weight (Wi) with the filter
identification number.
8.5 Do not bend or fold the filter before collection of the sample.
8.6 Open the shelter and install a numbered, preweighed filter in
the sampler, following the sampler manufacturer's instructions. During
inclement weather, precautions must be taken while changing filters to
prevent damage to the clean filter and loss of sample from or damage to
the exposed filter. Filter cassettes that can be loaded and unloaded in
the laboratory may be used to minimize this problem (See Section 6.6).
8.7 Close the shelter and run the sampler for at least 5 min to
establish run-temperature conditions.
8.8 Record the flow indicator reading and, if needed, the barometric
pressure (P\3\3) and the ambient temperature
(T\3\3) see NOTE following step 8.12). Stop the sampler.
Determine the sampler flow rate (see Section 10.1); if it is outside the
acceptable range (1.1 to 1.7 m\3\/min [39-60 ft\3\/min]), use a
different filter, or adjust the sampler flow rate. Warning: Substantial
flow adjustments may affect the
[[Page 37]]
calibration of the orifice-type flow indicators and may necessitate
recalibration.
8.9 Record the sampler identification information (filter number,
site location or identification number, sample date, and starting time).
8.10 Set the timer to start and stop the sampler such that the
sampler runs 24-hrs, from midnight to midnight (local time).
8.11 As soon as practical following the sampling period, run the
sampler for at least 5 min to again establish run-temperature
conditions.
8.12 Record the flow indicator reading and, if needed, the
barometric pressure (P\3\3) and the ambient temperature
(T\3\3).
Note: No onsite pressure or temperature measurements are necessary
if the sampler flow indicator does not require pressure or temperature
corrections (e.g., a mass flowmeter) or if average barometric pressure
and seasonal average temperature for the site are incorporated into the
sampler calibration (see step 9.3.9). For individual pressure and
temperature corrections, the ambient pressure and temperature can be
obtained by onsite measurements or from a nearby weather station.
Barometric pressure readings obtained from airports must be station
pressure, not corrected to sea level, and may need to be corrected for
differences in elevation between the sampler site and the airport. For
samplers having flow recorders but not constant flow controllers, the
average temperature and pressure at the site during the sampling period
should be estimated from weather bureau or other available data.
8.13 Stop the sampler and carefully remove the filter, following the
sampler manufacturer's instructions. Touch only the outer edges of the
filter. See the precautions in step 8.6.
8.14 Fold the filter in half lengthwise so that only surfaces with
collected particulate matter are in contact and place it in the filter
holder (glassine envelope or manila folder).
8.15 Record the ending time or elapsed time on the filter
information record, either from the stop set-point time, from an elapsed
time indicator, or from a continuous flow record. The sample period must
be 1,440 [60 min. for a valid sample.
8.16 Record on the filter information record any other factors, such
as meteorological conditions, construction activity, fires or dust
storms, etc., that might be pertinent to the measurement. If the sample
is known to be defective, void it at this time.
8.17 Equilibrate the exposed filter in the conditioning environment
for at least 24-hrs.
8.18 Immediately after equilibration, reweigh the filter to the
nearest milligram and record the gross weight with the filter
identification number. See Section 10 for TSP concentration
calculations.
9.0 Calibration.
9.1 Calibration of the high volume sampler's flow indicating or
control device is necessary to establish traceability of the field
measurement to a primary standard via a flow rate transfer standard.
Figure 3a illustrates the certification of the flow rate transfer
standard and Figure 3b illustrates its use in calibrating a sampler flow
indicator. Determination of the corrected flow rate from the sampler
flow indicator, illustrated in Figure 3c, is addressed in Section 10.1
Note: The following calibration procedure applies to a conventional
orifice-type flow transfer standard and an orifice-type flow indicator
in the sampler (the most common types). For samplers using a pressure
recorder having a square-root scale, 3 other acceptable calibration
procedures are provided in Reference 12. Other types of transfer
standards may be used if the manufacturer or user provides an
appropriately modified calibration procedure that has been approved by
EPA under Section 2.8 of appendix C to part 58 of this chapter.
9.2 Certification of the flow rate transfer standard.
9.2.1 Equipment required: Positive displacement standard volume
meter traceable to the National Bureau of Standards (such as a Roots
meter or equivalent), stop-watch, manometer, thermometer, and barometer.
9.2.2 Connect the flow rate transfer standard to the inlet of the
standard volume meter. Connect the manometer to measure the pressure at
the inlet of the standard volume meter. Connect the orifice manometer to
the pressure tap on the transfer standard. Connect a high-volume air
pump (such as a high-volume sampler blower) to the outlet side of the
standard volume meter. See Figure 3a.
9.2.3 Check for leaks by temporarily clamping both manometer lines
(to avoid fluid loss) and blocking the orifice with a large-diameter
rubber stopper, wide cellophane tape, or other suitable means. Start the
high-volume air pump and note any change in the standard volume meter
reading. The reading should remain constant. If the reading changes,
locate any leaks by listening for a whistling sound and/or retightening
all connections, making sure that all gaskets are properly installed.
9.2.4 After satisfactorily completing the leak check as described
above, unclamp both manometer lines and zero both manometers.
9.2.5 Achieve the appropriate flow rate through the system, either
by means of the variable flow resistance in the transfer standard or by
varying the voltage to the air pump. (Use of resistance plates as shown
in Figure 1a is discouraged because the above leak check must be
repeated each time a new resistance plate is installed.) At least five
[[Page 38]]
different but constant flow rates, evenly distributed, with at least
three in the specified flow rate interval (1.1 to 1.7 m\3\/min [39-60
ft\3\/min]), are required.
9.2.6 Measure and record the certification data on a form similar to
the one illustrated in Figure 4 according to the following steps.
9.2.7 Observe the barometric pressure and record as P1
(item 8 in Figure 4).
9.2.8 Read the ambient temperature in the vicinity of the standard
volume meter and record it as T1 (item 9 in Figure 4).
9.2.9 Start the blower motor, adjust the flow, and allow the system
to run for at least 1 min for a constant motor speed to be attained.
9.2.10 Observe the standard volume meter reading and simultaneously
start a stopwatch. Record the initial meter reading (Vi) in
column 1 of Figure 4.
9.2.11 Maintain this constant flow rate until at least 3 m\3\ of air
have passed through the standard volume meter. Record the standard
volume meter inlet pressure manometer reading as [Delta]P (column 5 in
Figure 4), and the orifice manometer reading as [Delta]H (column 7 in
Figure 4). Be sure to indicate the correct units of measurement.
9.2.12 After at least 3 m\3\ of air have passed through the system,
observe the standard volume meter reading while simultaneously stopping
the stopwatch. Record the final meter reading (Vf) in column
2 and the elapsed time (t) in column 3 of Figure 4.
9.2.13 Calculate the volume measured by the standard volume meter at
meter conditions of temperature and pressures as Vm =
Vf-Vi. Record in column 4 of Figure 4.
9.2.14 Correct this volume to standard volume (std m\3\) as follows:
[GRAPHIC] [TIFF OMITTED] TR31AU93.024
where:
Vstd = standard volume, std m\3\;
Vm = actual volume measured by the standard volume meter;
P1 = barometric pressure during calibration, mm Hg or kPa;
[Delta]P = differential pressure at inlet to volume meter, mm Hg or kPa;
Pstd = 760 mm Hg or 101 kPa;
Tstd = 298 K;
T1 = ambient temperature during calibration, K.
Calculate the standard flow rate (std m\3\/min) as follows:
[GRAPHIC] [TIFF OMITTED] TC08NO91.013
where:
Qstd = standard volumetric flow rate, std m\3\/min
t = elapsed time, minutes.
Record Qstd to the nearest 0.01 std m\3\/min in column 6
of Figure 4.
9.2.15 Repeat steps 9.2.9 through 9.2.14 for at least four
additional constant flow rates, evenly spaced over the approximate range
of 1.0 to 1.8 std m\3\/min (35-64 ft\3\/min).
9.2.16 For each flow, compute
[radic][Delta][Delta]H (P1/Pstd)(298/
T1)
(column 7a of Figure 4) and plot these value against Qstd as
shown in Figure 3a. Be sure to use consistent units (mm Hg or kPa) for
barometric pressure. Draw the orifice transfer standard certification
curve or calculate the linear least squares slope (m) and intercept (b)
of the certification curve:
[radic][Delta][Delta]H (P1/Pstd)(298/
T1)
= mQstd + b. See Figures 3 and 4. A certification graph
should be readable to 0.02 std m\3\/min.
9.2.17 Recalibrate the transfer standard annually or as required by
applicable quality control procedures. (See Reference 2.)
9.3 Calibration of sampler flow indicator.
Note: For samplers equipped with a flow controlling device, the flow
controller must be disabled to allow flow changes during calibration of
the sampler's flow indicator, or the alternate calibration of the flow
controller given in 9.4 may be used. For samplers using an orifice-type
flow indicator downstream of the motor, do not vary the flow rate by
adjusting the voltage or power supplied to the sampler.
9.3.1 A form similar to the one illustrated in Figure 5 should be
used to record the calibration data.
9.3.2 Connect the transfer standard to the inlet of the sampler.
Connect the orifice manometer to the orifice pressure tap, as
illustrated in Figure 3b. Make sure there are no leaks between the
orifice unit and the sampler.
9.3.3 Operate the sampler for at least 5 minutes to establish
thermal equilibrium prior to the calibration.
9.3.4 Measure and record the ambient temperature, T2, and
the barometric pressure, P2, during calibration.
9.3.5 Adjust the variable resistance or, if applicable, insert the
appropriate resistance plate (or no plate) to achieve the desired flow
rate.
9.3.6 Let the sampler run for at least 2 min to re-establish the
run-temperature conditions. Read and record the pressure drop across the
orifice ([Delta]H) and the sampler flow rate indication (I) in the
appropriate columns of Figure 5.
9.3.7 Calculate [radic][Delta][Delta]H(P2/
Pstd)(298/T2) and determine the flow rate at
standard conditions (Qstd) either graphically from the
certification curve or by calculating Qstd from the least
square slope and intercept of the transfer standard's transposed
certification curve:
[[Page 39]]
Qstd = 1/m [radic][Delta]H(P2/
Pstd)(298/T2)-b. Record the value of
Qstd on Figure 5.
9.3.8 Repeat steps 9.3.5, 9.3.6, and 9.3.7 for several additional
flow rates distributed over a range that includes 1.1 to 1.7 std m\3\/
min.
9.3.9 Determine the calibration curve by plotting values of the
appropriate expression involving I, selected from table 1, against
Qstd. The choice of expression from table 1 depends on the
flow rate measurement device used (see Section 7.4.1) and also on
whether the calibration curve is to incorporate geographic average
barometric pressure (Pa) and seasonal average temperature
(Ta) for the site to approximate actual pressure and
temperature. Where Pa and Ta can be determined for
a site for a seasonal period such that the actual barometric pressure
and temperature at the site do not vary by more than [60 mm Hg (8 kPa)
from Pa or [15 C from Ta, respectively, then
using Pa and Ta avoids the need for subsequent
pressure and temperature calculation when the sampler is used. The
geographic average barometric pressure (Pa) may be estimated
from an altitude-pressure table or by making an (approximate) elevation
correction of -26 mm Hg (-3.46 kPa) for each 305 m (1,000 ft) above sea
level (760 mm Hg or 101 kPa). The seasonal average temperature
(Ta) may be estimated from weather station or other records.
Be sure to use consistent units (mm Hg or kPa) for barometric pressure.
9.3.10 Draw the sampler calibration curve or calculate the linear
least squares slope (m), intercept (b), and correlation coefficient of
the calibration curve: [Expression from table 1]= mQstd + b.
See Figures 3 and 5. Calibration curves should be readable to 0.02 std
m\3\/min.
9.3.11 For a sampler equipped with a flow controller, the flow
controlling mechanism should be re-enabled and set to a flow near the
lower flow limit to allow maximum control range. The sample flow rate
should be verified at this time with a clean filter installed. Then add
two or more filters to the sampler to see if the flow controller
maintains a constant flow; this is particularly important at high
altitudes where the range of the flow controller may be reduced.
9.4 Alternate calibration of flow-controlled samplers. A flow-
controlled sampler may be calibrated solely at its controlled flow rate,
provided that previous operating history of the sampler demonstrates
that the flow rate is stable and reliable. In this case, the flow
indicator may remain uncalibrated but should be used to indicate any
relative change between initial and final flows, and the sampler should
be recalibrated more often to minimize potential loss of samples because
of controller malfunction.
9.4.1 Set the flow controller for a flow near the lower limit of the
flow range to allow maximum control range.
9.4.2 Install a clean filter in the sampler and carry out steps
9.3.2, 9.3.3, 9.3.4, 9.3.6, and 9.3.7.
9.4.3 Following calibration, add one or two additional clean filters
to the sampler, reconnect the transfer standard, and operate the sampler
to verify that the controller maintains the same calibrated flow rate;
this is particularly important at high altitudes where the flow control
range may be reduced.
[[Page 40]]
10.0 Calculations of TSP Concentration.
10.1 Determine the average sampler flow rate during the sampling
period according to either 10.1.1 or 10.1.2 below.
10.1.1 For a sampler without a continuous flow recorder, determine
the appropriate expression to be used from table 2 corresponding to the
one from table 1 used in step 9.3.9. Using this appropriate expression,
determine Qstd for the initial flow rate from the sampler
calibration curve, either graphically or from the transposed regression
equation:
Qstd =
1/m ([Appropriate expression from table 2]-b)
Similarly, determine Qstd from the final flow reading, and
calculate the average flow Qstd as one-half the sum of the
initial and final flow rates.
[[Page 41]]
10.1.2 For a sampler with a continuous flow recorder, determine the
average flow rate device reading, I, for the period. Determine the
appropriate expression from table 2 corresponding to the one from table
1 used in step 9.3.9. Then using this expression and the average flow
rate reading, determine Qstd from the sampler calibration
curve, either graphically or from the transposed regression equation:
Qstd =
1/m ([Appropriate expression from table 2]-b)
If the trace shows substantial flow change during the sampling
period, greater accuracy may be achieved by dividing the sampling period
into intervals and calculating an average reading before determining
Qstd.
10.2 Calculate the total air volume sampled as:
V - Qstd x t
where:
V = total air volume sampled, in standard volume units, std m\3\/;
Qstd = average standard flow rate, std m\3\/min;
t = sampling time, min.
10.3 Calculate and report the particulate matter concentration as:
[GRAPHIC] [TIFF OMITTED] TR31AU93.025
where:
TSP = mass concentration of total suspended particulate matter, mg/std
m\3\;
Wi = initial weight of clean filter, g;
Wf = final weight of exposed filter, g;
V = air volume sampled, converted to standard conditions, std m\3\,
10\6\ = conversion of g to mg.
10.4 If desired, the actual particulate matter concentration (see
Section 2.2) can be calculated as follows:
(TSP)a = TSP (P3/Pstd)(298/
T3)
where:
(TSP)a = actual concentration at field conditions, mg/m\3\;
TSP = concentration at standard conditions, mg/std m\3\;
P3 = average barometric pressure during sampling period, mm
Hg;
Pstd = 760 mn Hg (or 101 kPa);
T3 = average ambient temperature during sampling period, K.
11.0 References.
1. Quality Assurance Handbook for Air Pollution Measurement Systems,
Volume I, Principles. EPA-600/9-76-005, U.S. Environmental Protection
Agency, Research Triangle Park, NC 27711, 1976.
2. Quality Assurance Handbook for Air Pollution Measurement Systems,
Volume II, Ambient Air Specific Methods. EPA-600/4-77-027a, U.S.
Environmental Protection Agency, Research Triangle Park, NC 27711, 1977.
3. Wedding, J. B., A. R. McFarland, and J. E. Cernak. Large Particle
Collection Characteristics of Ambient Aerosol Samplers. Environ. Sci.
Technol. 11:387-390, 1977.
4. McKee, H. C., et al. Collaborative Testing of Methods to Measure
Air Pollutants, I. The High-Volume Method for Suspended Particulate
Matter. J. Air Poll. Cont. Assoc., 22 (342), 1972.
5. Clement, R. E., and F. W. Karasek. Sample Composition Changes in
Sampling and Analysis of Organic Compounds in Aerosols. The Intern. J.
Environ. Anal. Chem., 7:109, 1979.
6. Lee, R. E., Jr., and J. Wagman. A Sampling Anomaly in the
Determination of Atmospheric Sulfuric Concentration. Am. Ind. Hygiene
Assoc. J., 27:266, 1966.
7. Appel, B. R., et al. Interference Effects in Sampling Particulate
Nitrate in Ambient Air. Atmospheric Environment, 13:319, 1979.
8. Tierney, G. P., and W. D. Conner. Hygroscopic Effects on Weight
Determinations of Particulates Collected on Glass-Fiber Filters. Am.
Ind. Hygiene Assoc. J., 28:363, 1967.
9. Chahal, H. S., and D. J. Romano. High-Volume Sampling Effect of
Windborne Particulate Matter Deposited During Idle Periods. J. Air Poll.
Cont. Assoc., Vol. 26 (885), 1976.
10. Patterson, R. K. Aerosol Contamination from High-Volume Sampler
Exhaust. J. Air Poll. Cont. Assoc., Vol. 30 (169), 1980.
11. EPA Test Procedures for Determining pH and Integrity of High-
Volume Air Filters. QAD/M-80.01. Available from the Methods
Standardization Branch, Quality Assurance Division, Environmental
Monitoring Systems Laboratory (MD-77), U.S. Environmental Protection
Agency, Research Triangle Park, NC 27711, 1980.
12. Smith, F., P. S. Wohlschlegel, R. S. C. Rogers, and D. J.
Mulligan. Investigation of Flow Rate Calibration Procedures Associated
with the High-Volume Method for Determination of Suspended Particulates.
EPA-600/4-78-047, U.S. Environmental Protection Agency, Research
Triangle Park, NC, June 1978.
[[Page 42]]
[[Page 43]]
[[Page 44]]
[[Page 45]]
[[Page 46]]
[47 FR 54912, Dec. 6, 1982; 48 FR 17355, Apr. 22, 1983]
Sec. Appendix C to Part 50--Measurement Principle and Calibration
Procedure for the Measurement of Carbon Monoxide in the Atmosphere (Non-
Dispersive Infrared Photometry)
1.0 Applicability
1.1 This non-dispersive infrared photometry (NDIR) Federal Reference
Method (FRM) provides measurements of the concentration of carbon
monoxide (CO) in ambient air for determining compliance with the primary
and secondary National Ambient Air Quality Standards (NAAQS) for CO as
specified in Sec. 50.8 of this chapter. The method is applicable to
continuous sampling and measurement of ambient CO concentrations
suitable for determining 1-hour or longer average measurements. The
method may also provide measurements of shorter averaging times, subject
to specific analyzer performance limitations. Additional CO monitoring
quality assurance procedures and guidance
[[Page 47]]
are provided in part 58, appendix A, of this chapter and in reference 1
of this appendix C.
2.0 Measurement Principle
2.1 Measurements of CO in ambient air are based on automated
measurement of the absorption of infrared radiation by CO in an ambient
air sample drawn into an analyzer employing non-wavelength-dispersive,
infrared photometry (NDIR method). Infrared energy from a source in the
photometer is passed through a cell containing the air sample to be
analyzed, and the quantitative absorption of energy by CO in the sample
cell is measured by a suitable detector. The photometer is sensitized
specifically to CO by employing CO gas in a filter cell in the optical
path, which, when compared to a differential optical path without a CO
filter cell, limits the measured absorption to one or more of the
characteristic wavelengths at which CO strongly absorbs. However, to
meet measurement performance requirements, various optical filters,
reference cells, rotating gas filter cells, dual-beam configurations,
moisture traps, or other means may also be used to further enhance
sensitivity and stability of the photometer and to minimize potential
measurement interference from water vapor, carbon dioxide
(CO2), or other species. Also, various schemes may be used to
provide a suitable zero reference for the photometer, and optional
automatic compensation may be provided for the actual pressure and
temperature of the air sample in the measurement cell. The measured
infrared absorption, converted to a digital reading or an electrical
output signal, indicates the measured CO concentration.
2.2 The measurement system is calibrated by referencing the
analyzer's CO measurements to CO concentration standards traceable to a
National Institute of Standards and Technology (NIST) primary standard
for CO, as described in the associated calibration procedure specified
in section 4 of this reference method.
2.3 An analyzer implementing this measurement principle will be
considered a reference method only if it has been designated as a
reference method in accordance with part 53 of this chapter.
2.4 Sampling considerations. The use of a particle filter in the
sample inlet line of a CO FRM analyzer is optional and left to the
discretion of the user unless such a filter is specified or recommended
by the analyzer manufacturer in the analyzer's associated operation or
instruction manual.
3.0 Interferences
3.1 The NDIR measurement principle is potentially susceptible to
interference from water vapor and CO2, which have some
infrared absorption at wavelengths in common with CO and normally exist
in the atmosphere. Various instrumental techniques can be used to
effectively minimize these interferences.
4.0 Calibration Procedures
4.1 Principle. Either of two methods may be selected for dynamic
multipoint calibration of FRM CO analyzers, using test gases of
accurately known CO concentrations obtained from one or more compressed
gas cylinders certified as CO transfer standards:
4.1.1 Dilution method: A single certified standard cylinder of CO is
quantitatively diluted as necessary with zero air to obtain the various
calibration concentration standards needed.
4.1.2 Multiple-cylinder method: Multiple, individually certified
standard cylinders of CO are used for each of the various calibration
concentration standards needed.
4.1.3 Additional information on calibration may be found in Section
12 of reference 1.
4.2 Apparatus. The major components and typical configurations of
the calibration systems for the two calibration methods are shown in
Figures 1 and 2. Either system may be made up using common laboratory
components, or it may be a commercially manufactured system. In either
case, the principal components are as follows:
4.2.1 CO standard gas flow control and measurement devices (or a
combined device) capable of regulating and maintaining the standard gas
flow rate constant to within [2 percent and measuring the gas flow rate
accurate to within [2 percent, properly calibrated to a NIST-traceable
standard.
4.2.2 For the dilution method (Figure 1), dilution air flow control
and measurement devices (or a combined device) capable of regulating and
maintaining the air flow rate constant to within [2 percent and
measuring the air flow rate accurate to within [2 percent, properly
calibrated to a NIST-traceable standard.
4.2.3 Standard gas pressure regulator(s) for the standard CO
cylinder(s), suitable for use with a high-pressure CO gas cylinder and
having a non-reactive diaphragm and internal parts and a suitable
delivery pressure.
4.2.4 Mixing chamber for the dilution method of an inert material
and of proper design to provide thorough mixing of CO standard gas and
diluent air streams.
4.2.5 Output sampling manifold, constructed of an inert material and
of sufficient diameter to ensure an insignificant pressure drop at the
analyzer connection. The system must have a vent designed to ensure
nearly atmospheric pressure at the analyzer connection port and to
prevent ambient air from entering the manifold.
4.3 Reagents
4.3.1 CO gas concentration transfer standard(s) of CO in air,
containing an appropriate
[[Page 48]]
concentration of CO suitable for the selected operating range of the
analyzer under calibration and traceable to a NIST standard reference
material (SRM). If the CO analyzer has significant sensitivity to
CO2, the CO standard(s) should also contain 350 to 400 ppm
CO2 to replicate the typical CO2 concentration in
ambient air. However, if the zero air dilution ratio used for the
dilution method is not less than 100:1 and the zero air contains ambient
levels of CO2, then the CO standard may be contained in
nitrogen and need not contain CO2.
4.3.2 For the dilution method, clean zero air, free of contaminants
that could cause a detectable response on or a change in sensitivity of
the CO analyzer. The zero air should contain <0.1 ppm CO.
4.4 Procedure Using the Dilution Method
4.4.1 Assemble or obtain a suitable dynamic dilution calibration
system such as the one shown schematically in Figure 1. Generally, all
calibration gases including zero air must be introduced into the sample
inlet of the analyzer. However, if the analyzer has special, approved
zero and span inlets and automatic valves to specifically allow
introduction of calibration standards at near atmospheric pressure, such
inlets may be used for calibration in lieu of the sample inlet. For
specific operating instructions, refer to the manufacturer's manual.
4.4.2 Ensure that there are no leaks in the calibration system and
that all flowmeters are properly and accurately calibrated, under the
conditions of use, if appropriate, against a reliable volume or flow
rate standard such as a soap-bubble meter or wet-test meter traceable to
a NIST standard. All volumetric flow rates should be corrected to the
same temperature and pressure such as 298.15 K (25 C) and 760 mm Hg
(101 kPa), using a correction formula such as the following:
[GRAPHIC] [TIFF OMITTED] TR31AU11.001
Where:
Fc = corrected flow rate (L/min at 25 C and 760 mm Hg),
Fm = measured flow rate (at temperature Tm and pressure Pm),
Pm = measured pressure in mm Hg (absolute), and
Tm = measured temperature in degrees Celsius.
4.4.3 Select the operating range of the CO analyzer to be
calibrated. Connect the measurement signal output of the analyzer to an
appropriate readout instrument to allow the analyzer's measurement
output to be continuously monitored during the calibration. Where
possible, this readout instrument should be the same one used to record
routine monitoring data, or, at least, an instrument that is as closely
representative of that system as feasible.
4.4.4 Connect the inlet of the CO analyzer to the output-sampling
manifold of the calibration system.
4.4.5 Adjust the calibration system to deliver zero air to the
output manifold. The total air flow must exceed the total demand of the
analyzer(s) connected to the output manifold to ensure that no ambient
air is pulled into the manifold vent. Allow the analyzer to sample zero
air until a stable response is obtained. After the response has
stabilized, adjust the analyzer zero reading.
4.4.6 Adjust the zero air flow rate and the CO gas flow rate from
the standard CO cylinder to provide a diluted CO concentration of
approximately 80 percent of the measurement upper range limit (URL) of
the operating range of the analyzer. The total air flow rate must exceed
the total demand of the analyzer(s) connected to the output manifold to
ensure that no ambient air is pulled into the manifold vent. The exact
CO concentration is calculated from:
[GRAPHIC] [TIFF OMITTED] TR31AU11.002
Where:
[CO]OUT = diluted CO concentration at the output manifold (ppm),
[CO]STD = concentration of the undiluted CO standard (ppm),
[[Page 49]]
FCO = flow rate of the CO standard (L/min), and
FD = flow rate of the dilution air (L/min).
Sample this CO concentration until a stable response is obtained. Adjust
the analyzer span control to obtain the desired analyzer response
reading equivalent to the calculated standard concentration. If
substantial adjustment of the analyzer span control is required, it may
be necessary to recheck the zero and span adjustments by repeating steps
4.4.5 and 4.4.6. Record the CO concentration and the analyzer's final
response.
4.4.7 Generate several additional concentrations (at least three
evenly spaced points across the remaining scale are suggested to verify
linearity) by decreasing FCO or increasing FD. Be sure the total flow
exceeds the analyzer's total flow demand. For each concentration
generated, calculate the exact CO concentration using equation (2).
Record the concentration and the analyzer's stable response for each
concentration. Plot the analyzer responses (vertical or y-axis) versus
the corresponding CO concentrations (horizontal or x-axis). Calculate
the linear regression slope and intercept of the calibration curve and
verify that no point deviates from this line by more than 2 percent of
the highest concentration tested.
4.5 Procedure Using the Multiple-Cylinder Method. Use the procedure
for the dilution method with the following changes:
4.5.1 Use a multi-cylinder, dynamic calibration system such as the
typical one shown in Figure 2.
4.5.2 The flowmeter need not be accurately calibrated, provided the
flow in the output manifold can be verified to exceed the analyzer's
flow demand.
4.5.3 The various CO calibration concentrations required in Steps
4.4.5, 4.4.6, and 4.4.7 are obtained without dilution by selecting zero
air or the appropriate certified standard cylinder.
4.6 Frequency of Calibration. The frequency of calibration, as well
as the number of points necessary to establish the calibration curve and
the frequency of other performance checking, will vary by analyzer.
However, the minimum frequency, acceptance criteria, and subsequent
actions are specified in reference 1, appendix D, ``Measurement Quality
Objectives and Validation Template for CO'' (page 5 of 30). The user's
quality control program should provide guidelines for initial
establishment of these variables and for subsequent alteration as
operational experience is accumulated. Manufacturers of CO analyzers
should include in their instruction/operation manuals information and
guidance as to these variables and on other matters of operation,
calibration, routine maintenance, and quality control.
5.0 Reference
1. QA Handbook for Air Pollution Measurement Systems--Volume II.
Ambient Air Quality Monitoring Program. U.S. EPA. EPA-454/B-08-003
(2008).
[GRAPHIC] [TIFF OMITTED] TR31AU11.003
[[Page 50]]
[GRAPHIC] [TIFF OMITTED] TR31AU11.004
[76 FR 54323, Aug. 31, 2011]
Sec. Appendix D to Part 50--Reference Measurement Principle and
Calibration Procedure for the Measurement of Ozone in the Atmosphere
(Chemiluminescence Method)
1.0 Applicability.
1.1 This chemiluminescence method provides reference measurements of
the concentration of ozone (O3) in ambient air for
determining compliance with the national primary and secondary ambient
air quality standards for O3 as specified in 40 CFR part 50.
This automated method is applicable to the measurement of ambient
O3 concentrations using continuous (real-time) sampling and
analysis. Additional quality assurance procedures and guidance are
provided in 40 CFR part 58, appendix A, and in Reference 14.
2.0 Measurement Principle.
2.1 This reference method is based on continuous automated
measurement of the intensity of the characteristic chemiluminescence
released by the gas phase reaction of O3 in sampled air with
either ethylene (C2H4) or nitric oxide (NO) gas.
An ambient air sample stream and a specific flowing concentration of
either C2H4 (ET-CL method) or NO (NO-CL method)
are mixed in a measurement cell, where the resulting chemiluminescence
is quantitatively measured by a sensitive photo-detector. References 8-
11 describe the chemiluminescence measurement principle.
2.2 The measurement system is calibrated by referencing the
instrumental chemiluminescence measurements to certified O3
standard concentrations generated in a dynamic flow system and assayed
by photometry to be traceable to a National Institute of Standards and
Technology (NIST) standard reference photometer for O3 (see
Section 4, Calibration Procedure, below).
2.3 An analyzer implementing this measurement principle is shown
schematically in Figure 1. Designs implementing this measurement
principle must include: an appropriately designed mixing and measurement
cell; a suitable quantitative photometric measurement system with
adequate sensitivity and wavelength specificity for O3; a
pump, flow control, and sample conditioning system for sampling the
ambient air and moving it into and through the measurement cell; a
sample air dryer as necessary to meet the water vapor interference limit
requirement specified in subpart B of part 53 of this chapter; a means
to supply, meter, and mix a constant, flowing stream of either
C2H4 or NO gas of fixed concentration with the
sample air flow in the measurement cell; suitable electronic control and
measurement processing capability; and other associated apparatus as may
be necessary. The analyzer must be designed and constructed to provide
accurate, repeatable, and continuous measurements of O3
concentrations in ambient air, with measurement performance that meets
the requirements specified in subpart B of part 53 of this chapter.
[[Page 51]]
2.4 An analyzer implementing this measurement principle and
calibration procedure will be considered a federal reference method
(FRM) only if it has been designated as a reference method in accordance
with part 53 of this chapter.
2.5 Sampling considerations. The use of a particle filter on the
sample inlet line of a chemiluminescence O3 FRM analyzer is
required to prevent buildup of particulate matter in the measurement
cell and inlet components. This filter must be changed weekly (or at
least often as specified in the manufacturer's operation/instruction
manual), and the sample inlet system used with the analyzer must be kept
clean, to avoid loss of O3 in the O3 sample air
prior to the concentration measurement.
3.0 Interferences.
3.1 Except as described in 3.2 below, the chemiluminescence
measurement system is inherently free of significant interferences from
other pollutant substances that may be present in ambient air.
3.2 A small sensitivity to variations in the humidity of the sample
air is minimized by a sample air dryer. Potential loss of O3
in the inlet air filter and in the air sample handling components of the
analyzer and associated exterior air sampling components due to buildup
of airborne particulate matter is minimized by filter replacement and
cleaning of the other inlet components.
4.0 Calibration Procedure.
4.1 Principle. The calibration procedure is based on the photometric
assay of O3 concentrations in a dynamic flow system. The
concentration of O3 in an absorption cell is determined from
a measurement of the amount of 254 nm light absorbed by the sample. This
determination requires knowledge of (1) the absorption coefficient
([alpha]) of O3 at 254 nm, (2) the optical path length (l)
through the sample, (3) the transmittance of the sample at a nominal
wavelength of 254 nm, and (4) the temperature (T) and pressure (P) of
the sample. The transmittance is defined as the ratio I/I0,
where I is the intensity of light which passes through the cell and is
sensed by the detector when the cell contains an O3 sample,
and I0 is the intensity of light which passes through the
cell and is sensed by the detector when the cell contains zero air. It
is assumed that all conditions of the system, except for the contents of
the absorption cell, are identical during measurement of I and
I0. The quantities defined above are related by the Beer-
Lambert absorption law,
[GRAPHIC] [TIFF OMITTED] TR26OC15.002
Where:
[alpha] = absorption coefficient of O3 at 254 nm = 308 [4
atm-1 cm-1 at 0 C and 760 torr,\1, 2, 3, 4, 5, 6, 7\
c = O3 concentration in atmospheres, and
l = optical path length in cm.
A stable O3 generator is used to produce O3
concentrations over the required calibration concentration range. Each
O3 concentration is determined from the measurement of the
transmittance (I/I0) of the sample at 254 nm with a
photometer of path length l and calculated from the equation,
[GRAPHIC] [TIFF OMITTED] TR26OC15.003
The calculated O3 concentrations must be corrected for
O3 losses, which may occur in the photometer, and for the
temperature and pressure of the sample.
4.2 Applicability. This procedure is applicable to the calibration
of ambient air O3 analyzers, either directly or by means of a
transfer standard certified by this procedure. Transfer standards must
meet the requirements and specifications set forth in Reference 12.
[[Page 52]]
4.3 Apparatus. A complete UV calibration system consists of an
O3 generator, an output port or manifold, a photometer, an
appropriate source of zero air, and other components as necessary. The
configuration must provide a stable O3 concentration at the
system output and allow the photometer to accurately assay the output
concentration to the precision specified for the photometer (4.3.1).
Figure 2 shows a commonly used configuration and serves to illustrate
the calibration procedure, which follows. Other configurations may
require appropriate variations in the procedural steps. All connections
between components in the calibration system downstream of the
O3 generator must be of glass, Teflon, or other relatively
inert materials. Additional information regarding the assembly of a UV
photometric calibration apparatus is given in Reference 13. For
certification of transfer standards which provide their own source of
O3, the transfer standard may replace the O3
generator and possibly other components shown in Figure 2; see Reference
12 for guidance.
4.3.1 UV photometer. The photometer consists of a low-pressure
mercury discharge lamp, (optional) collimation optics, an absorption
cell, a detector, and signal-processing electronics, as illustrated in
Figure 2. It must be capable of measuring the transmittance, I/
I0, at a wavelength of 254 nm with sufficient precision such
that the standard deviation of the concentration measurements does not
exceed the greater of 0.005 ppm or 3% of the concentration. Because the
low-pressure mercury lamp radiates at several wavelengths, the
photometer must incorporate suitable means to assure that no
O3 is generated in the cell by the lamp, and that at least
99.5% of the radiation sensed by the detector is 254 nm radiation. (This
can be readily achieved by prudent selection of optical filter and
detector response characteristics.) The length of the light path through
the absorption cell must be known with an accuracy of at least 99.5%. In
addition, the cell and associated plumbing must be designed to minimize
loss of O3 from contact with cell walls and gas handling
components. See Reference 13 for additional information.
4.3.2 Air flow controllers. Air flow controllers are devices capable
of regulating air flows as necessary to meet the output stability and
photometer precision requirements.
4.3.3 Ozone generator. The ozone generator used must be capable of
generating stable levels of O3 over the required
concentration range.
4.3.4 Output manifold. The output manifold must be constructed of
glass, Teflon, or other relatively inert material, and should be of
sufficient diameter to insure a negligible pressure drop at the
photometer connection and other output ports. The system must have a
vent designed to insure atmospheric pressure in the manifold and to
prevent ambient air from entering the manifold.
4.3.5 Two-way valve. A manual or automatic two-way valve, or other
means is used to switch the photometer flow between zero air and the
O3 concentration.
4.3.6 Temperature indicator. A device to indicate temperature must
be used that is accurate to [1 C.
4.3.7 Barometer or pressure indicator. A device to indicate
barometric pressure must be used that is accurate to [2 torr.
4.4 Reagents.
4.4.1 Zero air. The zero air must be free of contaminants which
would cause a detectable response from the O3 analyzer, and
it must be free of NO, C2H4, and other species
which react with O3. A procedure for generating suitable zero
air is given in Reference 13. As shown in Figure 2, the zero air
supplied to the photometer cell for the I0 reference
measurement must be derived from the same source as the zero air used
for generation of the O3 concentration to be assayed (I
measurement). When using the photometer to certify a transfer standard
having its own source of O3, see Reference 12 for guidance on
meeting this requirement.
4.5 Procedure.
4.5.1 General operation. The calibration photometer must be
dedicated exclusively to use as a calibration standard. It must always
be used with clean, filtered calibration gases, and never used for
ambient air sampling. A number of advantages are realized by locating
the calibration photometer in a clean laboratory where it can be
stationary, protected from the physical shock of transportation,
operated by a responsible analyst, and used as a common standard for all
field calibrations via transfer standards.
4.5.2 Preparation. Proper operation of the photometer is of critical
importance to the accuracy of this procedure. Upon initial operation of
the photometer, the following steps must be carried out with all
quantitative results or indications recorded in a chronological record,
either in tabular form or plotted on a graphical chart. As the
performance and stability record of the photometer is established, the
frequency of these steps may be reduced to be consistent with the
documented stability of the photometer and the guidance provided in
Reference 12.
4.5.2.1 Instruction manual. Carry out all set up and adjustment
procedures or checks as described in the operation or instruction manual
associated with the photometer.
4.5.2.2 System check. Check the photometer system for integrity,
leaks, cleanliness, proper flow rates, etc. Service or replace filters
and zero air scrubbers or other consumable materials, as necessary.
[[Page 53]]
4.5.2.3 Linearity. Verify that the photometer manufacturer has
adequately established that the linearity error of the photometer is
less than 3%, or test the linearity by dilution as follows: Generate and
assay an O3 concentration near the upper range limit of the
system or appropriate calibration scale for the instrument, then
accurately dilute that concentration with zero air and re-assay it.
Repeat at several different dilution ratios. Compare the assay of the
original concentration with the assay of the diluted concentration
divided by the dilution ratio, as follows
[GRAPHIC] [TIFF OMITTED] TR26OC15.004
Where:
E = linearity error, percent
A1 = assay of the original concentration
A2 = assay of the diluted concentration
R = dilution ratio = flow of original concentration divided by the total
flow
The linearity error must be less than 5%. Since the accuracy of the
measured flow-rates will affect the linearity error as measured this
way, the test is not necessarily conclusive. Additional information on
verifying linearity is contained in Reference 13.
4.5.2.4 Inter-comparison. The photometer must be inter-compared
annually, either directly or via transfer standards, with a NIST
standard reference photometer (SRP) or calibration photometers used by
other agencies or laboratories.
4.5.2.5 Ozone losses. Some portion of the O3 may be lost
upon contact with the photometer cell walls and gas handling components.
The magnitude of this loss must be determined and used to correct the
calculated O3 concentration. This loss must not exceed 5%.
Some guidelines for quantitatively determining this loss are discussed
in Reference 13.
4.5.3 Assay of O3 concentrations. The operator must carry
out the following steps to properly assay O3 concentrations.
4.5.3.1 Allow the photometer system to warm up and stabilize.
4.5.3.2 Verify that the flow rate through the photometer absorption
cell, F, allows the cell to be flushed in a reasonably short period of
time (2 liter/min is a typical flow). The precision of the measurements
is inversely related to the time required for flushing, since the
photometer drift error increases with time.
4.5.3.3 Ensure that the flow rate into the output manifold is at
least 1 liter/min greater than the total flow rate required by the
photometer and any other flow demand connected to the manifold.
4.5.3.4 Ensure that the flow rate of zero air, Fz, is at least 1
liter/min greater than the flow rate required by the photometer.
4.5.3.5 With zero air flowing in the output manifold, actuate the
two-way valve to allow the photometer to sample first the manifold zero
air, then Fz. The two photometer readings must be equal (I =
I0).
Note: In some commercially available photometers, the operation of
the two-way valve and various other operations in section 4.5.3 may be
carried out automatically by the photometer.
4.5.3.6 Adjust the O3 generator to produce an
O3 concentration as needed.
4.5.3.7 Actuate the two-way valve to allow the photometer to sample
zero air until the absorption cell is thoroughly flushed and record the
stable measured value of Io.
4.5.3.8 Actuate the two-way valve to allow the photometer to sample
the O3 concentration until the absorption cell is thoroughly
flushed and record the stable measured value of I.
4.5.3.9 Record the temperature and pressure of the sample in the
photometer absorption cell. (See Reference 13 for guidance.)
4.5.3.10 Calculate the O3 concentration from equation 4.
An average of several determinations will provide better precision.
[GRAPHIC] [TIFF OMITTED] TR26OC15.005
Where:
[O3]OUT = O3 concentration, ppm
[alpha] = absorption coefficient of O3 at 254 nm = 308 atm-1
cm-1 at 0 C and 760 torr
l = optical path length, cm
T = sample temperature, K
P = sample pressure, torr
L = correction factor for O3 losses from 4.5.2.5 = (1-
fraction of O3 lost).
[[Page 54]]
Note: Some commercial photometers may automatically evaluate all or
part of equation 4. It is the operator's responsibility to verify that
all of the information required for equation 4 is obtained, either
automatically by the photometer or manually. For ``automatic''
photometers which evaluate the first term of equation 4 based on a
linear approximation, a manual correction may be required, particularly
at higher O3 levels. See the photometer instruction manual
and Reference 13 for guidance.
4.5.3.11 Obtain additional O3 concentration standards as
necessary by repeating steps 4.5.3.6 to 4.5.3.10 or by Option 1.
4.5.4 Certification of transfer standards. A transfer standard is
certified by relating the output of the transfer standard to one or more
O3 calibration standards as determined according to section
4.5.3. The exact procedure varies depending on the nature and design of
the transfer standard. Consult Reference 12 for guidance.
4.5.5 Calibration of ozone analyzers. Ozone analyzers must be
calibrated as follows, using O3 standards obtained directly
according to section 4.5.3 or by means of a certified transfer standard.
4.5.5.1 Allow sufficient time for the O3 analyzer and the
photometer or transfer standard to warm-up and stabilize.
4.5.5.2 Allow the O3 analyzer to sample zero air until a
stable response is obtained and then adjust the O3 analyzer's
zero control. Offsetting the analyzer's zero adjustment to +5% of scale
is recommended to facilitate observing negative zero drift (if any).
Record the stable zero air response as ``Z''.
4.5.5.3 Generate an O3 concentration standard of
approximately 80% of the desired upper range limit (URL) of the
O3 analyzer. Allow the O3 analyzer to sample this
O3 concentration standard until a stable response is
obtained.
4.5.5.4 Adjust the O3 analyzer's span control to obtain
the desired response equivalent to the calculated standard
concentration. Record the O3 concentration and the
corresponding analyzer response. If substantial adjustment of the span
control is necessary, recheck the zero and span adjustments by repeating
steps 4.5.5.2 to 4.5.5.4.
4.5.5.5 Generate additional O3 concentration standards (a
minimum of 5 are recommended) over the calibration scale of the
O3 analyzer by adjusting the O3 source or by
Option 1. For each O3 concentration standard, record the
O3 concentration and the corresponding analyzer response.
4.5.5.6 Plot the O3 analyzer responses (vertical or Y-
axis) versus the corresponding O3 standard concentrations
(horizontal or X-axis). Compute the linear regression slope and
intercept and plot the regression line to verify that no point deviates
from this line by more than 2 percent of the maximum concentration
tested.
4.5.5.7 Option 1: The various O3 concentrations required
in steps 4.5.3.11 and 4.5.5.5 may be obtained by dilution of the
O3 concentration generated in steps 4.5.3.6 and 4.5.5.3. With
this option, accurate flow measurements are required. The dynamic
calibration system may be modified as shown in Figure 3 to allow for
dilution air to be metered in downstream of the O3 generator.
A mixing chamber between the O3 generator and the output
manifold is also required. The flow rate through the O3
generator (Fo) and the dilution air flow rate (FD) are measured with a
flow or volume standard that is traceable to a NIST flow or volume
calibration standard. Each O3 concentration generated by
dilution is calculated from:
[GRAPHIC] [TIFF OMITTED] TR26OC15.006
Where:
[O3][min]OUT = diluted O3
concentration, ppm
FO = flow rate through the O3 generator, liter/min
FD = diluent air flow rate, liter/min
Note: Additional information on calibration and pollutant standards
is provided in Section 12 of Reference 14.
5.0 Frequency of Calibration.
5.1 The frequency of calibration, as well as the number of points
necessary to establish the calibration curve, and the frequency of other
performance checking will vary by analyzer; however, the minimum
frequency, acceptance criteria, and subsequent actions are specified in
Appendix D of Reference 14: Measurement Quality Objectives and
Validation Templates. The user's quality control program shall provide
guidelines for initial establishment of these variables and for
subsequent alteration as operational experience is accumulated.
Manufacturers of analyzers should include in their instruction/operation
manuals information and guidance as to these variables and on other
matters of operation, calibration, routine maintenance, and quality
control.
6.0 References.
1. E.C.Y. Inn and Y. Tanaka, ``Absorption coefficient of Ozone in the
Ultraviolet and Visible Regions'', J. Opt. Soc. Am., 43, 870
(1953).
[[Page 55]]
2. A. G. Hearn, ``Absorption of Ozone in the Ultraviolet and Visible
Regions of the Spectrum'', Proc. Phys. Soc. (London), 78, 932
(1961).
3. W. B. DeMore and O. Raper, ``Hartley Band Extinction Coefficients of
Ozone in the Gas Phase and in Liquid Nitrogen, Carbon
Monoxide, and Argon'', J. Phys. Chem., 68, 412 (1964).
4. M. Griggs, ``Absorption Coefficients of Ozone in the Ultraviolet and
Visible Regions'', J. Chem. Phys., 49, 857 (1968).
5. K. H. Becker, U. Schurath, and H. Seitz, ``Ozone Olefin Reactions in
the Gas Phase. 1. Rate Constants and Activation Energies'',
Int'l Jour. of Chem. Kinetics, VI, 725 (1974).
6. M. A. A. Clyne and J. A. Coxom, ``Kinetic Studies of Oxy-halogen
Radical Systems'', Proc. Roy. Soc., A303, 207 (1968).
7. J. W. Simons, R. J. Paur, H. A. Webster, and E. J. Bair, ``Ozone
Ultraviolet Photolysis. VI. The Ultraviolet Spectrum'', J.
Chem. Phys., 59, 1203 (1973).
8. Ollison, W.M.; Crow, W.; Spicer, C.W. ``Field testing of new-
technology ambient air ozone monitors.'' J. Air Waste Manage.
Assoc., 63 (7), 855-863 (2013).
9. Parrish, D.D.; Fehsenfeld, F.C. ``Methods for gas-phase measurements
of ozone, ozone precursors and aerosol precursors.'' Atmos.
Environ., 34 (12-14), 1921-1957(2000).
10. Ridley, B.A.; Grahek, F.E.; Walega, J.G. ``A small, high-
sensitivity, medium-response ozone detector suitable for
measurements from light aircraft.'' J. Atmos. Oceanic
Technol., 9 (2), 142-148(1992).
11. Boylan, P., Helmig, D., and Park, J.H. ``Characterization and
mitigation of water vapor effects in the measurement of ozone
by chemiluminescence with nitric oxide.'' Atmos. Meas. Tech.
7, 1231-1244 (2014).
12. Transfer Standards for Calibration of Ambient Air Monitoring
Analyzers for Ozone, EPA publication number EPA-454/B-13-004,
October 2013. EPA, Office of Air Quality Planning and
Standards, Research Triangle Park, NC 27711. [Available at
www.epa.gov/ttnamti1/files/ambient/qaqc/
OzoneTransferStandardGuidance.pdf.]
13. Technical Assistance Document for the Calibration of Ambient Ozone
Monitors, EPA publication number EPA-600/4-79-057, September,
1979. [Available at www.epa.gov/ttnamti1/files/ambient/
criteria/4-79-057.pdf.]
14. QA Handbook for Air Pollution Measurement Systems--Volume II.
Ambient Air Quality Monitoring Program. EPA-454/B-13-003, May
2013. [Available at http://www.epa.gov/ttnamti1/files/ambient/
pm25/qa/QA-Handbook-Vol-II.pdf.]
[[Page 56]]
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[[Page 57]]
[GRAPHIC] [TIFF OMITTED] TR26OC15.008
[[Page 58]]
[GRAPHIC] [TIFF OMITTED] TR26OC15.009
[80 FR 65453, Oct. 26, 2015]
Sec. Appendix E to Part 50 [Reserved]
Sec. Appendix F to Part 50--Measurement Principle and Calibration
Procedure for the Measurement of Nitrogen Dioxide in the Atmosphere (Gas
Phase Chemiluminescence)
Principle and Applicability
1. Atmospheric concentrations of nitrogen dioxide (NO2)
are measured indirectly by photometrically measuring the light
intensity, at wavelengths greater than 600 nanometers, resulting from
the chemiluminescent reaction of nitric oxide (NO) with ozone
(O3). (1,2,3) NO2 is first quantitatively reduced
to NO(4,5,6) by means of a converter. NO, which commonly exists in
ambient air together with NO2, passes through the converter
unchanged causing a resultant total NOX concentration equal
to NO + NO2. A sample of the input air is also measured
without having passed through the converted. This latter NO measurement
is subtracted from the former measurement (NO + NO2) to yield
the final NO2 measurement. The NO and NO + NO2
measurements may be made concurrently with dual systems, or cyclically
with the same system provided the cycle time does not exceed 1 minute.
2. Sampling considerations.
2.1 Chemiluminescence NO/NOX/NO2 analyzers
will respond to other nitrogen containing compounds, such as
peroxyacetyl nitrate (PAN), which might be reduced to NO in the thermal
converter. (7) Atmospheric concentrations of these potential
interferences are generally low relative to NO2 and valid
NO2 measurements may be obtained. In certain geographical
areas, where the concentration of these potential interferences is known
or suspected to be high relative to NO2, the use of an
equivalent method for the measurement of NO2 is recommended.
2.2 The use of integrating flasks on the sample inlet line of
chemiluminescence NO/
[[Page 59]]
NOX/NO2 analyzers is optional and left to
couraged. The sample residence time between the sampling point and the
analyzer should be kept to a minimum to avoid erroneous NO2
measurements resulting from the reaction of ambient levels of NO and
O3 in the sampling system.
2.3 The use of particulate filters on the sample inlet line of
chemiluminescence NO/NOX/NO2 analyzers is optional
and left to the discretion of the user or the manufacturer.
Use of the filter should depend on the analyzer's susceptibility to
interference, malfunction, or damage due to particulates. Users are
cautioned that particulate matter concentrated on a filter may cause
erroneous NO2 measurements and therefore filters should be
changed frequently.
3. An analyzer based on this principle will be considered a
reference method only if it has been designated as a reference method in
accordance with part 53 of this chapter.
Calibration
1. Alternative A--Gas phase titration (GPT) of an NO standard with
O3.
Major equipment required: Stable O3 generator.
Chemiluminescence NO/NOX/NO2 analyzer with strip
chart recorder(s). NO concentration standard.
1.1 Principle. This calibration technique is based upon the rapid
gas phase reaction between NO and O3 to produce
stoichiometric quantities of NO2 in accordance with the
following equation: (8)
[GRAPHIC] [TIFF OMITTED] TC08NO91.075
The quantitative nature of this reaction is such that when the NO
concentration is known, the concentration of NO2 can be
determined. Ozone is added to excess NO in a dynamic calibration system,
and the NO channel of the chemiluminescence NO/NOX/
NO2 analyzer is used as an indicator of changes in NO
concentration. Upon the addition of O3, the decrease in NO
concentration observed on the calibrated NO channel is equivalent to the
concentration of NO2 produced. The amount of NO2
generated may be varied by adding variable amounts of O3 from
a stable uncalibrated O3 generator. (9)
1.2 Apparatus. Figure 1, a schematic of a typical GPT apparatus,
shows the suggested configuration of the components listed below. All
connections between components in the calibration system downstream from
the O3 generator should be of glass, Teflon , or other non-
reactive material.
1.2.1 Air flow controllers. Devices capable of maintaining constant
air flows within [2% of the required flowrate.
1.2.2 NO flow controller. A device capable of maintaining constant
NO flows within [2% of the required flowrate. Component parts in contact
with the NO should be of a non-reactive material.
1.2.3 Air flowmeters. Calibrated flowmeters capable of measuring and
monitoring air flowrates with an accuracy of [2% of the measured
flowrate.
1.2.4 NO flowmeter. A calibrated flowmeter capable of measuring and
monitoring NO flowrates with an accuracy of [2% of the measured
flowrate. (Rotameters have been reported to operate unreliably when
measuring low NO flows and are not recommended.)
1.2.5 Pressure regulator for standard NO cylinder. This regulator
must have a nonreactive diaphragm and internal parts and a suitable
delivery pressure.
1.2.6 Ozone generator. The generator must be capable of generating
sufficient and stable levels of O3 for reaction with NO to
generate NO2 concentrations in the range required. Ozone
generators of the electric discharge type may produce NO and
NO2 and are not recommended.
1.2.7 Valve. A valve may be used as shown in Figure 1 to divert the
NO flow when zero air is required at the manifold. The valve should be
constructed of glass, Teflon , or other nonreactive material.
1.2.8 Reaction chamber. A chamber, constructed of glass, Teflon ,
or other nonreactive material, for the quantitative reaction of
O3 with excess NO. The chamber should be of sufficient volume
(VRC) such that the residence time (tR) meets the
requirements specified in 1.4. For practical reasons, tR should be less
than 2 minutes.
1.2.9 Mixing chamber. A chamber constructed of glass, Teflon , or
other nonreactive material and designed to provide thorough mixing of
reaction products and diluent air. The residence time is not critical
when the dynamic parameter specification given in 1.4 is met.
1.2.10 Output manifold. The output manifold should be constructed of
glass, Teflon , or other non-reactive material and should be of
sufficient diameter to insure an insignificant pressure drop at the
analyzer connection. The system must have a vent designed to insure
atmospheric pressure at the manifold and to prevent ambient air from
entering the manifold.
1.3 Reagents.
1.3.1 NO concentration standard. Gas cylinder standard containing 50
to 100 ppm NO in N2 with less than 1 ppm NO2. This
standard must be traceable to a National Bureau of Standards (NBS) NO in
N2 Standard Reference Material (SRM 1683 or SRM 1684), an NBS
NO2 Standard Reference Material (SRM 1629), or an NBS/EPA-
approved commercially available Certified Reference Material (CRM).
CRM's are described in Reference 14, and a list of CRM sources is
available from the address shown for Reference 14. A recommended
protocol for certifying NO gas cylinders against either an NO SRM or CRM
[[Page 60]]
is given in section 2.0.7 of Reference 15. Reference 13 gives procedures
for certifying an NO gas cylinder against an NBS NO2 SRM and
for determining the amount of NO2 impurity in an NO cylinder.
1.3.2 Zero air. Air, free of contaminants which will cause a
detectable response on the NO/NOX/NO2 analyzer or
which might react with either NO, O3, or NO2 in
the gas phase titration. A procedure for generating zero air is given in
reference 13.
1.4 Dynamic parameter specification.
1.4.1 The O3 generator air flowrate (F0) and
NO flowrate (FNO) (see Figure 1) must be adjusted such that
the following relationship holds:
[GRAPHIC] [TIFF OMITTED] TC08NO91.076
[GRAPHIC] [TIFF OMITTED] TC08NO91.077
[GRAPHIC] [TIFF OMITTED] TC08NO91.078
where:
PR = dynamic parameter specification, determined empirically, to insure
complete reaction of the available O3, ppm-minute
[NO]RC = NO concentration in the reaction chamber, ppm
R = residence time of the reactant gases in the reaction chamber, minute
[NO]STD = concentration of the undiluted NO standard, ppm
FNO = NO flowrate, scm\3\/min
FO = O3 generator air flowrate, scm\3\/min
VRC = volume of the reaction chamber, scm\3\
1.4.2 The flow conditions to be used in the GPT system are
determined by the following procedure:
(a) Determine FT, the total flow required at the output manifold (FT
= analyzer demand plus 10 to 50% excess).
(b) Establish [NO]OUT as the highest NO concentration
(ppm) which will be required at the output manifold. [NO]OUT
should be approximately equivalent to 90% of the upper range limit (URL)
of the NO2 concentration range to be covered.
(c) Determine FNO as
[GRAPHIC] [TIFF OMITTED] TC08NO91.079
(d) Select a convenient or available reaction chamber volume.
Initially, a trial VRC may be selected to be in the range of
approximately 200 to 500 scm\3\.
(e) Compute FO as
(f) Compute tR as
[GRAPHIC] [TIFF OMITTED] TC08NO91.080
Verify that tR <2 minutes. If not, select a reaction chamber with a
smaller VRC.
(g) Compute the diluent air flowrate as
[GRAPHIC] [TIFF OMITTED] TC08NO91.081
where:
FD = diluent air flowrate, scm\3\/min
(h) If FO turns out to be impractical for the desired system, select
a reaction chamber having a different VRC and recompute FO and FD.
Note: A dynamic parameter lower than 2.75 ppm-minutes may be used if
it can be determined empirically that quantitative reaction of
O3 with NO occurs. A procedure for making this determination
as well as a more detailed discussion of the above requirements and
other related considerations is given in reference 13.
1.5 Procedure.
1.5.1 Assemble a dynamic calibration system such as the one shown in
Figure 1.
1.5.2 Insure that all flowmeters are calibrated under the conditions
of use against a reliable standard such as a soap-bubble meter or wet-
test meter. All volumetric flowrates should be corrected to 25 C and
760 mm Hg. A discussion on the calibration of flowmeters is given in
reference 13.
1.5.3 Precautions must be taken to remove O2 and other
contaminants from the NO pressure regulator and delivery system prior to
the start of calibration to avoid any conversion of the standard NO to
NO2. Failure to do so can cause significant errors in
calibration. This problem may be minimized by (1) carefully evacuating
the regulator, when possible, after the regulator has been connected to
the cylinder and before opening the cylinder valve; (2) thoroughly
flushing the regulator and delivery system with NO after opening the
cylinder valve; (3) not removing the regulator from the cylinder between
calibrations unless absolutely necessary. Further discussion of these
procedures is given in reference 13.
1.5.4 Select the operating range of the NO/NOX/
NO2 analyzer to be calibrated. In order to obtain maximum
precision and accuracy for NO2 calibration, all three
channels of the analyzer should be set to the same range. If operation
of the NO and NOX channels on
[[Page 61]]
higher ranges is desired, subsequent recalibration of the NO and
NOX channels on the higher ranges is recommended.
Note: Some analyzer designs may require identical ranges for NO,
NOX, and NO2 during operation of the analyzer.
1.5.5 Connect the recorder output cable(s) of the NO/NOX/
NO2 analyzer to the input terminals of the strip chart
recorder(s). All adjustments to the analyzer should be performed based
on the appropriate strip chart readings. References to analyzer
responses in the procedures given below refer to recorder responses.
1.5.6 Determine the GPT flow conditions required to meet the dynamic
parameter specification as indicated in 1.4.
1.5.7 Adjust the diluent air and O3 generator air flows
to obtain the flows determined in section 1.4.2. The total air flow must
exceed the total demand of the analyzer(s) connected to the output
manifold to insure that no ambient air is pulled into the manifold vent.
Allow the analyzer to sample zero air until stable NO, NOX,
and NO2 responses are obtained. After the responses have
stabilized, adjust the analyzer zero control(s).
Note: Some analyzers may have separate zero controls for NO,
NOX, and NO2. Other analyzers may have separate
zero controls only for NO and NOX, while still others may
have only one zero control common to all three channels.
Offsetting the analyzer zero adjustments to + 5 percent of scale is
recommended to facilitate observing negative zero drift. Record the
stable zero air responses as ZNO, Znox, and Zno2.
1.5.8 Preparation of NO and NOX calibration curves.
1.5.8.1 Adjustment of NO span control. Adjust the NO flow from the
standard NO cylinder to generate an NO concentration of approximately 80
percent of the upper range limit (URL) of the NO range. This exact NO
concentration is calculated from:
[GRAPHIC] [TIFF OMITTED] TR31AU93.044
where:
[NO]OUT = diluted NO concentration at the output manifold, ppm
Sample this NO concentration until the NO and NOX responses
have stabilized. Adjust the NO span control to obtain a recorder
response as indicated below:
recorder response (percent scale) =
[GRAPHIC] [TIFF OMITTED] TR31AU93.045
where:
URL = nominal upper range limit of the NO channel, ppm
Note: Some analyzers may have separate span controls for NO,
NOX, and NO2. Other analyzers may have separate
span controls only for NO and NOX, while still others may
have only one span control common to all three channels. When only one
span control is available, the span adjustment is made on the NO channel
of the analyzer.
If substantial adjustment of the NO span control is necessary, it may be
necessary to recheck the zero and span adjustments by repeating steps
1.5.7 and 1.5.8.1. Record the NO concentration and the analyzer's NO
response.
1.5.8.2 Adjustment of NOX span control. When adjusting
the analyzer's NOX span control, the presence of any
NO2 impurity in the standard NO cylinder must be taken into
account. Procedures for determining the amount of NO2
impurity in the standard NO cylinder are given in reference 13. The
exact NOX concentration is calculated from:
[GRAPHIC] [TIFF OMITTED] TR31AU93.046
where:
[NOX]OUT = diluted NOX concentration at
the output manifold, ppm
[NO2]IMP = concentration of NO2
impurity in the standard NO cylinder, ppm
Adjust the NOX span control to obtain a recorder response as
indicated below:
recorder response (% scale) =
[GRAPHIC] [TIFF OMITTED] TR31AU93.047
Note: If the analyzer has only one span control, the span adjustment
is made on the NO channel and no further adjustment is made here for
NOX.
If substantial adjustment of the NOX span control is
necessary, it may be necessary to recheck the zero and span adjustments
by repeating steps 1.5.7 and 1.5.8.2. Record the NOX
concentration and the analyzer's NOX response.
1.5.8.3 Generate several additional concentrations (at least five
evenly spaced points across the remaining scale are suggested to verify
linearity) by decreasing FNO or increasing FD. For
each concentration generated, calculate the exact NO and NOX
concentrations using equations (9) and (11) respectively. Record the
analyzer's NO and NOX responses for each concentration. Plot
the analyzer responses versus the respective calculated NO and
NOX concentrations and draw or calculate the NO and
NOX calibration curves. For subsequent calibrations
[[Page 62]]
where linearity can be assumed, these curves may be checked with a two-
point calibration consisting of a zero air point and NO and
NOX concentrations of approximately 80% of the URL.
1.5.9 Preparation of NO2 calibration curve.
1.5.9.1 Assuming the NO2 zero has been properly adjusted
while sampling zero air in step 1.5.7, adjust FO and
FD as determined in section 1.4.2. Adjust FNO to
generate an NO concentration near 90% of the URL of the NO range. Sample
this NO concentration until the NO and NOX responses have
stabilized. Using the NO calibration curve obtained in section 1.5.8,
measure and record the NO concentration as [NO]orig. Using
the NOX calibration curve obtained in section 1.5.8, measure
and record the NOX concentration as
[NOX]orig.
1.5.9.2 Adjust the O3 generator to generate sufficient
O3 to produce a decrease in the NO concentration equivalent
to approximately 80% of the URL of the NO2 range. The
decrease must not exceed 90% of the NO concentration determined in step
1.5.9.1. After the analyzer responses have stabilized, record the
resultant NO and NOX concentrations as [NO]rem and
[NOX]rem.
1.5.9.3 Calculate the resulting NO2 concentration from:
[GRAPHIC] [TIFF OMITTED] TC08NO91.082
where:
[NO2]OUT = diluted NO2 concentration at
the output manifold, ppm
[NO]orig = original NO concentration, prior to addition of
O3, ppm
[NO]rem = NO concentration remaining after addition of
O3, ppm
Adjust the NO2 span control to obtain a recorder response as
indicated below:
recorder response (% scale) =
[GRAPHIC] [TIFF OMITTED] TR31AU93.048
Note: If the analyzer has only one or two span controls, the span
adjustments are made on the NO channel or NO and NOX channels
and no further adjustment is made here for NO2.
If substantial adjustment of the NO2 span control is
necessary, it may be necessary to recheck the zero and span adjustments
by repeating steps 1.5.7 and 1.5.9.3. Record the NO2
concentration and the corresponding analyzer NO2 and
NOX responses.
1.5.9.4 Maintaining the same FNO, FO, and
FD as in section 1.5.9.1, adjust the ozone generator to
obtain several other concentrations of NO2 over the
NO2 range (at least five evenly spaced points across the
remaining scale are suggested). Calculate each NO2
concentration using equation (13) and record the corresponding analyzer
NO2 and NOX responses. Plot the analyzer's
NO2 responses versus the corresponding calculated
NO2 concentrations and draw or calculate the NO2
calibration curve.
1.5.10 Determination of converter efficiency.
1.5.10.1 For each NO2 concentration generated during the
preparation of the NO2 calibration curve (see section 1.5.9)
calculate the concentration of NO2 converted from:
[GRAPHIC] [TIFF OMITTED] TC08NO91.083
where:
[NO2]CONV = concentration of NO2
converted, ppm
[NOX]orig = original NOX concentration
prior to addition of O3, ppm
[NOX]rem = NOX concentration remaining
after addition of O3, ppm
Note: Supplemental information on calibration and other procedures
in this method are given in reference 13.
Plot [NO2]CONV (y-axis) versus
[NO2]OUT (x-axis) and draw or calculate the
converter efficiency curve. The slope of the curve times 100 is the
average converter efficiency, EC The average converter
efficiency must be greater than 96%; if it is less than 96%, replace or
service the converter.
2. Alternative B--NO2 permeation device.
Major equipment required:
Stable O3 generator.
Chemiluminescence NO/NOX/NO2 analyzer with strip chart
recorder(s).
NO concentration standard.
NO2 concentration standard.
[[Page 63]]
2.1 Principle. Atmospheres containing accurately known
concentrations of nitrogen dioxide are generated by means of a
permeation device. (10) The permeation device emits NO2 at a
known constant rate provided the temperature of the device is held
constant ([0.1 C) and the device has been accurately calibrated at the
temperature of use. The NO2 emitted from the device is
diluted with zero air to produce NO2 concentrations suitable
for calibration of the NO2 channel of the NO/NOX/
NO2 analyzer. An NO concentration standard is used for
calibration of the NO and NOX channels of the analyzer.
2.2 Apparatus. A typical system suitable for generating the required
NO and NO2 concentrations is shown in Figure 2. All
connections between components downstream from the permeation device
should be of glass, Teflon , or other non-reactive material.
2.2.1 Air flow controllers. Devices capable of maintaining constant
air flows within [2% of the required flowrate.
2.2.2 NO flow controller. A device capable of maintaining constant
NO flows within [2% of the required flowrate. Component parts in contact
with the NO must be of a non-reactive material.
2.2.3 Air flowmeters. Calibrated flowmeters capable of measuring and
monitoring air flowrates with an accuracy of [2% of the measured
flowrate.
2.2.4 NO flowmeter. A calibrated flowmeter capable of measuring and
monitoring NO flowrates with an accuracy of [2% of the measured
flowrate. (Rotameters have been reported to operate unreliably when
measuring low NO flows and are not recommended.)
2.2.5 Pressure regulator for standard NO cylinder. This regulator
must have a non-reactive diaphragm and internal parts and a suitable
delivery pressure.
2.2.6 Drier. Scrubber to remove moisture from the permeation device
air system. The use of the drier is optional with NO2
permeation devices not sensitive to moisture. (Refer to the supplier's
instructions for use of the permeation device.)
2.2.7 Constant temperature chamber. Chamber capable of housing the
NO2 permeation device and maintaining its temperature to
within [0.1 C.
2.2.8 Temperature measuring device. Device capable of measuring and
monitoring the temperature of the NO2 permeation device with
an accuracy of [0.05 C.
2.2.9 Valves. A valve may be used as shown in Figure 2 to divert the
NO2 from the permeation device when zero air or NO is
required at the manifold. A second valve may be used to divert the NO
flow when zero air or NO2 is required at the manifold.
The valves should be constructed of glass, Teflon , or other
nonreactive material.
2.2.10 Mixing chamber. A chamber constructed of glass, Teflon , or
other nonreactive material and designed to provide thorough mixing of
pollutant gas streams and diluent air.
2.2.11 Output manifold. The output manifold should be constructed of
glass, Teflon , or other non-reactive material and should be of
sufficient diameter to insure an insignificant pressure drop at the
analyzer connection. The system must have a vent designed to insure
atmospheric pressure at the manifold and to prevent ambient air from
entering the manifold.
2.3 Reagents.
2.3.1 Calibration standards. Calibration standards are required for
both NO and NO2. The reference standard for the calibration
may be either an NO or NO2 standard, and must be traceable to
a National Bureau of Standards (NBS) NO in N2 Standard
Reference Material (SRM 1683 or SRM 1684), and NBS NO2
Standard Reference Material (SRM 1629), or an NBS/EPA-approved
commercially available Certified Reference Material (CRM). CRM's are
described in Reference 14, and a list of CRM sources is available from
the address shown for Reference 14. Reference 15 gives recommended
procedures for certifying an NO gas cylinder against an NO SRM or CRM
and for certifying an NO2 permeation device against an
NO2 SRM. Reference 13 contains procedures for certifying an
NO gas cylinder against an NO2 SRM and for certifying an
NO2 permeation device against an NO SRM or CRM. A procedure
for determining the amount of NO2 impurity in an NO cylinder
is also contained in Reference 13. The NO or NO2 standard
selected as the reference standard must be used to certify the other
standard to ensure consistency between the two standards.
2.3.1.1 NO2 Concentration standard. A permeation device
suitable for generating NO2 concentrations at the required
flow-rates over the required concentration range. If the permeation
device is used as the reference standard, it must be traceable to an SRM
or CRM as specified in 2.3.1. If an NO cylinder is used as the reference
standard, the NO2 permeation device must be certified against
the NO standard according to the procedure given in Reference 13. The
use of the permeation device should be in strict accordance with the
instructions supplied with the device. Additional information regarding
the use of permeation devices is given by Scaringelli et al. (11) and
Rook et al. (12).
2.3.1.2 NO Concentration standard. Gas cylinder containing 50 to 100
ppm NO in N2 with less than 1 ppm NO2. If this
cylinder is used as the reference standard, the cylinder must be
traceable to an SRM or CRM as specified in 2.3.1. If an NO2
permeation device is used as the reference standard, the NO cylinder
must be certified against the NO2 standard according to the
procedure given in Reference 13. The cylinder should be recertified
[[Page 64]]
on a regular basis as determined by the local quality control program.
2.3.3 Zero air. Air, free of contaminants which might react with NO
or NO2 or cause a detectable response on the NO/NOX/
NO2 analyzer. When using permeation devices that are
sensitive to moisture, the zero air passing across the permeation device
must be dry to avoid surface reactions on the device. (Refer to the
supplier's instructions for use of the permeation device.) A procedure
for generating zero air is given in reference 13.
2.4 Procedure.
2.4.1 Assemble the calibration apparatus such as the typical one
shown in Figure 2.
2.4.2 Insure that all flowmeters are calibrated under the conditions
of use against a reliable standard such as a soap bubble meter or wet-
test meter. All volumetric flowrates should be corrected to 25 C and
760 mm Hg. A discussion on the calibration of flowmeters is given in
reference 13.
2.4.3 Install the permeation device in the constant temperature
chamber. Provide a small fixed air flow (200-400 scm\3\/min) across the
device. The permeation device should always have a continuous air flow
across it to prevent large buildup of NO2 in the system and a
consequent restabilization period. Record the flowrate as FP. Allow the
device to stabilize at the calibration temperature for at least 24
hours. The temperature must be adjusted and controlled to within [0.1 C
or less of the calibration temperature as monitored with the temperature
measuring device.
2.4.4 Precautions must be taken to remove O2 and other
contaminants from the NO pressure regulator and delivery system prior to
the start of calibration to avoid any conversion of the standard NO to
NO2. Failure to do so can cause significant errors in
calibration. This problem may be minimized by
(1) Carefully evacuating the regulator, when possible, after the
regulator has been connected to the cylinder and before opening the
cylinder valve;
(2) Thoroughly flushing the regulator and delivery system with NO
after opening the cylinder valve;
(3) Not removing the regulator from the cylinder between
calibrations unless absolutely necessary. Further discussion of these
procedures is given in reference 13.
2.4.5 Select the operating range of the NO/NOX NO2
analyzer to be calibrated. In order to obtain maximum precision and
accuracy for NO2 calibration, all three channels of the
analyzer should be set to the same range. If operation of the NO and NOX
channels on higher ranges is desired, subsequent recalibration of the NO
and NOX channels on the higher ranges is recommended.
Note: Some analyzer designs may require identical ranges for NO,
NOX, and NO2 during operation of the analyzer.
2.4.6 Connect the recorder output cable(s) of the NO/NOX/
NO2 analyzer to the input terminals of the strip chart
recorder(s). All adjustments to the analyzer should be performed based
on the appropriate strip chart readings. References to analyzer
responses in the procedures given below refer to recorder responses.
2.4.7 Switch the valve to vent the flow from the permeation device
and adjust the diluent air flowrate, FD, to provide zero air at the
output manifold. The total air flow must exceed the total demand of the
analyzer(s) connected to the output manifold to insure that no ambient
air is pulled into the manifold vent. Allow the analyzer to sample zero
air until stable NO, NOX, and NO2 responses are obtained.
After the responses have stabilized, adjust the analyzer zero
control(s).
Note: Some analyzers may have separate zero controls for NO, NOX,
and NO2. Other analyzers may have separate zero controls only
for NO and NOX, while still others may have only one zero common control
to all three channels.
Offsetting the analyzer zero adjustments to + 5% of scale is recommended
to facilitate observing negative zero drift. Record the stable zero air
responses as ZNO, ZNOX, and
ZNO2.
2.4.8 Preparation of NO and NOX calibration curves.
2.4.8.1 Adjustment of NO span control. Adjust the NO flow from the
standard NO cylinder to generate an NO concentration of approximately
80% of the upper range limit (URL) of the NO range. The exact NO
concentration is calculated from:
[GRAPHIC] [TIFF OMITTED] TR31AU93.049
where:
[NO]OUT = diluted NO concentration at the output manifold,
ppm
FNO = NO flowrate, scm\3\/min
[NO]STD = concentration of the undiluted NO standard, ppm
FD = diluent air flowrate, scm\3\/min
Sample this NO concentration until the NO and NOX responses have
stabilized. Adjust the NO span control to obtain a recorder response as
indicated below:
recorder response (% scale) =
[GRAPHIC] [TIFF OMITTED] TR31AU93.050
[GRAPHIC] [TIFF OMITTED] TR31AU93.051
where:
[[Page 65]]
URL = nominal upper range limit of the NO channel, ppm
Note: Some analyzers may have separate span controls for NO, NOX,
and NO2. Other analyzers may have separate span controls only
for NO and NOX, while still others may have only one span control common
to all three channels. When only one span control is available, the span
adjustment is made on the NO channel of the analyzer.
If substantial adjustment of the NO span control is necessary, it may be
necessary to recheck the zero and span adjustments by repeating steps
2.4.7 and 2.4.8.1. Record the NO concentration and the analyzer's NO
response.
2.4.8.2 Adjustment of NOX span control. When adjusting the
analyzer's NOX span control, the presence of any NO2 impurity
in the standard NO cylinder must be taken into account. Procedures for
determining the amount of NO2 impurity in the standard NO
cylinder are given in reference 13. The exact NOX concentration is
calculated from:
[GRAPHIC] [TIFF OMITTED] TR31AU93.052
where:
[NOX]OUT = diluted NOX cencentration at
the output manifold, ppm
[NO2]IMP = concentration of NO2
impurity in the standard NO cylinder, ppm
Adjust the NOX span control to obtain a convenient recorder response as
indicated below:
recorder response (% scale)
[GRAPHIC] [TIFF OMITTED] TR31AU93.053
Note: If the analyzer has only one span control, the span adjustment
is made on the NO channel and no further adjustment is made here for
NOX.
If substantial adjustment of the NOX span control is
necessary, it may be necessary to recheck the zero and span adjustments
by repeating steps 2.4.7 and 2.4.8.2. Record the NOX
concentration and the analyzer's NOX response.
2.4.8.3 Generate several additional concentrations (at least five
evenly spaced points across the remaining scale are suggested to verify
linearity) by decreasing FNO or increasing FD. For each
concentration generated, calculate the exact NO and NOX
concentrations using equations (16) and (18) respectively. Record the
analyzer's NO and NOX responses for each concentration. Plot
the analyzer responses versus the respective calculated NO and
NOX concentrations and draw or calculate the NO and
NOX calibration curves. For subsequent calibrations where
linearity can be assumed, these curves may be checked with a two-point
calibration consisting of a zero point and NO and NOX
concentrations of approximately 80 percent of the URL.
2.4.9 Preparation of NO2 calibration curve.
2.4.9.1 Remove the NO flow. Assuming the NO2 zero has
been properly adjusted while sampling zero air in step 2.4.7, switch the
valve to provide NO2 at the output manifold.
2.4.9.2 Adjust FD to generate an NO2 concentration of
approximately 80 percent of the URL of the NO2 range. The
total air flow must exceed the demand of the analyzer(s) under
calibration. The actual concentration of NO2 is calculated
from:
[GRAPHIC] [TIFF OMITTED] TR31AU93.054
where:
[NO2]OUT = diluted NO2 concentration at
the output manifold, ppm
R = permeation rate, mg/min
K = 0.532 ml NO2/mg NO2 (at 25 C and 760 mm Hg)
Fp = air flowrate across permeation device, scm\3\/min
FD = diluent air flowrate, scm\3\/min
Sample this NO2 concentration until the NOX and
NO2 responses have stabilized. Adjust the NO2 span
control to obtain a recorder response as indicated below:
recorder response (% scale)
[GRAPHIC] [TIFF OMITTED] TR31AU93.055
Note: If the analyzer has only one or two span controls, the span
adjustments are made on the NO channel or NO and NOX channels
and no further adjustment is made here for NO2.
If substantial adjustment of the NO2 span control is
necessary it may be necessary to recheck the zero and span adjustments
by repeating steps 2.4.7 and 2.4.9.2. Record the NO2
concentration and the analyzer's NO2 response. Using the
NOX calibration curve obtained in step 2.4.8, measure and
record the NOX concentration as [NOX]M.
2.4.9.3 Adjust FD to obtain several other concentrations of
NO2 over the NO2 range (at least five evenly
spaced points across the remaining scale are suggested). Calculate each
NO2 concentration using equation (20) and record the
corresponding analyzer NO2 and NOX responses. Plot
the analyzer's NO2 responses versus the corresponding
calculated NO2 concentrations and draw or calculate the
NO2 calibration curve.
2.4.10 Determination of converter efficiency.
2.4.10.1 Plot [NOX]M (y-axis) versus
[NO2]OUT (x-axis) and draw or calculate the
converter efficiency curve. The slope of the curve times 100 is the
average converter efficiency,
[[Page 66]]
EC. The average converter efficiency must be greater than 96 percent; if
it is less than 96 percent, replace or service the converter.
Note: Supplemental information on calibration and other procedures
in this method are given in reference 13.
3. Frequency of calibration. The frequency of calibration, as well
as the number of points necessary to establish the calibration curve and
the frequency of other performance checks, will vary from one analyzer
to another. The user's quality control program should provide guidelines
for initial establishment of these variables and for subsequent
alteration as operational experience is accumulated. Manufacturers of
analyzers should include in their instruction/operation manuals
information and guidance as to these variables and on other matters of
operation, calibration, and quality control.
References
1. A. Fontijn, A. J. Sabadell, and R. J. Ronco, ``Homogeneous
Chemiluminescent Measurement of Nitric Oxide with Ozone,'' Anal. Chem.,
42, 575 (1970).
2. D. H. Stedman, E. E. Daby, F. Stuhl, and H. Niki, ``Analysis of
Ozone and Nitric Oxide by a Chemiluminiscent Method in Laboratory and
Atmospheric Studies of Photochemical Smog,'' J. Air Poll. Control
Assoc., 22, 260 (1972).
3. B. E. Martin, J. A. Hodgeson, and R. K. Stevens, ``Detection of
Nitric Oxide Chemiluminescence at Atmospheric Pressure,'' Presented at
164th National ACS Meeting, New York City, August 1972.
4. J. A. Hodgeson, K. A. Rehme, B. E. Martin, and R. K. Stevens,
``Measurements for Atmospheric Oxides of Nitrogen and Ammonia by
Chemiluminescence,'' Presented at 1972 APCA Meeting, Miami, FL, June
1972.
5. R. K. Stevens and J. A. Hodgeson, ``Applications of
Chemiluminescence Reactions to the Measurement of Air Pollutants,''
Anal. Chem., 45, 443A (1973).
6. L. P. Breitenbach and M. Shelef, ``Development of a Method for
the Analysis of NO2 and NH3 by NO-Measuring
Instruments,'' J. Air Poll. Control Assoc., 23, 128 (1973).
7. A. M. Winer, J. W. Peters, J. P. Smith, and J. N. Pitts, Jr.,
``Response of Commercial Chemiluminescent NO-NO2 Analyzers to
Other Nitrogen-Containing Compounds,'' Environ. Sci. Technol., 8, 1118
(1974).
8. K. A. Rehme, B. E. Martin, and J. A. Hodgeson, Tentative Method
for the Calibration of Nitric Oxide, Nitrogen Dioxide, and Ozone
Analyzers by Gas Phase Titration,'' EPA-R2-73-246, March 1974.
9. J. A. Hodgeson, R. K. Stevens, and B. E. Martin, ``A Stable Ozone
Source Applicable as a Secondary Standard for Calibration of Atmospheric
Monitors,'' ISA Transactions, 11, 161 (1972).
10. A. E. O'Keeffe and G. C. Ortman, ``Primary Standards for Trace
Gas Analysis,'' Anal. Chem., 38, 760 (1966).
11. F. P. Scaringelli, A. E. O'Keeffe, E. Rosenberg, and J. P. Bell,
``Preparation of Known Concentrations of Gases and Vapors with
Permeation Devices Calibrated Gravimetrically,'' Anal. Chem., 42, 871
(1970).
12. H. L. Rook, E. E. Hughes, R. S. Fuerst, and J. H. Margeson,
``Operation Characteristics of NO2 Permeation Devices,''
Presented at 167th National ACS Meeting, Los Angeles, CA, April 1974.
13. E. C. Ellis, ``Technical Assistance Document for the
Chemiluminescence Measurement of Nitrogen Dioxide,'' EPA-E600/4-75-003
(Available in draft form from the United States Environmental Protection
Agency, Department E (MD-76), Environmental Monitoring and Support
Laboratory, Research Triangle Park, NC 27711).
14. A Procedure for Establishing Traceability of Gas Mixtures to
Certain National Bureau of Standards Standard Reference Materials. EPA-
600/7-81-010, Joint publication by NBS and EPA. Available from the U.S.
Environmental Protection Agency, Environmental Monitoring Systems
Laboratory (MD-77), Research Triangle Park, NC 27711, May 1981.
15. Quality Assurance Handbook for Air Pollution Measurement
Systems, Volume II, Ambient Air Specific Methods. The U.S. Environmental
Protection Agency, Environmental Monitoring Systems Laboratory, Research
Triangle Park, NC 27711. Publication No. EAP-600/4-77-027a.
[[Page 67]]
[41 FR 52688, Dec. 1, 1976, as amended at 48 FR 2529, Jan. 20, 1983]
[[Page 68]]
Sec. Appendix G to Part 50--Reference Method for the Determination of
Lead in Total Suspended Particulate Matter
1.0 Scope and Applicability
Based on review of the air quality criteria and national ambient air
quality standard (NAAQS) for lead (Pb) completed in 2008, the EPA made
revisions to the primary and secondary NAAQS for Pb to protect public
health and welfare. The EPA revised the level from 1.5 mg/m\3\ to 0.15
mg/m\3\ while retaining the current indicator of Pb in total suspended
particulate matter (Pb-TSP).
Pb-TSP is collected for 24 hours on a TSP filter as described in
Appendix B of part 50, the Reference Method for the Determination of
Suspended Particulate Matter in the Atmosphere (High-Volume Method).
This method is for the analysis of Pb from TSP filters by Inductively
Coupled Plasma Mass Spectrometry (ICP-MS) using a heated ultrasonic bath
with nitric acid (HNO3) and hydrochloric acid (HCl) or a
heated block (hot block) digester with HNO3 for filter
extraction.
This method is based on the EPA's Office of Solid Waste (SW-846)
Method 6020A--Inductively Coupled Plasma Mass Spectrometry (U.S. EPA,
2007). Wording in certain sections of this method is paraphrased or
taken directly from Method 6020A.
1.1 ICP-MS is applicable for the sub-mg/mL (ppb) determination of Pb
in a wide variety of matrices. Results reported for monitoring or
compliance purposes are calculated in mg/m\3\ at local conditions (LC).
This procedure describes a method for the acid extraction of Pb in
particulate matter collected on glass fiber, quartz, or PTFE filters and
measurement of the extracted Pb using ICP-MS.
1.2 Due to variations in the isotopic abundance of Pb, the value for
total Pb must be based on the sum of the signal intensities for isotopic
masses, 206, 207, and 208. Most instrument software packages are able to
sum the primary isotope signal intensities automatically.
1.3 ICP-MS requires the use of an internal standard. \115\In
(Indium), \165\Ho (Holmium), and \209\Bi (Bismuth) are recommended
internal standards for the determination of Pb.
1.4 Use of this method is restricted to use by, or under supervision
of, properly trained and experienced laboratory personnel. Requirements
include training and experience in inorganic sample preparation,
including acid extraction, and also knowledge in the recognition and in
the correction of spectral, chemical and physical interference in ICP-
MS.
2.0 Summary of Method
2.1 This method describes the acid extraction of Pb in particulate
matter collected on glass fiber, quartz, or PTFE ambient air filters
with subsequent measurement of Pb by ICP-MS. Estimates of the Method
Detection Limit (MDL) or sensitivity of the method are provided in
Tables 1, 3 and 5 and determined using Pb-spiked filters or filter
strips analyzed in accordance with the guidance provided in 40 CFR 136,
Appendix B--Determination and procedures for the Determination of the
Method Detection Limit--Revision 1.1. The analytical range of the method
is 0.00024 mg/m\3\ to 0.60 mg/m\3\, and based on the low and high
calibration curve standards and a nominal filter sample volume of 2000
m\3\.
2.2 This method includes two extraction methods. In the first
method, a solution of HNO3 and HCl is added to the filters or
filter strips in plastic digestion tubes and the tubes are placed in a
heated ultrasonic bath for one hour to facilitate the extraction of Pb.
Following ultrasonication, the samples are brought to a final volume of
40 mL (50 mL for PTFE filters), vortex mixed or shaken vigorously, and
centrifuged prior to aliquots being taken for ICP-MS analysis. In the
second method, a solution of dilute HNO3 is added to the
filter strips in plastic digestion tubes and the tubes placed into the
hot block digester. The filter strip is completely covered by the
solution. The tubes are covered with polypropylene watch glasses and
refluxed. After reflux, the samples are diluted to a final volume of 50
mL with reagent water and mixed before analysis.
2.3 Calibration standards and check standards are prepared to matrix
match the acid composition of the samples. ICP-MS analysis is then
performed. With this method, the samples are first aspirated and the
aerosol thus created is transported by a flow of argon gas into the
plasma torch. The ions produced (e.g., Pb\ + 1\) in the plasma are
extracted via a differentially-pumped vacuum interface and are separated
on the basis of their mass-to-charge ratio. The ions are quantified by a
channel electron multiplier or a Faraday detector and the signal
collected is processed by the instrument's software. Interferences must
be assessed and corrected for, if present.
3.0 Definitions
Pb--Elemental or ionic lead
HNO3--Nitric acid
HCl--Hydrochloric acid
ICP-MS--Inductively Coupled Plasma Mass Spectrometer
MDL--Method detection limit
RSD--Relative standard deviation
RPD--Relative percent difference
CB--Calibration Blank
CAL--Calibration Standard
ICB--Initial calibration blank
CCB--Continuing calibration blank
ICV--Initial calibration verification
CCV--Continuing calibration verification
[[Page 69]]
LLCV--Lower Level Calibration Verification, serves as the lower level
ICV and lower level CCV
RB--Reagent blank
RBS--Reagent blank spike
MSDS--Material Safety Data Sheet
NIST--National Institute of Standards and Technology
D.I. water--Deionized water
SRM--NIST Standard Reference Material
CRM--Certified Reference Material
EPA--Environmental Protection Agency
v/v--Volume to volume ratio
4.0 Interferences
4.1 Reagents, glassware, plasticware, and other sample processing
hardware may yield artifacts and/or interferences to sample analysis. If
reagent blanks, filter blanks, or quality control blanks yield results
above the detection limit, the source of contamination must be
identified. All containers and reagents used in the processing of the
samples must be checked for contamination prior to sample extraction and
analysis. Reagents shall be diluted to match the final concentration of
the extracts and analyzed for Pb. Labware shall be rinsed with dilute
acid solution and the solution analyzed. Once a reagent or labware
article (such as extraction tubes) from a manufacturer has been
successfully screened, additional screening is not required unless
contamination is suspected.
4.2 Isobaric elemental interferences in ICP-MS are caused by
isotopes of different elements forming atomic ions with the same nominal
mass-to-charge ratio (m/z) as the species of interest. There are no
species found in ambient air that will result in isobaric interference
with the three Pb isotopes (206, 207, and 208) being measured.
Polyatomic interferences occur when two or more elements combine to form
an ion with the same mass-to-charge ratio as the isotope being measured.
Pb is not subject to interference from common polyatomic ions and no
correction is required.
4.3 The distribution of Pb isotopes is not constant. The analysis of
total Pb should be based on the summation of signal intensities for the
isotopic masses 206, 207, and 208. In most cases, the instrument
software can perform the summation automatically.
4.4 Physical interferences are associated with the sample
nebulization and transport processes as well as with ion-transmission
efficiencies. Dissolved solids can deposit on the nebulizer tip of a
pneumatic nebulizer and on the interface skimmers of the ICP-MS.
Nebulization and transport processes can be affected if a matrix
component causes a change in surface tension or viscosity. Changes in
matrix composition can cause significant signal suppression or
enhancement. These interferences are compensated for by use of internal
standards. Sample dilution will reduce the effects of high levels of
dissolved salts, but calibration standards must be prepared in the
extraction medium and diluted accordingly.
4.5 Memory interferences are related to sample transport and result
when there is carryover from one sample to the next. Sample carryover
can result from sample deposition on the sample and skimmer cones and
from incomplete rinsing of the sample solution from the plasma torch and
the spray chamber between samples. These memory effects are dependent
upon both the analyte being measured and sample matrix and can be
minimized through the use of suitable rinse times.
5.0 Health and Safety Cautions
5.1 The toxicity or carcinogenicity of reagents used in this method
has not been fully established. Each chemical should be regarded as a
potential health hazard and exposure to these compounds should be as low
as reasonably achievable. Each laboratory is responsible for maintaining
a current file of OSHA regulations regarding the safe handling of the
chemicals specified in this method. A reference file of material safety
data sheets (MSDSs) should be available to all personnel involved in the
chemical analysis. Specifically, concentrated HNO3 presents
various hazards and is moderately toxic and extremely irritating to skin
and mucus membranes. Use this reagent in a fume hood whenever possible
and if eye or skin contact occurs, flush with large volumes of water.
Always wear safety glasses or a shield for eye protection, protective
clothing, and observe proper mixing when working with these reagents.
5.2 Concentrated HNO3 and HCl are moderately toxic and
extremely irritating to the skin. Use these reagents in a fume hood, and
if eye and skin contact occurs, flush with large volumes of water.
Always wear safety glasses or a shield for eye protection when working
with these reagents. The component of this procedure requiring the
greatest care is HNO3. HNO3 is a strong,
corrosive, oxidizing agent that requires protection of the eyes, skin,
and clothing. Items to be worn during use of this reagent include:
1. Safety goggles (or safety glasses with side shields),
2. Acid resistant rubber gloves, and
3. A protective garment such as a laboratory apron. HNO3
spilled on clothing will destroy the fabric; contact with the skin
underneath will result in a burn.
It is also essential that an eye wash fountain or eye wash bottle be
available during performance of this method. An eye wash bottle has a
spout that covers the eye. If acid or any other corrosive gets into the
eye, the water in this bottle is squirted onto the eye to wash out the
harmful material. Eye washing should be performed with large amounts
[[Page 70]]
of water immediately after exposure. Medical help should be sought
immediately after washing. If either acid, but especially
HNO3, is spilled onto the skin, wash immediately with large
amounts of water. Medical attention is not required unless the burn
appears to be significant. Even after washing and drying,
HNO3 may leave the skin slightly brown in color; this will
heal and fade with time.
5.3 Pb salts and Pb solutions are toxic. Great care must be taken to
ensure that samples and standards are handled properly; wash hands
thoroughly after handling.
5.4 Care must be taken when using the ultrasonic bath and hot block
digester as they are capable of causing mild burns. Users should refer
to the safety guidance provided by the manufacturer of their specific
equipment.
5.5 Analytical plasma sources emit radio frequency radiation in
addition to intense ultra violet (UV) radiation. Suitable precautions
should be taken to protect personnel from such hazards. The inductively
coupled plasma should only be viewed with proper eye protection from UV
emissions.
6.0 Equipment
6.1 Thermo Scientific X-Series ICP-MS or equivalent. The system must
be capable of providing resolution better or equal to 1.0 atomic mass
unit (amu) at 10 percent peak height. The system must have a mass range
from at least 7 to 240 amu that allows for the application of the
internal standard technique. For the measurement of Pb, an instrument
with a collision or reaction cell is not required.
6.2 Ultrasonic Extraction Equipment
6.2.1 Heated ultrasonic bath capable of maintaining a temperature of
80 C; VWR Model 750HT, 240W, or equivalent. Ultrasonic bath must meet
the following performance criteria:
1. Cut a strip of aluminum foil almost the width of the tank and
double the depth.
2. Turn the ultrasonic bath on and lower the foil into the bath
vertically until almost touching the bottom of the tank and hold for 10
seconds.
3. Remove the foil from the tank and observe the distribution of
perforations and small pin prick holes. The indentations should be fine
and evenly distributed. The even distribution of indentations indicates
the ultrasonic bath is acceptable for use.
6.2.2 Laboratory centrifuge, Beckman GS-6, or equivalent.
6.2.3 Vortex mixer, VWR Signature Digital Vortex Mixer, VWR Catalog
No. 14005-824, or equivalent.
6.3 Hot block extraction equipment
6.3.1 Hot block digester, SCP Science DigiPrep Model MS, No. 010-
500-205 block digester capable of maintaining a temperature of 95 C, or
equivalent.
6.4 Materials and Supplies
Argon gas supply, 99.99 percent purity or better. National Welders
Microbulk, or equivalent.
Plastic digestion tubes with threaded caps for extraction and
storage, SCP Science DigiTUBE Item No. 010-500-063, or equivalent.
Disposable polypropylene ribbed watch glasses (for heated block
extraction), SCP Science Item No. 010-500-081, or equivalent.
Pipette, Rainin EDP2, 100 mL, [1 percent accuracy, <=1 percent RSD
(precision), with disposable tips, or equivalent.
Pipette, Rainin EDP2, 1000 mL, [1 percent accuracy, <=1 percent
RSD (precision), with disposable tips, or equivalent.
Pipette, Rainin EDP2, 1-10 mL, [1 percent accuracy, <=1 percent
RSD (precision), with disposable tips, or equivalent.
Pipette, Thermo Lab Systems, 5 mL, [1 percent accuracy, <=1
percent RSD (precision), with disposable tips, or equivalent.
Plastic tweezer, VWR Catalog No. 89026-420, or equivalent.
Laboratory marker.
Ceramic knife, Kyocera LK-25, and non-metal ruler or other
suitable cutting tools for making straight cuts for accurately measured
strips.
Blank labels or labeling tape, VWR Catalog No. 36425-045, or
equivalent.
Graduated cylinder, 1 L, VWR 89000-260, or equivalent.
Volumetric flask, Class A, 1 L, VWR Catalog No. 89025-778, or
equivalent.
Millipore Element deionized water system, or equivalent, capable
of generating water with a resistivity of =17.9 M[Omega]-cm).
Disposable syringes, 10-mL, with 0.45 micron filters (must be Pb-
free).
Plastic or PTFE wash bottles.
Glassware, Class A--volumetric flasks, pipettes, and graduated
cylinders.
Glass fiber, quartz, or PTFE filters from the same filter
manufacturer and lot used for sample collection for use in the
determination of the MDL and for laboratory blanks.
7.0 Reagents and Standards
7.1 Reagent--or trace metals-grade chemicals must be used in all
tests. Unless otherwise indicated, it is intended that all reagents
conform to the specifications of the Committee on Analytical Reagents of
the American Chemical Society, where such specifications are available.
7.2 Concentrated nitric acid, 67-70 percent, SCP Science Catalog No.
250-037-177, or equivalent.
7.3 Concentrated hydrochloric acid (for the ultrasonic extraction
method), 33-36 percent, SCP Science Catalog No. 250-037-175, or
equivalent.
[[Page 71]]
7.4 Deionized water--All references to deionized water in the method
refer to deionized water with a resistivity =17.9 M[Omega]-
cm.
7.5 Standard stock solutions may be commercially purchased for each
element or as a multi-element mix. Internal standards may be purchased
as a mixed multi-element solution. The manufacturer's expiration date
and storage conditions must be adhered to.
7.5.1 Lead standard, 1000 mg/mL, NIST traceable, commercially
available with certificate of analysis. High Purity Standards Catalog
No. 100028-1, or equivalent.
7.5.2 Indium (In) standard, 1000 mg/mL, NIST traceable, commercially
available with certificate of analysis. High Purity Standards Catalog
No. 100024-1, or equivalent.
7.5.3 Bismuth (Bi) standard, 1000 mg/mL, NIST traceable,
commercially available with certificate of analysis. High Purity
Standards Catalog No. 100006-1, or equivalent.
7.5.4 Holmium (Ho) standard, 1000 mg/mL, NIST traceable,
commercially available with certificate of analysis. High Purity
Standards Catalog No. 100023-1, or equivalent.
7.5.5 Second source lead standard, 1000 mg/mL, NIST traceable,
commercially available with certificate of analysis. Must be from a
different vendor or lot than the standard described in 7.5.1. Inorganic
Ventures Catalog No. CGPB-1, or equivalent.
7.5.6 Standard Reference Materials, NIST SRM 2583, 2586, 2587 or
1648, or equivalent.\5\
---------------------------------------------------------------------------
\5\ Certificates of Analysis for these SRMs can be found at: http://
www.nist.gov/srm/index.cfm.
---------------------------------------------------------------------------
Note: The In, Bi, and Ho internal standards may also be purchased as
10 mg/mL standards. Calibration standards are prepared by diluting stock
standards to the appropriate levels in the same acid concentrations as
in the final sample volume. The typical range for calibration standards
is 0.001 to 2.00 mg/mL. At a minimum, the curve must contain a blank and
five Pb containing calibration standards. The calibration standards are
stored at ambient laboratory temperature. Calibration standards must be
prepared weekly and verified against a freshly prepared ICV using a
NIST-traceable source different from the calibration standards.
7.6 Internal standards may be added to the test solution or by on-
line addition. The nominal concentration for an internal standard is
0.010 mg/mL (10 ppb). Bismuth (Bi) or holmium (Ho) are the preferred
internal standards for Pb, but indium (In) may be used in the event the
sample contains Bi and high recoveries are observed.
7.7 Three laboratory blank solutions are required for analysis: (1)
The calibration blank is used in the construction of the calibration
curve and as a periodic check of system cleanliness (ICB and CCB); (2)
the reagent blank (RB) is carried through the extraction process to
assess possible contamination; and (3) the rinse blank is run between
samples to clean the sample introduction system. If RBs or laboratory
blanks yield results above the detection limit, the source of
contamination must be identified. Screening of labware and reagents is
addressed in Section 4.1.
7.7.1 The calibration blank is prepared in the same acid matrix as
the calibration standards and samples and contains all internal
standards used in the analysis.
7.7.2 The RB contains all reagents used in the extraction and is
carried through the extraction procedure at the same time as the
samples.
7.7.3 The rinse blank is a solution of 1 to 2 percent
HNO3 (v/v) in reagent grade water. A sufficient volume should
be prepared to flush the system between all standards and samples
analyzed.
7.7.4 The EPA currently provides glass fiber, quartz, and PTFE
filters to air monitoring agencies as requested annually. As part of the
procurement process, these filters are tested for acceptance by the EPA.
The current acceptance criteria for glass fiber and quartz filters is 15
mg per filter or 0.0075 mg/m\3\ using a nominal sample volume of 2000
m\3\ and 4.8 ng/cm\2\ or 0.0024 mg/m\3\ for PTFE filters using a nominal
sample volume of 24 m\3\. Acceptance test results for filters obtained
by the EPA are typically well below the criterion specified and also
below the recently revised Pb method performance detection limit of
0.0075 mg/m\3\; therefore, blank subtraction should not be performed.
7.7.5 If filters are not provided by the EPA for sample collection
and analysis, filter lot blanks should be analyzed for Pb content. For
large filter lots (500 filters), randomly select 20 to 30
filters from the lot and analyze the filter or filter strips for Pb. For
smaller filter lots, a lesser number of filters can be analyzed. Glass,
quartz and PTFE filters must not have levels of Pb above the criteria
specified in section 7.7.4 and, therefore, blank correction should not
be performed. If acceptance testing shows levels of Pb above the
criteria in Section 7.7.4, corrective action must be taken to reduce the
levels before proceeding.
7.8 The Initial Calibration Verification (ICV), Lower Level
Calibration Verification (LLCV), and Continuing Calibration Verification
(CCV) solutions are prepared from a different Pb source than the
calibration curve standards and at a concentration that is either at or
below the midpoint on the calibration curve, but within the calibration
range. Both are prepared in the same acid matrix as the calibration
standards. Note that the same solution may be used for both the ICV and
CCV. The ICV/CCV and LLCV solutions must be prepared fresh daily.
[[Page 72]]
7.9 Tuning Solution. Prepare a tuning solution according to the
instrument manufacturer's recommendations. This solution will be used to
verify the mass calibration and resolution of the instrument.
8.0 Quality Control (QC)
8.1 Standard QC practices shall be employed to assess the validity
of the data generated, including: MDL, RB, duplicate samples, spiked
samples, serial dilutions, ICV, CCV, LLCV, ICB, CCB, and SRMs/CRMs.
8.2 MDLs must be calculated in accordance with 40 CFR part 136,
Appendix B. RBs with low-level standard spikes are used to estimate the
MDL. The low-level standard spike is added to at least 7 individual
filter strips and then carried through the entire extraction procedure.
This will result in at least 7 individual samples to be used for the
MDL. The recommended range for spiking the strips is 1 to 5 times the
estimated MDL.
8.3 For each batch of samples, one RB and one reagent blank spike
(RBS) that is spiked at the same level as the sample spike (see Section
8.6) must be prepared and carried throughout the entire process. The
results of the RB must be below 0.001 mg/mL. The recovery for the RBS
must be within [20 percent of the expected value. If the RB yields a
result above 0.001 mg/mL, the source of contamination must be identified
and the extraction and analysis repeated. Reagents and labware must be
suspected as sources of contamination. Screening of reagents and labware
is addressed in Section 4.1.
8.4 Any samples that exceed the highest calibration standard must be
diluted and rerun so that the concentration falls within the curve. The
minimum dilution will be 1 to 5 with matrix matched acid solution.
8.5 The internal standard response must be monitored during the
analysis. If the internal standard response falls below 70 percent or
rises above 120 percent of expected due to possible matrix effects, the
sample must be diluted and reanalyzed. The minimum dilution will be 1 to
5 with matrix matched acid solution. If the first dilution does not
correct the problem, additional dilutions must be run until the internal
standard falls within the specified range.
8.6 For every batch of samples prepared, there must be one duplicate
and one spike sample prepared. The spike added is to be at a level that
falls within the calibration curve, normally the midpoint of the curve.
The initial plus duplicate sample must yield a relative percent
difference <=20 percent. The spike must be within [20 percent of the
expected value.
8.7 For each batch of samples, one extract must be diluted five-fold
and analyzed. The corrected dilution result must be within [10 percent
of the undiluted result. The sample chosen for the serial dilution shall
have a concentration at or above 10X the lowest standard in the curve to
ensure the diluted value falls within the curve. If the serial dilution
fails, chemical or physical interference should be suspected.
8.8 ICB, ICV, LLCV, CCB and CCV samples are to be run as shown in
the following table.
------------------------------------------------------------------------
Performance
Sample Frequency specification
------------------------------------------------------------------------
ICB....................... Prior to first sample Less than 0.001 mg/
mL.
ICV....................... Prior to first sample Within 90 to 110
percent of the
expected value.
LLCV...................... Daily, before first [10 percent of the
sample and after expected value.
last sample.
CCB....................... After every 10 Less than 0.001 mg/
extracted samples. mL.
CCV....................... After every 10 Within 90-110 percent
extracted samples. of the expected
value.
------------------------------------------------------------------------
If any of these QC samples fails to meet specifications, the source
of the unacceptable performance must be determined, the problem
corrected, and any samples not bracketed by passing QC samples must be
reanalyzed.
8.9 For each batch of samples, one certified reference material
(CRM) must be combined with a blank filter strip and carried through the
entire extraction procedure. The result must be within [10 percent of
the expected value.
8.10 For each run, a LLCV must be analyzed. The LLCV must be
prepared at a concentration not more than three times the lowest
calibration standard and at a concentration not used in the calibration
curve. The LLCV is used to assess performance at the low end of the
curve. If the LLCV fails ([10 percent of the expected value) the run
must be terminated, the problem corrected, the instrument recalibrated,
and the analysis repeated.
8.11 Pipettes used for volumetric transfer must have the calibration
checked at least once every 6 months and pass [1 percent accuracy and
<=1 percent RSD (precision) based on five replicate readings. The
pipettes must be checked weekly for accuracy with a single replicate.
Any pipette that does not meet [1 percent accuracy on the weekly check
must be removed from service, repaired, and pass a full calibration
check before use.
8.12 Samples with physical deformities are not quantitatively
analyzable. The analyst should visually check filters prior to
proceeding with preparation for holes, tears, or non-uniform deposit
which would prevent
[[Page 73]]
representative sampling. Document any deformities and qualify the data
with flags appropriately. Care must be taken to protect filters from
contamination. Filters must be kept covered prior to sample preparation.
9.0 ICP MS Calibration
Follow the instrument manufacturer's instructions for the routine
maintenance, cleaning, and ignition procedures for the specific ICP-MS
instrument being used.
9.1 Ignite the plasma and wait for at least one half hour for the
instrument to warm up before beginning any pre-analysis steps.
9.2 For the Thermo X-Series with Xt cones, aspirate a 10 ng/mL
tuning solution containing In, Bi, and Ce (Cerium). Monitor the
intensities of In, Bi, Ce, and CeO (Cerium oxide) and adjust the
instrument settings to achieve the highest In and Bi counts while
minimizing the CeO/Ce oxide ratio. For other instruments, follow the
manufacturer's recommended practice. Tune to meet the instrument
manufacturer's specifications. After tuning, place the sample aspiration
probe into a 2 percent HNO3 rinse solution for at least 5
minutes to flush the system.
9.3 Aspirate a 5 ng/mL solution containing Co, In, and Bi to perform
a daily instrument stability check. Run 10 replicates of the solution.
The percent RSD for the replicates must be less than 3 percent at all
masses. If the percent RSD is greater than 3 percent, the sample
introduction system, pump tubing, and tune should be examined, and the
analysis repeated. Place the sample aspiration probe into a 2 percent
HNO3 rinse solution for at least 5 minutes to flush the
system.
9.4 Load the calibration standards in the autosampler and analyze
using the same method parameters that will be used to analyze samples.
The curve must include one blank and at least 5 Pb-containing
calibration standards. The correlation coefficient must be at least
0.998 for the curve to be accepted. The lowest standard must recover [15
percent of the expected value and the remaining standards must recover
[10 percent of the expected value to be accepted.
9.5 Immediately after the calibration curve is completed, analyze an
ICV and an ICB. The ICV must be prepared from a different source of Pb
than the calibration standards. The ICV must recover 90-110 percent of
the expected value for the run to continue. The ICB must be less than
0.001 mg/mL. If either the ICV or the ICB fails, the run must be
terminated, the problem identified and corrected, and the analysis re-
started.
9.6 A LLCV, CCV and a CCB must be run after the ICV and ICB. A CCV
and CCB must be run at a frequency of not less than every 10 extracted
samples. A typical analytical run sequence would be: Calibration blank,
Calibration standards, ICV, ICB, LLCV, CCV, CCB, Extracts 1-10, CCV,
CCB, Extracts 11-20, CCV, CCB, Extracts 21-30, CCV, CCB, LLCV, CCV, CCB.
Extracts are any field sample or QC samples that have been carried
through the extraction process. The CCV solution is prepared from a
different source than the calibration standards and may be the same as
the ICV solution. The LLCV must be within [10 percent of expected value.
The CCV value must be within [10 percent of expected for the run to
continue. The CCB must be less than 0.001 mg/mL. If either the CCV,
LLCV, or CCB fails, the run must be terminated, the problem identified
and corrected, and the analysis re-started from the last passing CCV/
LLCV/CCB set.
9.7 A LLCV, CCV, and CCB set must be run at the end of the analysis.
The LLCV must be within [30 percent of expected value. If either the
CCV, LLCV, or CCB fails, the run must be terminated, the problem
identified and corrected, and the analysis re-started from the last
passing CCV/LLCV/CCB set.
10.0 Heated Ultrasonic Filter Strip Extraction
All plasticware (e.g., Nalgene) and glassware used in the extraction
procedures is soaked in 1 percent HNO3 (v/v) for at least 24
hours and rinsed with reagent water prior to use. All mechanical
pipettes used must be calibrated to [1 percent accuracy and <=1 percent
RSD at a minimum of once every 6 months.
10.1 Sample Preparation--Heated Ultrasonic Bath
10.1.1 Extraction solution (1.03M HNO3 + 2.23M HCl).
Prepare by adding 500 mL of deionized water to a 1000 mL flask, adding
64.4 mL of concentrated HNO3 and 182 mL of concentrated HCl,
shaking to mix, allowing solution to cool, diluting to volume with
reagent water, and inverting several times to mix. Extraction solution
must be prepared at least weekly.
10.1.2 Use a ceramic knife and non-metal ruler, or other cutting
device that will not contaminate the filter with Pb. Cut a \3/4\ inch x
8 inch strip from the glass fiber or quartz filter by cutting a strip
from the edge of the filter where it has been folded along the 10 inch
side at least 1 inch from the right or left side to avoid the un-sampled
area covered by the filter holder. The filters must be carefully handled
to avoid dislodging deposits.
10.1.3 Using plastic tweezers, roll the filter strip up in a coil
and place the rolled strip in the bottom of a labeled 50 mL extraction
tube. In a fume hood, add 15.00 [0.15 mL of the extraction solution (see
Section 10.1.1) using a calibrated mechanical pipette. Ensure that the
extraction solution completely covers the filter strip.
10.1.4 Loosely cap the 50 mL extraction tube and place it upright in
a plastic rack. When all samples have been prepared, place the racks in
an uncovered heated ultrasonic water bath that has been preheated to 80
[5
[[Page 74]]
C and ensure that the water level in the ultrasonic is above the level
of the extraction solution in the tubes but well below the level of the
extraction tube caps to avoid contamination. Start the ultrasonic bath
and allow the unit to run for 1 hour [5 minutes at 80 [5 C.
10.1.5 Remove the rack(s) from the ultrasonic bath and allow the
racks to cool.
10.1.6 Add 25.00 [0.25 mL of D.I. water with a calibrated mechanical
pipette to bring the sample to a final volume of 40.0 [0.4 mL. Tightly
cap the tubes, and vortex mix or shake vigorously. Place the extraction
tubes in an appropriate holder and centrifuge for 20 minutes at 2500
revolutions per minute (RPM).
CAUTION--Make sure that the centrifuge holder has a flat bottom to
support the flat bottomed extraction tubes.
10.1.7 Pour an aliquot of the solution into an autosampler vial for
ICP-MS analysis to avoid the potential for contamination. Do not pipette
an aliquot of solution into the autosampler vial.
10.1.8 Decant the extract to a clean tube, cap tightly, and store
the sample extract at ambient laboratory temperature. Extracts may be
stored for up to 6 months from the date of extraction.
10.2 47 mm PTFE Filter Extraction--Heated Ultrasonic Bath
10.2.1 Extraction solution (1.03M HNO3 + 2.23M HCl).
Prepare by adding 500 mL of D.I. water to a 1000mL flask, adding 64.4 mL
of concentrated HNO3 and 182 mL of concentrated HCl, shaking
to mix, allowing solution to cool, diluting to volume with reagent
water, and inverting several times to mix. Extraction solution must be
prepared at least weekly.
10.2.2 Using plastic tweezers, bend the PTFE filter into a U-shape
and insert the filter into a labeled 50 mL extraction tube with the
particle loaded side facing the center of the tube. Gently push the
filter to the bottom of the extraction tube. In a fume hood, add 25.00
[0.15 mL of the extraction solution (see Section 10.2.1) using a
calibrated mechanical pipette. Ensure that the extraction solution
completely covers the filter.
10.2.3 Loosely cap the 50 mL extraction tube and place it upright in
a plastic rack. When all samples have been prepared, place the racks in
an uncovered heated ultrasonic water bath that has been preheated to 80
[5 C and ensure that the water level in the ultrasonic is above the
level of the extraction solution in the tubes, but well below the level
of the extraction tube caps to avoid contamination. Start the ultrasonic
bath and allow the unit to run for 1 hour [5 minutes at 80 [5 C.
10.2.4 Remove the rack(s) from the ultrasonic bath and allow the
racks to cool.
10.2.5 Add 25.00 [0.25 mL of D.I. water with a calibrated mechanical
pipette to bring the sample to a final volume of 50.0 [0.4 mL. Tightly
cap the tubes, and vortex mix or shake vigorously. Allow samples to
stand for one hour to allow complete diffusion of the extracted Pb. The
sample is now ready for analysis.
Note: Although PTFE filters have only been extracted using the
ultrasonic extraction procedure in the development of this FRM, PTFE
filters are inert and have very low Pb content. No issues are expected
with the extraction of PTFE filters using the heated block digestion
method. However, prior to using PTFE filters in the heated block
extraction method, extraction method performance test using CRMs must be
done to confirm performance (see Section 8.9).
11.0 Hot Block Filter Strip Extraction
All plasticware (e.g., Nalgene) and glassware used in the extraction
procedures is soaked in 1 percent HNO3 for at least 24 hours
and rinsed with reagent water prior to use. All mechanical pipettes used
must be calibrated to [1 percent accuracy and <=1 percent RSD at a
minimum of once every 6 months.
11.1 Sample Preparation--Hot Block Digestion
11.1.1 Extraction solution (1:19, v/v HNO3). Prepare by
adding 500 mL of D.I. water to a 1000 mL flask, adding 50 mL of
concentrated HNO3, shaking to mix, allowing solution to cool,
diluting to volume with reagent water, and inverting several times to
mix. The extraction solution must be prepared at least weekly.
11.1.2 Use a ceramic knife and non-metal ruler, or other cutting
device that will not contaminate the filter with Pb. Cut a 1-inch x 8-
inch strip from the glass fiber or quartz filter. Cut a strip from the
edge of the filter where it has been folded along the 10-inch side at
least 1 inch from the right or left side to avoid the un-sampled area
covered by the filter holder. The filters must be carefully handled to
avoid dislodging particle deposits.
11.1.3 Using plastic tweezers, roll the filter strip up in a coil
and place the rolled strip in the bottom of a labeled 50 mL extraction
tube. In a fume hood, add 20.0 [0.15 mL of the extraction solution (see
Section 11.1.1) using a calibrated mechanical pipette. Ensure that the
extraction solution completely covers the filter strip.
11.1.4 Place the extraction tube in the heated block digester and
cover with a disposable polyethylene ribbed watch glass. Heat at 95 [5
C for 1 hour and ensure that the sample does not evaporate to dryness.
For proper heating, adjust the temperature control of the hot block such
that an uncovered vessel containing 50 mL of water placed in the center
of the hot block can be maintained at a temperature approximately, but
[[Page 75]]
no higher than 85C. Once the vessel is covered with a ribbed watch
glass, the temperature of the water will increase to approximately 95
C.
11.1.5 Remove the rack(s) from the heated block digester and allow
the samples to cool.
11.1.6 Bring the samples to a final volume of 50 mL with D.I. water.
Tightly cap the tubes, and vortex mix or shake vigorously for at least 5
seconds. Set aside (with the filter strip in the tube) for at least 30
minutes to allow the HNO3 trapped in the filter to diffuse
into the extraction solution.
11.1.7 Shake thoroughly (with the filter strip in the digestion
tube) and let settle for at least one hour. The sample is now ready for
analysis.
12.0 Measurement Procedure
12.1 Follow the instrument manufacturer's startup procedures for the
ICP-MS.
12.2 Set instrument parameters to the appropriate operating
conditions as presented in the instrument manufacturer's operating
manual and allow the instrument to warm up for at least 30 minutes.
12.3 Calibrate the instrument per Section 9.0 of this method.
12.4 Verify the instrument is suitable for analysis as defined in
Sections 9.2 and 9.3.
12.5 As directed in Section 8.0 of this method, analyze an ICV and
ICB immediately after the calibration curve followed by a LLCV, then CCV
and CCB. The acceptance requirements for these parameters are presented
in Section 8.8.
12.6 Analyze a CCV and a CCB after every 10 extracted samples.
12.7 Analyze a LLCV, CCV and CCB at the end of the analysis.
12.8 A typical sample run will include field samples, field sample
duplicates, spiked field sample extracts, serially diluted samples, the
set of QC samples listed in Section 8.8 above, and one or more CRMs or
SRMs.
12.9 Any samples that exceed the highest standard in the calibration
curve must be diluted and reanalyzed so that the diluted concentration
falls within the calibration curve.
13.0 Results
13.1 The filter results must be initially reported in mg/mL as
analyzed. Any additional dilutions must be accounted for. The internal
standard recoveries must be included in the result calculation; this is
done by the ICP-MS software for most commercially-available instruments.
Final results should be reported in mg Pb/m\3\ to three significant
figures as follows:
C = ((mg Pb/mL * Vf * A)* D))/Vs
Where:
C = Concentration, mg Pb/m\3\
mg Pb/mL = Lead concentration in solution
Vf = Total extraction solution volume
A = Area correction; \3/4\ x 8 strip = 5.25 in\2\
analyzed, A = 12.0 or 1 x 8 strip = 7
in\2\ analyzed, A = 9.0
D = dilution factor (if required)
Vs = Actual volume of air sampled
The calculation assumes the use of a standard 8-inch x 10-inch TSP
filter which has a sampled area of 9-inch x 7-inch (63.0 in\2\) due to
the \1/2\-inch filter holder border around the outer edge. The \3/4\-
inch x 8-inch strip has a sampled area of \3/4\-inch x 7-inch (5.25
in\2\). The 1-inch x 8-inch strip has a sampled area of 1-inch x 7-inch
(7.0 in\2\). If filter lot blanks are provided for analysis, refer to
Section 7.7.5 of this method for guidance on testing.
14.0 Method Performance
Information in this section is an example of typical performance
results achieved by this method. Actual performance must be demonstrated
by each individual laboratory and instrument.
14.1 Performance data have been collected to estimate MDLs for this
method. MDLs were determined in accordance with 40 CFR 136, Appendix B.
MDLs were estimated for glass fiber, quartz, and PTFE filters using
seven reagent/filter blank solutions spiked with low level Pb at three
times the estimated MDL of 0.001 mg/mL. Tables 1, 3, and 5 shows the
MDLs estimated using both the ultrasonic and hot block extraction
methods for glass fiber and quartz filters and the ultrasonic method for
PTFE filters. The MDLs are well below the EPA requirement of five
percent of the current Pb NAAQS or 0.0075 mg/m\3\. These MDLs are
provided to demonstrate the adequacy of the method's performance for Pb
in TSP. Each laboratory using this method should determine MDLs in their
laboratory and verify them annually. It is recommended that laboratories
also perform the optional iterative procedure in 40 CFR 136, Appendix B
to verify the reasonableness of the estimated MDL and subsequent MDL
determinations.
14.2 Extraction method recovery tests with glass fiber and quartz
filter strips, and PTFE filters spiked with NIST SRMs were performed
using the ultrasonic/HNO3 and HCl filter extraction methods
and measurement of the dissolved Pb with ICP-MS. Tables 2, 4, and 6 show
recoveries obtained with these SRM. The recoveries for all SRMs were
=90 percent at the 95 percent confidence level.
[[Page 76]]
Table 1--Method Detection Limits Determined by Analysis of Reagent/Glass
Fiber Filter Blanks Spiked With Low-level Pb Solution
------------------------------------------------------------------------
Ultrasonic Hotblock
extraction extraction
method method
-------------------------
mg/m\3\* mg/m\3\*
------------------------------------------------------------------------
n = 1......................................... 0.0000702 0.000533
n = 2......................................... 0.0000715 0.000482
n = 3......................................... 0.0000611 0.000509
n = 4......................................... 0.0000587 0.000427
n = 5......................................... 0.0000608 0.000449
n = 6......................................... 0.0000607 0.000539
n = 7......................................... 0.0000616 0.000481
Average....................................... 0.0000635 0.000489
Standard Deviation............................ 0.0000051 0.000042
MDL**......................................... 0.0000161 0.000131
------------------------------------------------------------------------
* Assumes 2000 m\3\ of air sampled.
** MDL is 3.143 times the standard deviation of the results for seven
sample replicates analyzed.
Table 2--Recoveries of Lead From NIST SRMs Spiked Onto Glass Fiber Filters
----------------------------------------------------------------------------------------------------------------
Recovery, ICP-MS, (percent)
---------------------------------------------------------------
Extraction method NIST 1547 NIST 2582
plant NIST 2709 soil NIST 2583 dust paint
----------------------------------------------------------------------------------------------------------------
Ultrasonic Bath................................. 100 [4 98 [1 103 [8 101 [0
Block Digestion................................. 92 [7 98 [3 103 [4 94 [4
----------------------------------------------------------------------------------------------------------------
Table 3--Method Detection Limits Determined by Analysis of Reagent/
Quartz Filter Blanks Spiked With Low-level Pb Solution
------------------------------------------------------------------------
Ultrasonic Hotblock
extraction extraction
method method
-------------------------
mg/m\3\* mg/m\3\*
------------------------------------------------------------------------
n = 1......................................... 0.000533 0.000274
n = 2......................................... 0.000552 0.000271
n = 3......................................... 0.000534 0.000281
n = 4......................................... 0.000684 0.000269
n = 5......................................... 0.000532 0.000278
n = 6......................................... 0.000532 0.000272
n = 7......................................... 0.000552 0.000261
Average....................................... 0.000560 0.000272
Standard Deviation............................ 0.000055 0.000007
MDL**......................................... 0.000174 0.000021
------------------------------------------------------------------------
* Assumes 2000 m\3\ of air sampled.
** MDL is 3.143 times the standard deviation of the results for seven
sample replicates analyzed.
Table 4--Recoveries of Lead From NIST SRMs Spiked Onto Quartz Fiber Filters
----------------------------------------------------------------------------------------------------------------
Recovery, ICP-MS, (percent)
---------------------------------------------------------------
Extraction method NIST 1547 NIST 2582
plant NIST 2709 soil NIST 2583 dust paint
----------------------------------------------------------------------------------------------------------------
Ultrasonic Bath................................. 101 [6 95 [1 91 [5 93 [1
Block Digestion................................. 106 [3 104 [3 92 [6 95 [2
----------------------------------------------------------------------------------------------------------------
Table 5--Method Detection Limits Determined by Analysis of Reagent/PTFE
Filter Blanks Spiked With Low-Level Pb Solution
------------------------------------------------------------------------
Ultrasonic
extraction
method
---------------
mg/m\3\*
------------------------------------------------------------------------
n = 1................................................... 0.001775
n = 2................................................... 0.001812
[[Page 77]]
n = 3................................................... 0.001773
n = 4................................................... 0.001792
n = 5................................................... 0.001712
n = 6................................................... 0.001767
n = 7................................................... 0.001778
Average................................................. 0.001773
Standard Deviation...................................... 0.000031
MDL**................................................... 0.000097
------------------------------------------------------------------------
* Assumes 24 m\3\ of air sampled.
** MDL is 3.143 times the standard deviation of the results for seven
sample replicates analyzed.
Table 6--Recoveries of Lead From NIST SRMs Spiked Onto PTFE Filters
----------------------------------------------------------------------------------------------------------------
Recovery, ICP-MS, (percent)
---------------------------------------------------------------
Extraction method NIST 1547 NIST 2582
plant NIST 2709 soil NIST 2583 dust paint
----------------------------------------------------------------------------------------------------------------
Ultrasonic Bath................................. 104 [5 93 [1 108 [11 96 [3
----------------------------------------------------------------------------------------------------------------
15.0 Pollution Prevention
15.1 Pollution prevention encompasses any technique that reduces or
eliminates the quantity and/or toxicity of waste at the point of
generation. Numerous opportunities for pollution prevention exist in
laboratory operations. Whenever feasible, laboratory personnel should
use pollution prevention techniques to address their waste generation.
The sources of pollution generated with this procedure are waste acid
extracts and Pb-containing solutions.
15.2 For information about pollution prevention that may be
applicable to laboratories and research institutions, consult Less is
Better: Laboratory Chemical Management for Waste Reduction, available
from the American Chemical Society's Department of Government Relations
and Science Policy, 1155 16th St. NW., Washington, DC 20036,
www.acs.org.
16.0 Waste Management
16.1 Laboratory waste management practices must be conducted
consistent with all applicable rules and regulations. Laboratories are
urged to protect air, water, and land by minimizing all releases from
hood and bench operations, complying with the letter and spirit of any
sewer and discharge permits and regulations, and by complying with all
solid and hazardous waste regulation. For further information on waste
management, consult The Waste Management Manual for Laboratory Personnel
available from the American Chemical Society listed in Section 15.2 of
this method.
16.2 Waste HNO3, HCl, and solutions containing these
reagents and/or Pb must be placed in labeled bottles and delivered to a
commercial firm that specializes in removal of hazardous waste.
17.0 References
FACDQ (2007). Report of the Federal Advisory Committee on Detection and
Quantitation Approaches and Uses in Clean Water Act Programs,
submitted to the U.S. EPA December 2007. Available: http://
water.epa.gov/scitech/methods/cwa/det/upload/final-report-
200712.pdf.
Rice J (2013). Results from the Development of a New Federal Reference
Method (FRM) for Lead in Total Suspended Particulate (TSP)
Matter. Docket EPA-HQ-OAR-2012-0210.
U.S. EPA (2007). Method 6020A--Inductively Coupled Plasma Mass
Spectrometry. U.S. Environmental Protection Agency. Revision
1, February 2007. Available: http://www.epa.gov/osw/hazard/
testmethods/sw846/pdfs/6020a.pdf.
U.S. EPA (2011). A Laboratory Study of Procedures Evaluated by the
Federal Advisory Committee on Detection and Quantitation
Approaches and Uses in Clean Water Act Programs. December
2011. Available: http://water.epa.gov/scitech/methods/cwa/det/
upload/fac--report--2009.pdf.
[78 FR 40004, July 3, 2013]
[[Page 78]]
Sec. Appendix H to Part 50--Interpretation of the 1-Hour Primary and
Secondary National Ambient Air Quality Standards for Ozone
1. General
This appendix explains how to determine when the expected number of
days per calendar year with maximum hourly average concentrations above
0.12 ppm (235 mg/m\3\) is equal to or less than 1. An expanded
discussion of these procedures and associated examples are contained in
the ``Guideline for Interpretation of Ozone Air Quality Standards.'' For
purposes of clarity in the following discussion, it is convenient to use
the term ``exceedance'' to describe a daily maximum hourly average ozone
measurement that is greater than the level of the standard. Therefore,
the phrase ``expected number of days with maximum hourly average ozone
concentrations above the level of the standard'' may be simply stated as
the ``expected number of exceedances.''
The basic principle in making this determination is relatively
straightforward. Most of the complications that arise in determining the
expected number of annual exceedances relate to accounting for
incomplete sampling. In general, the average number of exceedances per
calendar year must be less than or equal to 1. In its simplest form, the
number of exceedances at a monitoring site would be recorded for each
calendar year and then averaged over the past 3 calendar years to
determine if this average is less than or equal to 1.
2. Interpretation of Expected Exceedances
The ozone standard states that the expected number of exceedances
per year must be less than or equal to 1. The statistical term
``expected number'' is basically an arithmetic average. The following
example explains what it would mean for an area to be in compliance with
this type of standard. Suppose a monitoring station records a valid
daily maximum hourly average ozone value for every day of the year
during the past 3 years. At the end of each year, the number of days
with maximum hourly concentrations above 0.12 ppm is determined and this
number is averaged with the results of previous years. As long as this
average remains ``less than or equal to 1,'' the area is in compliance.
3. Estimating the Number of Exceedances for a Year
In general, a valid daily maximum hourly average value may not be
available for each day of the year, and it will be necessary to account
for these missing values when estimating the number of exceedances for a
particular calendar year. The purpose of these computations is to
determine if the expected number of exceedances per year is less than or
equal to 1. Thus, if a site has two or more observed exceedances each
year, the standard is not met and it is not necessary to use the
procedures of this section to account for incomplete sampling.
The term ``missing value'' is used here in the general sense to
describe all days that do not have an associated ozone measurement. In
some cases, a measurement might actually have been missed but in other
cases no measurement may have been scheduled for that day. A daily
maximum ozone value is defined to be the highest hourly ozone value
recorded for the day. This daily maximum value is considered to be valid
if 75 percent of the hours from 9:01 a.m. to 9:00 p.m. (LST) were
measured or if the highest hour is greater than the level of the
standard.
In some areas, the seasonal pattern of ozone is so pronounced that
entire months need not be sampled because it is extremely unlikely that
the standard would be exceeded. Any such waiver of the ozone monitoring
requirement would be handled under provisions of 40 CFR, part 58. Some
allowance should also be made for days for which valid daily maximum
hourly values were not obtained but which would quite likely have been
below the standard. Such an allowance introduces a complication in that
it becomes necessary to define under what conditions a missing value may
be assumed to have been less than the level of the standard. The
following criterion may be used for ozone:
A missing daily maximum ozone value may be assumed to be less than
the level of the standard if the valid daily maxima on both the
preceding day and the following day do not exceed 75 percent of the
level of the standard.
Let z denote the number of missing daily maximum values that may be
assumed to be less than the standard. Then the following formula shall
be used to estimate the expected number of exceedances for the year:
[GRAPHIC] [TIFF OMITTED] TC08NO91.086
(*Indicates multiplication.)
where:
e = the estimated number of exceedances for the year,
N = the number of required monitoring days in the year,
n = the number of valid daily maxima,
v = the number of daily values above the level of the standard, and
z = the number of days assumed to be less than the standard level.
This estimated number of exceedances shall be rounded to one decimal
place (fractional parts equal to 0.05 round up).
[[Page 79]]
It should be noted that N will be the total number of days in the
year unless the appropriate Regional Administrator has granted a waiver
under the provisions of 40 CFR part 58.
The above equation may be interpreted intuitively in the following
manner. The estimated number of exceedances is equal to the observed
number of exceedances (v) plus an increment that accounts for incomplete
sampling. There were (N-n) missing values for the year but a certain
number of these, namely z, were assumed to be less than the standard.
Therefore, (N-n-z) missing values are considered to include possible
exceedances. The fraction of measured values that are above the level of
the standard is v/n. It is assumed that this same fraction applies to
the (N-n-z) missing values and that (v/n)*(N-n-z) of these values would
also have exceeded the level of the standard.
[44 FR 8220, Feb. 8, 1979, as amended at 62 FR 38895, July 18, 1997]
Sec. Appendix I to Part 50--Interpretation of the 8-Hour Primary and
Secondary National Ambient Air Quality Standards for Ozone
1. General.
This appendix explains the data handling conventions and
computations necessary for determining whether the national 8-hour
primary and secondary ambient air quality standards for ozone specified
in Sec. 50.10 are met at an ambient ozone air quality monitoring site.
Ozone is measured in the ambient air by a reference method based on
appendix D of this part. Data reporting, data handling, and computation
procedures to be used in making comparisons between reported ozone
concentrations and the level of the ozone standard are specified in the
following sections. Whether to exclude, retain, or make adjustments to
the data affected by stratospheric ozone intrusion or other natural
events is subject to the approval of the appropriate Regional
Administrator.
2. Primary and Secondary Ambient Air Quality Standards for Ozone.
2.1 Data Reporting and Handling Conventions.
2.1.1 Computing 8-hour averages. Hourly average concentrations shall
be reported in parts per million (ppm) to the third decimal place, with
additional digits to the right being truncated. Running 8-hour averages
shall be computed from the hourly ozone concentration data for each hour
of the year and the result shall be stored in the first, or start, hour
of the 8-hour period. An 8-hour average shall be considered valid if at
least 75% of the hourly averages for the 8-hour period are available. In
the event that only 6 (or 7) hourly averages are available, the 8-hour
average shall be computed on the basis of the hours available using 6
(or 7) as the divisor. (8-hour periods with three or more missing hours
shall not be ignored if, after substituting one-half the minimum
detectable limit for the missing hourly concentrations, the 8-hour
average concentration is greater than the level of the standard.) The
computed 8-hour average ozone concentrations shall be reported to three
decimal places (the insignificant digits to the right of the third
decimal place are truncated, consistent with the data handling
procedures for the reported data.)
2.1.2 Daily maximum 8-hour average concentrations. (a) There are 24
possible running 8-hour average ozone concentrations for each calendar
day during the ozone monitoring season. (Ozone monitoring seasons vary
by geographic location as designated in part 58, appendix D to this
chapter.) The daily maximum 8-hour concentration for a given calendar
day is the highest of the 24 possible 8-hour average concentrations
computed for that day. This process is repeated, yielding a daily
maximum 8-hour average ozone concentration for each calendar day with
ambient ozone monitoring data. Because the 8-hour averages are recorded
in the start hour, the daily maximum 8-hour concentrations from two
consecutive days may have some hourly concentrations in common.
Generally, overlapping daily maximum 8-hour averages are not likely,
except in those non-urban monitoring locations with less pronounced
diurnal variation in hourly concentrations.
(b) An ozone monitoring day shall be counted as a valid day if valid
8-hour averages are available for at least 75% of possible hours in the
day (i.e., at least 18 of the 24 averages). In the event that less than
75% of the 8-hour averages are available, a day shall also be counted as
a valid day if the daily maximum 8-hour average concentration for that
day is greater than the level of the ambient standard.
2.2 Primary and Secondary Standard-related Summary Statistic. The
standard-related summary statistic is the annual fourth-highest daily
maximum 8-hour ozone concentration, expressed in parts per million,
averaged over three years. The 3-year average shall be computed using
the three most recent, consecutive calendar years of monitoring data
meeting the data completeness requirements described in this appendix.
The computed 3-year average of the annual fourth-highest daily maximum
8-hour average ozone concentrations shall be expressed to three decimal
places (the remaining digits to the right are truncated.)
2.3 Comparisons with the Primary and Secondary Ozone Standards. (a)
The primary and secondary ozone ambient air quality standards are met at
an ambient air quality monitoring site when the 3-year average of the
annual fourth-highest daily maximum 8-hour
[[Page 80]]
average ozone concentration is less than or equal to 0.08 ppm. The
number of significant figures in the level of the standard dictates the
rounding convention for comparing the computed 3-year average annual
fourth-highest daily maximum 8-hour average ozone concentration with the
level of the standard. The third decimal place of the computed value is
rounded, with values equal to or greater than 5 rounding up. Thus, a
computed 3-year average ozone concentration of 0.085 ppm is the smallest
value that is greater than 0.08 ppm.
(b) This comparison shall be based on three consecutive, complete
calendar years of air quality monitoring data. This requirement is met
for the three year period at a monitoring site if daily maximum 8-hour
average concentrations are available for at least 90%, on average, of
the days during the designated ozone monitoring season, with a minimum
data completeness in any one year of at least 75% of the designated
sampling days. When computing whether the minimum data completeness
requirements have been met, meteorological or ambient data may be
sufficient to demonstrate that meteorological conditions on missing days
were not conducive to concentrations above the level of the standard.
Missing days assumed less than the level of the standard are counted for
the purpose of meeting the data completeness requirement, subject to the
approval of the appropriate Regional Administrator.
(c) Years with concentrations greater than the level of the standard
shall not be ignored on the ground that they have less than complete
data. Thus, in computing the 3-year average fourth maximum
concentration, calendar years with less than 75% data completeness shall
be included in the computation if the average annual fourth maximum 8-
hour concentration is greater than the level of the standard.
(d) Comparisons with the primary and secondary ozone standards are
demonstrated by examples 1 and 2 in paragraphs (d)(1) and (d) (2)
respectively as follows:
(1) As shown in example 1, the primary and secondary standards are
met at this monitoring site because the 3-year average of the annual
fourth-highest daily maximum 8-hour average ozone concentrations (i.e.,
0.084 ppm) is less than or equal to 0.08 ppm. The data completeness
requirement is also met because the average percent of days with valid
ambient monitoring data is greater than 90%, and no single year has less
than 75% data completeness.
Example 1. Ambient monitoring site attaining the primary and secondary ozone standards
----------------------------------------------------------------------------------------------------------------
1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest
Percent Daily Max 8- Daily Max 8- Daily Max 8- Daily Max 8- Daily Max 8-
Year Valid Days hour Conc. hour Conc. hour Conc. hour Conc. hour Conc.
(ppm) (ppm) (ppm) (ppm) (ppm)
----------------------------------------------------------------------------------------------------------------
1993.............................. 100% 0.092 0.091 0.090 0.088 0.085
----------------------------------------------------------------------------------------------------------------
1994.............................. 96% 0.090 0.089 0.086 0.084 0.080
----------------------------------------------------------------------------------------------------------------
1995.............................. 98% 0.087 0.085 0.083 0.080 0.075
================================================================================================================
Average....................... 98%
----------------------------------------------------------------------------------------------------------------
(2) As shown in example 2, the primary and secondary standards are
not met at this monitoring site because the 3-year average of the
fourth-highest daily maximum 8-hour average ozone concentrations (i.e.,
0.093 ppm) is greater than 0.08 ppm. Note that the ozone concentration
data for 1994 is used in these computations, even though the data
capture is less than 75%, because the average fourth-highest daily
maximum 8-hour average concentration is greater than 0.08 ppm.
Example 2. Ambient Monitoring Site Failing to Meet the Primary and Secondary Ozone Standards
----------------------------------------------------------------------------------------------------------------
1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest
Percent Daily Max 8- Daily Max 8- Daily Max 8- Daily Max 8- Daily Max 8-
Year Valid Days hour Conc. hour Conc. hour Conc. hour Conc. hour Conc.
(ppm) (ppm) (ppm) (ppm) (ppm)
----------------------------------------------------------------------------------------------------------------
1993.............................. 96% 0.105 0.103 0.103 0.102 0.102
----------------------------------------------------------------------------------------------------------------
1994.............................. 74% 0.090 0.085 0.082 0.080 0.078
----------------------------------------------------------------------------------------------------------------
1995.............................. 98% 0.103 0.101 0.101 0.097 0.095
================================================================================================================
Average....................... 89%
----------------------------------------------------------------------------------------------------------------
[[Page 81]]
3. Design Values for Primary and Secondary Ambient Air Quality
Standards for Ozone. The air quality design value at a monitoring site
is defined as that concentration that when reduced to the level of the
standard ensures that the site meets the standard. For a concentration-
based standard, the air quality design value is simply the standard-
related test statistic. Thus, for the primary and secondary ozone
standards, the 3-year average annual fourth-highest daily maximum 8-hour
average ozone concentration is also the air quality design value for the
site.
[62 FR 38895, July 18, 1997]
Sec. Appendix J to Part 50--Reference Method for the Determination of
Particulate Matter as PM10 in the Atmosphere
1.0 Applicability.
1.1 This method provides for the measurement of the mass
concentration of particulate matter with an aerodynamic diameter less
than or equal to a nominal 10 micrometers (PM1O) in ambient
air over a 24-hour period for purposes of determining attainment and
maintenance of the primary and secondary national ambient air quality
standards for particulate matter specified in Sec. 50.6 of this
chapter. The measurement process is nondestructive, and the
PM10 sample can be subjected to subsequent physical or
chemical analyses. Quality assurance procedures and guidance are
provided in part 58, appendices A and B, of this chapter and in
References 1 and 2.
2.0 Principle.
2.1 An air sampler draws ambient air at a constant flow rate into a
specially shaped inlet where the suspended particulate matter is
inertially separated into one or more size fractions within the
PM10 size range. Each size fraction in the PM1O
size range is then collected on a separate filter over the specified
sampling period. The particle size discrimination characteristics
(sampling effectiveness and 50 percent cutpoint) of the sampler inlet
are prescribed as performance specifications in part 53 of this chapter.
2.2 Each filter is weighed (after moisture equilibration) before and
after use to determine the net weight (mass) gain due to collected
PM10. The total volume of air sampled, corrected to EPA
reference conditions (25 C, 101.3 kPa), is determined from the measured
flow rate and the sampling time. The mass concentration of
PM10 in the ambient air is computed as the total mass of
collected particles in the PM10 size range divided by the
volume of air sampled, and is expressed in micrograms per standard cubic
meter (mg/std m\3\). For PM10 samples collected at
temperatures and pressures significantly different from EPA reference
conditions, these corrected concentrations sometimes differ
substantially from actual concentrations (in micrograms per actual cubic
meter), particularly at high elevations. Although not required, the
actual PM10 concentration can be calculated from the
corrected concentration, using the average ambient temperature and
barometric pressure during the sampling period.
2.3 A method based on this principle will be considered a reference
method only if (a) the associated sampler meets the requirements
specified in this appendix and the requirements in part 53 of this
chapter, and (b) the method has been designated as a reference method in
accordance with part 53 of this chapter.
3.0 Range.
3.1 The lower limit of the mass concentration range is determined by
the repeatability of filter tare weights, assuming the nominal air
sample volume for the sampler. For samplers having an automatic filter-
changing mechanism, there may be no upper limit. For samplers that do
not have an automatic filter-changing mechanism, the upper limit is
determined by the filter mass loading beyond which the sampler no longer
maintains the operating flow rate within specified limits due to
increased pressure drop across the loaded filter. This upper limit
cannot be specified precisely because it is a complex function of the
ambient particle size distribution and type, humidity, filter type, and
perhaps other factors. Nevertheless, all samplers should be capable of
measuring 24-hour PM10 mass concentrations of at least 300
mg/std m\3\ while maintaining the operating flow rate within the
specified limits.
4.0 Precision.
4.1 The precision of PM10 samplers must be 5 mg/m\3\ for
PM10 concentrations below 80 mg/m\3\ and 7 percent for
PM10 concentrations above 80 mg/m\3\, as required by part 53
of this chapter, which prescribes a test procedure that determines the
variation in the PM10 concentration measurements of identical
samplers under typical sampling conditions. Continual assessment of
precision via collocated samplers is required by part 58 of this chapter
for PM10 samplers used in certain monitoring networks.
5.0 Accuracy.
5.1 Because the size of the particles making up ambient particulate
matter varies over a wide range and the concentration of particles
varies with particle size, it is difficult to define the absolute
accuracy of PM10 samplers. Part 53 of this chapter provides a
specification for the sampling effectiveness of PM10
samplers. This specification requires that the expected mass
concentration calculated for a candidate PM10 sampler, when
sampling a specified particle size distribution, be within [10 percent
of that calculated
[[Page 82]]
for an ideal sampler whose sampling effectiveness is explicitly
specified. Also, the particle size for 50 percent sampling effectiveness
is required to be 10 [0.5 micrometers. Other specifications related to
accuracy apply to flow measurement and calibration, filter media,
analytical (weighing) procedures, and artifact. The flow rate accuracy
of PM10 samplers used in certain monitoring networks is
required by part 58 of this chapter to be assessed periodically via flow
rate audits.
6.0 Potential Sources of Error.
6.1 Volatile Particles. Volatile particles collected on filters are
often lost during shipment and/or storage of the filters prior to the
post-sampling weighing \3\. Although shipment or storage of loaded
filters is sometimes unavoidable, filters should be reweighed as soon as
practical to minimize these losses.
6.2 Artifacts. Positive errors in PM10 concentration
measurements may result from retention of gaseous species on filters. \4
5\ Such errors include the retention of sulfur dioxide and nitric acid.
Retention of sulfur dioxide on filters, followed by oxidation to
sulfate, is referred to as artifact sulfate formation, a phenomenon
which increases with increasing filter alkalinity. \6\ Little or no
artifact sulfate formation should occur using filters that meet the
alkalinity specification in section 7.2.4. Artifact nitrate formation,
resulting primarily from retention of nitric acid, occurs to varying
degrees on many filter types, including glass fiber, cellulose ester,
and many quartz fiber filters. \5 7 8 9 10\ Loss of true atmospheric
particulate nitrate during or following sampling may also occur due to
dissociation or chemical reaction. This phenomenon has been observed on
Teflon filters \8\ and inferred for quartz fiber filters. \11 12\ The
magnitude of nitrate artifact errors in PM10 mass
concentration measurements will vary with location and ambient
temperature; however, for most sampling locations, these errors are
expected to be small.
6.3 Humidity. The effects of ambient humidity on the sample are
unavoidable. The filter equilibration procedure in section 9.0 is
designed to minimize the effects of moisture on the filter medium.
6.4 Filter Handling. Careful handling of filters between presampling
and postsampling weighings is necessary to avoid errors due to damaged
filters or loss of collected particles from the filters. Use of a filter
cartridge or cassette may reduce the magnitude of these errors. Filters
must also meet the integrity specification in section 7.2.3.
6.5 Flow Rate Variation. Variations in the sampler's operating flow
rate may alter the particle size discrimination characteristics of the
sampler inlet. The magnitude of this error will depend on the
sensitivity of the inlet to variations in flow rate and on the particle
distribution in the atmosphere during the sampling period. The use of a
flow control device (section 7.1.3) is required to minimize this error.
6.6 Air Volume Determination. Errors in the air volume determination
may result from errors in the flow rate and/or sampling time
measurements. The flow control device serves to minimize errors in the
flow rate determination, and an elapsed time meter (section 7.1.5) is
required to minimize the error in the sampling time measurement.
7.0 Apparatus.
7.1 PM10 Sampler.
7.1.1 The sampler shall be designed to:
a. Draw the air sample into the sampler inlet and through the
particle collection filter at a uniform face velocity.
b. Hold and seal the filter in a horizontal position so that sample
air is drawn downward through the filter.
c. Allow the filter to be installed and removed conveniently.
d. Protect the filter and sampler from precipitation and prevent
insects and other debris from being sampled.
e. Minimize air leaks that would cause error in the measurement of
the air volume passing through the filter.
f. Discharge exhaust air at a sufficient distance from the sampler
inlet to minimize the sampling of exhaust air.
g. Minimize the collection of dust from the supporting surface.
7.1.2 The sampler shall have a sample air inlet system that, when
operated within a specified flow rate range, provides particle size
discrimination characteristics meeting all of the applicable performance
specifications prescribed in part 53 of this chapter. The sampler inlet
shall show no significant wind direction dependence. The latter
requirement can generally be satisfied by an inlet shape that is
circularly symmetrical about a vertical axis.
7.1.3 The sampler shall have a flow control device capable of
maintaining the sampler's operating flow rate within the flow rate
limits specified for the sampler inlet over normal variations in line
voltage and filter pressure drop.
7.1.4 The sampler shall provide a means to measure the total flow
rate during the sampling period. A continuous flow recorder is
recommended but not required. The flow measurement device shall be
accurate to [2 percent.
7.1.5 A timing/control device capable of starting and stopping the
sampler shall be used to obtain a sample collection period of 24 [1 hr
(1,440 [60 min). An elapsed time meter, accurate to within [15 minutes,
shall be used to measure sampling time. This meter is optional for
samplers with continuous flow recorders if the sampling time
[[Page 83]]
measurement obtained by means of the recorder meets the [15 minute
accuracy specification.
7.1.6 The sampler shall have an associated operation or instruction
manual as required by part 53 of this chapter which includes detailed
instructions on the calibration, operation, and maintenance of the
sampler.
7.2 Filters.
7.2.1 Filter Medium. No commercially available filter medium is
ideal in all respects for all samplers. The user's goals in sampling
determine the relative importance of various filter characteristics
(e.g., cost, ease of handling, physical and chemical characteristics,
etc.) and, consequently, determine the choice among acceptable filters.
Furthermore, certain types of filters may not be suitable for use with
some samplers, particularly under heavy loading conditions (high mass
concentrations), because of high or rapid increase in the filter flow
resistance that would exceed the capability of the sampler's flow
control device. However, samplers equipped with automatic filter-
changing mechanisms may allow use of these types of filters. The
specifications given below are minimum requirements to ensure
acceptability of the filter medium for measurement of PM10
mass concentrations. Other filter evaluation criteria should be
considered to meet individual sampling and analysis objectives.
7.2.2 Collection Efficiency. =99 percent, as measured by
the DOP test (ASTM-2986) with 0.3 mm particles at the sampler's
operating face velocity.
7.2.3 Integrity. [5 mg/m\3\ (assuming sampler's nominal 24-hour air
sample volume). Integrity is measured as the PM10
concentration equivalent corresponding to the average difference between
the initial and the final weights of a random sample of test filters
that are weighed and handled under actual or simulated sampling
conditions, but have no air sample passed through them (i.e., filter
blanks). As a minimum, the test procedure must include initial
equilibration and weighing, installation on an inoperative sampler,
removal from the sampler, and final equilibration and weighing.
7.2.4 Alkalinity. <25 microequivalents/gram of filter, as measured
by the procedure given in Reference 13 following at least two months
storage in a clean environment (free from contamination by acidic gases)
at room temperature and humidity.
7.3 Flow Rate Transfer Standard. The flow rate transfer standard
must be suitable for the sampler's operating flow rate and must be
calibrated against a primary flow or volume standard that is traceable
to the National Bureau of Standards (NBS). The flow rate transfer
standard must be capable of measuring the sampler's operating flow rate
with an accuracy of [2 percent.
7.4 Filter Conditioning Environment.
7.4.1 Temperature range: 15 to 30 C.
7.4.2 Temperature control: [3 C.
7.4.3 Humidity range: 20% to 45% RH.
7.4.4 Humidity control: [5% RH.
7.5 Analytical Balance. The analytical balance must be suitable for
weighing the type and size of filters required by the sampler. The range
and sensitivity required will depend on the filter tare weights and mass
loadings. Typically, an analytical balance with a sensitivity of 0.1 mg
is required for high volume samplers (flow rates 0.5 m\3\/
min). Lower volume samplers (flow rates <0.5 m\3\/min) will require a
more sensitive balance.
8.0 Calibration.
8.1 General Requirements.
8.1.1 Calibration of the sampler's flow measurement device is
required to establish traceability of subsequent flow measurements to a
primary standard. A flow rate transfer standard calibrated against a
primary flow or volume standard shall be used to calibrate or verify the
accuracy of the sampler's flow measurement device.
8.1.2 Particle size discrimination by inertial separation requires
that specific air velocities be maintained in the sampler's air inlet
system. Therefore, the flow rate through the sampler's inlet must be
maintained throughout the sampling period within the design flow rate
range specified by the manufacturer. Design flow rates are specified as
actual volumetric flow rates, measured at existing conditions of
temperature and pressure (Qa). In contrast, mass
concentrations of PM10 are computed using flow rates
corrected to EPA reference conditions of temperature and pressure
(Qstd).
8.2 Flow Rate Calibration Procedure.
8.2.1 PM10 samplers employ various types of flow control
and flow measurement devices. The specific procedure used for flow rate
calibration or verification will vary depending on the type of flow
controller and flow indicator employed. Calibration in terms of actual
volumetric flow rates (Qa) is generally recommended, but
other measures of flow rate (e.g., Qstd) may be used provided
the requirements of section 8.1 are met. The general procedure given
here is based on actual volumetric flow units (Qa) and serves
to illustrate the steps involved in the calibration of a PM10
sampler. Consult the sampler manufacturer's instruction manual and
Reference 2 for specific guidance on calibration. Reference 14 provides
additional information on the use of the commonly used measures of flow
rate and their interrelationships.
8.2.2 Calibrate the flow rate transfer standard against a primary
flow or volume standard traceable to NBS. Establish a calibration
relationship (e.g., an equation or family of curves) such that
traceability to the primary standard is accurate to within 2 percent
over the expected range of ambient conditions (i.e., temperatures and
pressures) under
[[Page 84]]
which the transfer standard will be used. Recalibrate the transfer
standard periodically.
8.2.3 Following the sampler manufacturer's instruction manual,
remove the sampler inlet and connect the flow rate transfer standard to
the sampler such that the transfer standard accurately measures the
sampler's flow rate. Make sure there are no leaks between the transfer
standard and the sampler.
8.2.4 Choose a minimum of three flow rates (actual m\3\/min), spaced
over the acceptable flow rate range specified for the inlet (see 7.1.2)
that can be obtained by suitable adjustment of the sampler flow rate. In
accordance with the sampler manufacturer's instruction manual, obtain or
verify the calibration relationship between the flow rate (actual m\3\/
min) as indicated by the transfer standard and the sampler's flow
indicator response. Record the ambient temperature and barometric
pressure. Temperature and pressure corrections to subsequent flow
indicator readings may be required for certain types of flow measurement
devices. When such corrections are necessary, correction on an
individual or daily basis is preferable. However, seasonal average
temperature and average barometric pressure for the sampling site may be
incorporated into the sampler calibration to avoid daily corrections.
Consult the sampler manufacturer's instruction manual and Reference 2
for additional guidance.
8.2.5 Following calibration, verify that the sampler is operating at
its design flow rate (actual m\3\/min) with a clean filter in place.
8.2.6 Replace the sampler inlet.
9.0 Procedure.
9.1 The sampler shall be operated in accordance with the specific
guidance provided in the sampler manufacturer's instruction manual and
in Reference 2. The general procedure given here assumes that the
sampler's flow rate calibration is based on flow rates at ambient
conditions (Qa) and serves to illustrate the steps involved
in the operation of a PM10 sampler.
9.2 Inspect each filter for pinholes, particles, and other
imperfections. Establish a filter information record and assign an
identification number to each filter.
9.3 Equilibrate each filter in the conditioning environment (see
7.4) for at least 24 hours.
9.4 Following equilibration, weigh each filter and record the
presampling weight with the filter identification number.
9.5 Install a preweighed filter in the sampler following the
instructions provided in the sampler manufacturer's instruction manual.
9.6 Turn on the sampler and allow it to establish run-temperature
conditions. Record the flow indicator reading and, if needed, the
ambient temperature and barometric pressure. Determine the sampler flow
rate (actual m\3\/min) in accordance with the instructions provided in
the sampler manufacturer's instruction manual. NOTE.--No onsite
temperature or pressure measurements are necessary if the sampler's flow
indicator does not require temperature or pressure corrections or if
seasonal average temperature and average barometric pressure for the
sampling site are incorporated into the sampler calibration (see step
8.2.4). If individual or daily temperature and pressure corrections are
required, ambient temperature and barometric pressure can be obtained by
on-site measurements or from a nearby weather station. Barometric
pressure readings obtained from airports must be station pressure, not
corrected to sea level, and may need to be corrected for differences in
elevation between the sampling site and the airport.
9.7 If the flow rate is outside the acceptable range specified by
the manufacturer, check for leaks, and if necessary, adjust the flow
rate to the specified setpoint. Stop the sampler.
9.8 Set the timer to start and stop the sampler at appropriate
times. Set the elapsed time meter to zero or record the initial meter
reading.
9.9 Record the sample information (site location or identification
number, sample date, filter identification number, and sampler model and
serial number).
9.10 Sample for 24 [1 hours.
9.11 Determine and record the average flow rate (Qa) in
actual m\3\/min for the sampling period in accordance with the
instructions provided in the sampler manufacturer's instruction manual.
Record the elapsed time meter final reading and, if needed, the average
ambient temperature and barometric pressure for the sampling period (see
note following step 9.6).
9.12 Carefully remove the filter from the sampler, following the
sampler manufacturer's instruction manual. Touch only the outer edges of
the filter.
9.13 Place the filter in a protective holder or container (e.g.,
petri dish, glassine envelope, or manila folder).
9.14 Record any factors such as meteorological conditions,
construction activity, fires or dust storms, etc., that might be
pertinent to the measurement on the filter information record.
9.15 Transport the exposed sample filter to the filter conditioning
environment as soon as possible for equilibration and subsequent
weighing.
9.16 Equilibrate the exposed filter in the conditioning environment
for at least 24 hours under the same temperature and humidity conditions
used for presampling filter equilibration (see 9.3).
9.17 Immediately after equilibration, reweigh the filter and record
the postsampling weight with the filter identification number.
10.0 Sampler Maintenance.
[[Page 85]]
10.1 The PM10 sampler shall be maintained in strict
accordance with the maintenance procedures specified in the sampler
manufacturer's instruction manual.
11.0 Calculations.
11.1 Calculate the average flow rate over the sampling period
corrected to EPA reference conditions as Qstd. When the
sampler's flow indicator is calibrated in actual volumetric units
(Qa), Qstd is calculated as:
Qstd = Qa x (Pav/
Tav)(Tstd/Pstd)
where
Qstd = average flow rate at EPA reference conditions, std
m\3\/min;
Qa = average flow rate at ambient conditions, m\3\/min;
Pav = average barometric pressure during the sampling period
or average barometric pressure for the sampling site, kPa (or
mm Hg);
Tav = average ambient temperature during the sampling period
or seasonal average ambient temperature for the sampling site,
K;
Tstd = standard temperature, defined as 298 K;
Pstd = standard pressure, defined as 101.3 kPa (or 760 mm
Hg).
11.2 Calculate the total volume of air sampled as:
Vstd = Qstd x t
where
Vstd = total air sampled in standard volume units, std m\3\;
t = sampling time, min.
11.3 Calculate the PM10 concentration as:
PM10 = (Wf-Wi) x 10\6\/Vstd
where
PM10 = mass concentration of PM10, mg/std m\3\;
Wf, Wi = final and initial weights of filter
collecting PM1O particles, g;
10\6\ = conversion of g to mg.
Note: If more than one size fraction in the PM10 size
range is collected by the sampler, the sum of the net weight gain by
each collection filter [[Sigma](Wf-Wi)] is used to
calculate the PM10 mass concentration.
12.0 References.
1. Quality Assurance Handbook for Air Pollution Measurement Systems,
Volume I, Principles. EPA-600/9-76-005, March 1976. Available from CERI,
ORD Publications, U.S. Environmental Protection Agency, 26 West St.
Clair Street, Cincinnati, OH 45268.
2. Quality Assurance Handbook for Air Pollution Measurement Systems,
Volume II, Ambient Air Specific Methods. EPA-600/4-77-027a, May 1977.
Available from CERI, ORD Publications, U.S. Environmental Protection
Agency, 26 West St. Clair Street, Cincinnati, OH 45268.
3. Clement, R.E., and F.W. Karasek. Sample Composition Changes in
Sampling and Analysis of Organic Compounds in Aerosols. Int. J. Environ.
Analyt. Chem., 7:109, 1979.
4. Lee, R.E., Jr., and J. Wagman. A Sampling Anomaly in the
Determination of Atmospheric Sulfate Concentration. Amer. Ind. Hyg.
Assoc. J., 27:266, 1966.
5. Appel, B.R., S.M. Wall, Y. Tokiwa, and M. Haik. Interference
Effects in Sampling Particulate Nitrate in Ambient Air. Atmos. Environ.,
13:319, 1979.
6. Coutant, R.W. Effect of Environmental Variables on Collection of
Atmospheric Sulfate. Environ. Sci. Technol., 11:873, 1977.
7. Spicer, C.W., and P. Schumacher. Interference in Sampling
Atmospheric Particulate Nitrate. Atmos. Environ., 11:873, 1977.
8. Appel, B.R., Y. Tokiwa, and M. Haik. Sampling of Nitrates in
Ambient Air. Atmos. Environ., 15:283, 1981.
9. Spicer, C.W., and P.M. Schumacher. Particulate Nitrate:
Laboratory and Field Studies of Major Sampling Interferences. Atmos.
Environ., 13:543, 1979.
10. Appel, B.R. Letter to Larry Purdue, U.S. EPA, Environmental
Monitoring and Support Laboratory. March 18, 1982, Docket No. A-82-37,
II-I-1.
11. Pierson, W.R., W.W. Brachaczek, T.J. Korniski, T.J. Truex, and
J.W. Butler. Artifact Formation of Sulfate, Nitrate, and Hydrogen Ion on
Backup Filters: Allegheny Mountain Experiment. J. Air Pollut. Control
Assoc., 30:30, 1980.
12. Dunwoody, C.L. Rapid Nitrate Loss From PM10 Filters.
J. Air Pollut. Control Assoc., 36:817, 1986.
13. Harrell, R.M. Measuring the Alkalinity of Hi-Vol Air Filters.
EMSL/RTP-SOP-QAD-534, October 1985. Available from the U.S.
Environmental Protection Agency, EMSL/QAD, Research Triangle Park, NC
27711.
14. Smith, F., P.S. Wohlschlegel, R.S.C. Rogers, and D.J. Mulligan.
Investigation of Flow Rate Calibration Procedures Associated With the
High Volume Method for Determination of Suspended Particulates. EPA-600/
4-78-047, U.S. Environmental Protection Agency, Research Triangle Park,
NC 27711, 1978.
[52 FR 24664, July 1, 1987; 52 FR 29467, Aug. 7, 1987]
Sec. Appendix K to Part 50--Interpretation of the National Ambient Air
Quality Standards for Particulate Matter
1.0 General
(a) This appendix explains the computations necessary for analyzing
particulate matter data to determine attainment of the 24-hour standards
specified in 40 CFR 50.6. For the primary and secondary standards,
particulate matter is measured in the ambient air as PM10
(particles with an aerodynamic diameter less than or equal to a
[[Page 86]]
nominal 10 micrometers) by a reference method based on appendix J of
this part and designated in accordance with part 53 of this chapter, or
by an equivalent method designated in accordance with part 53 of this
chapter. The required frequency of measurements is specified in part 58
of this chapter.
(b) The terms used in this appendix are defined as follows:
Average refers to the arithmetic mean of the estimated number of
exceedances per year, as per Section 3.1.
Daily value for PM10 refers to the 24-hour average
concentration of PM10 calculated or measured from midnight to
midnight (local time).
Exceedance means a daily value that is above the level of the 24-
hour standard after rounding to the nearest 10 mg/m\3\ (i.e., values
ending in 5 or greater are to be rounded up).
Expected annual value is the number approached when the annual
values from an increasing number of years are averaged, in the absence
of long-term trends in emissions or meteorological conditions.
Year refers to a calendar year.
(c) Although the discussion in this appendix focuses on monitored
data, the same principles apply to modeling data, subject to EPA
modeling guidelines.
2.0 Attainment Determinations
2.1 24-Hour Primary and Secondary Standards
(a) Under 40 CFR 50.6(a) the 24-hour primary and secondary standards
are attained when the expected number of exceedances per year at each
monitoring site is less than or equal to one. In the simplest case, the
number of expected exceedances at a site is determined by recording the
number of exceedances in each calendar year and then averaging them over
the past 3 calendar years. Situations in which 3 years of data are not
available and possible adjustments for unusual events or trends are
discussed in sections 2.3 and 2.4 of this appendix. Further, when data
for a year are incomplete, it is necessary to compute an estimated
number of exceedances for that year by adjusting the observed number of
exceedances. This procedure, performed by calendar quarter, is described
in section 3.0 of this appendix. The expected number of exceedances is
then estimated by averaging the individual annual estimates for the past
3 years.
(b) The comparison with the allowable expected exceedance rate of
one per year is made in terms of a number rounded to the nearest tenth
(fractional values equal to or greater than 0.05 are to be rounded up;
e.g., an exceedance rate of 1.05 would be rounded to 1.1, which is the
lowest rate for nonattainment).
2.2 Reserved
2.3 Data Requirements
(a) 40 CFR 58.12 specifies the required minimum frequency of
sampling for PM10. For the purposes of making comparisons
with the particulate matter standards, all data produced by State and
Local Air Monitoring Stations (SLAMS) and other sites submitted to EPA
in accordance with the part 58 requirements must be used, and a minimum
of 75 percent of the scheduled PM10 samples per quarter are
required.
(b) To demonstrate attainment of the 24-hour standards at a
monitoring site, the monitor must provide sufficient data to perform the
required calculations of sections 3.0 and 4.0 of this appendix. The
amount of data required varies with the sampling frequency, data capture
rate and the number of years of record. In all cases, 3 years of
representative monitoring data that meet the 75 percent criterion of the
previous paragraph should be utilized, if available, and would suffice.
More than 3 years may be considered, if all additional representative
years of data meeting the 75 percent criterion are utilized. Data not
meeting these criteria may also suffice to show attainment; however,
such exceptions will have to be approved by the appropriate Regional
Administrator in accordance with EPA guidance.
(c) There are less stringent data requirements for showing that a
monitor has failed an attainment test and thus has recorded a violation
of the particulate matter standards. Although it is generally necessary
to meet the minimum 75 percent data capture requirement per quarter to
use the computational equations described in section 3.0 of this
appendix, this criterion does not apply when less data is sufficient to
unambiguously establish nonattainment. The following examples illustrate
how nonattainment can be demonstrated when a site fails to meet the
completeness criteria. Nonattainment of the 24-hour primary standards
can be established by the observed annual number of exceedances (e.g.,
four observed exceedances in a single year), or by the estimated number
of exceedances derived from the observed number of exceedances and the
required number of scheduled samples (e.g., two observed exceedances
with every other day sampling). In both cases, expected annual values
must exceed the levels allowed by the standards.
2.4 Adjustment for Exceptional Events and Trends
(a) An exceptional event is an uncontrollable event caused by
natural sources of particulate matter or an event that is not expected
to recur at a given location. Inclusion of such a value in the
computation of
[[Page 87]]
exceedances or averages could result in inappropriate estimates of their
respective expected annual values. To reduce the effect of unusual
events, more than 3 years of representative data may be used.
Alternatively, other techniques, such as the use of statistical models
or the use of historical data could be considered so that the event may
be discounted or weighted according to the likelihood that it will
recur. The use of such techniques is subject to the approval of the
appropriate Regional Administrator in accordance with EPA guidance.
(b) In cases where long-term trends in emissions and air quality are
evident, mathematical techniques should be applied to account for the
trends to ensure that the expected annual values are not inappropriately
biased by unrepresentative data. In the simplest case, if 3 years of
data are available under stable emission conditions, this data should be
used. In the event of a trend or shift in emission patterns, either the
most recent representative year(s) could be used or statistical
techniques or models could be used in conjunction with previous years of
data to adjust for trends. The use of less than 3 years of data, and any
adjustments are subject to the approval of the appropriate Regional
Administrator in accordance with EPA guidance.
3.0 Computational Equations for the 24-Hour Standards
3.1 Estimating Exceedances for a Year
(a) If PM10 sampling is scheduled less frequently than
every day, or if some scheduled samples are missed, a PM10
value will not be available for each day of the year. To account for the
possible effect of incomplete data, an adjustment must be made to the
data collected at each monitoring location to estimate the number of
exceedances in a calendar year. In this adjustment, the assumption is
made that the fraction of missing values that would have exceeded the
standard level is identical to the fraction of measured values above
this level. This computation is to be made for all sites that are
scheduled to monitor throughout the entire year and meet the minimum
data requirements of section 2.3 of this appendix. Because of possible
seasonal imbalance, this adjustment shall be applied on a quarterly
basis. The estimate of the expected number of exceedances for the
quarter is equal to the observed number of exceedances plus an increment
associated with the missing data. The following equation must be used
for these computations:
[GRAPHIC] [TIFF OMITTED] TR17OC06.000
Where:
eq = the estimated number of exceedances for calendar quarter
q;
vq = the observed number of exceedances for calendar quarter
q;
Nq = the number of days in calendar quarter q;
nq = the number of days in calendar quarter q with
PM10 data; and
q = the index for calendar quarter, q = 1, 2, 3 or 4.
(b) The estimated number of exceedances for a calendar quarter must
be rounded to the nearest hundredth (fractional values equal to or
greater than 0.005 must be rounded up).
(c) The estimated number of exceedances for the year, e, is the sum
of the estimates for each calendar quarter.
[GRAPHIC] [TIFF OMITTED] TR17OC06.001
(d) The estimated number of exceedances for a single year must be
rounded to one decimal place (fractional values equal to or greater than
0.05 are to be rounded up). The expected number of exceedances is then
estimated by averaging the individual annual estimates for the most
recent 3 or more representative years of data. The expected number of
exceedances must be rounded to one decimal place (fractional values
equal to or greater than 0.05 are to be rounded up).
(e) The adjustment for incomplete data will not be necessary for
monitoring or modeling data which constitutes a complete record, i.e.,
365 days per year.
(f) To reduce the potential for overestimating the number of
expected exceedances, the correction for missing data will not be
required for a calendar quarter in which the first observed exceedance
has occurred if:
(1) There was only one exceedance in the calendar quarter;
(2) Everyday sampling is subsequently initiated and maintained for 4
calendar quarters in accordance with 40 CFR 58.12; and
(3) Data capture of 75 percent is achieved during the required
period of everyday sampling. In addition, if the first exceedance is
observed in a calendar quarter in which the monitor is already sampling
every day, no adjustment for missing data will be made to the first
exceedance if a 75 percent data capture rate was achieved in the quarter
in which it was observed.
[[Page 88]]
Example 1
a. During a particular calendar quarter, 39 out of a possible 92
samples were recorded, with one observed exceedance of the 24-hour
standard. Using Equation 1, the estimated number of exceedances for the
quarter is:
eq = 1 x 92/39 = 2.359 or 2.36.
b. If the estimated exceedances for the other 3 calendar quarters in
the year were 2.30, 0.0 and 0.0, then, using Equation 2, the estimated
number of exceedances for the year is 2.36 + 2.30 + 0.0 + 0.0 which
equals 4.66 or 4.7. If no exceedances were observed for the 2 previous
years, then the expected number of exceedances is estimated by: (\1/3\)
x (4.7 + 0 + 0) = 1.57 or 1.6. Since 1.6 exceeds the allowable number of
expected exceedances, this monitoring site would fail the attainment
test.
Example 2
In this example, everyday sampling was initiated following the first
observed exceedance as required by 40 CFR 58.12. Accordingly, the first
observed exceedance would not be adjusted for incomplete sampling.
During the next three quarters, 1.2 exceedances were estimated. In this
case, the estimated exceedances for the year would be 1.0 + 1.2 + 0.0 +
0.0 which equals 2.2. If, as before, no exceedances were observed for
the two previous years, then the estimated exceedances for the 3-year
period would then be (\1/3\) x (2.2 + 0.0 + 0.0) = 0.7, and the
monitoring site would not fail the attainment test.
3.2 Adjustments for Non-Scheduled Sampling Days
(a) If a systematic sampling schedule is used and sampling is
performed on days in addition to the days specified by the systematic
sampling schedule, e.g., during episodes of high pollution, then an
adjustment must be made in the equation for the estimation of
exceedances. Such an adjustment is needed to eliminate the bias in the
estimate of the quarterly and annual number of exceedances that would
occur if the chance of an exceedance is different for scheduled than for
non-scheduled days, as would be the case with episode sampling.
(b) The required adjustment treats the systematic sampling schedule
as a stratified sampling plan. If the period from one scheduled sample
until the day preceding the next scheduled sample is defined as a
sampling stratum, then there is one stratum for each scheduled sampling
day. An average number of observed exceedances is computed for each of
these sampling strata. With nonscheduled sampling days, the estimated
number of exceedances is defined as:
[GRAPHIC] [TIFF OMITTED] TR17OC06.002
Where:
eq = the estimated number of exceedances for the quarter;
Nq = the number of days in the quarter;
mq = the number of strata with samples during the quarter;
vj = the number of observed exceedances in stratum j; and
kj = the number of actual samples in stratum j.
(c) Note that if only one sample value is recorded in each stratum,
then Equation 3 reduces to Equation 1.
Example 3
A monitoring site samples according to a systematic sampling
schedule of one sample every 6 days, for a total of 15 scheduled samples
in a quarter out of a total of 92 possible samples. During one 6-day
period, potential episode levels of PM10 were suspected, so 5
additional samples were taken. One of the regular scheduled samples was
missed, so a total of 19 samples in 14 sampling strata were measured.
The one 6-day sampling stratum with 6 samples recorded 2 exceedances.
The remainder of the quarter with one sample per stratum recorded zero
exceedances. Using Equation 3, the estimated number of exceedances for
the quarter is:
Eq = (92/14) x (2/6 + 0 + . . . + 0) = 2.19.
[71 FR 61224, Oct. 17, 2006]
Sec. Appendix L to Part 50--Reference Method for the Determination of
Fine Particulate Matter as PM2.5 in the Atmosphere
1.0 Applicability.
1.1 This method provides for the measurement of the mass
concentration of fine particulate matter having an aerodynamic diameter
less than or equal to a nominal 2.5 micrometers (PM2.5) in
ambient air over a 24-hour period for purposes of determining whether
the primary and secondary national ambient air quality standards for
fine particulate matter specified in Sec. 50.7 and Sec. 50.13 of this
part are met. The measurement process is considered to be
nondestructive, and the PM2.5 sample obtained can be
subjected to subsequent physical or chemical analyses. Quality
assessment procedures are provided in part 58, appendix A of this
chapter, and quality assurance guidance are provided in references 1, 2,
and 3 in section 13.0 of this appendix.
[[Page 89]]
1.2 This method will be considered a reference method for purposes
of part 58 of this chapter only if:
(a) The associated sampler meets the requirements specified in this
appendix and the applicable requirements in part 53 of this chapter, and
(b) The method and associated sampler have been designated as a
reference method in accordance with part 53 of this chapter.
1.3 PM2.5 samplers that meet nearly all specifications
set forth in this method but have minor deviations and/or modifications
of the reference method sampler will be designated as ``Class I''
equivalent methods for PM2.5 in accordance with part 53 of
this chapter.
2.0 Principle.
2.1 An electrically powered air sampler draws ambient air at a
constant volumetric flow rate into a specially shaped inlet and through
an inertial particle size separator (impactor) where the suspended
particulate matter in the PM2.5 size range is separated for
collection on a polytetrafluoroethylene (PTFE) filter over the specified
sampling period. The air sampler and other aspects of this reference
method are specified either explicitly in this appendix or generally
with reference to other applicable regulations or quality assurance
guidance.
2.2 Each filter is weighed (after moisture and temperature
conditioning) before and after sample collection to determine the net
gain due to collected PM2.5. The total volume of air sampled
is determined by the sampler from the measured flow rate at actual
ambient temperature and pressure and the sampling time. The mass
concentration of PM2.5 in the ambient air is computed as the
total mass of collected particles in the PM2.5 size range
divided by the actual volume of air sampled, and is expressed in
micrograms per cubic meter of air (mg/m\3\).
3.0 PM2.5 Measurement Range.
3.1 Lower concentration limit. The lower detection limit of the mass
concentration measurement range is estimated to be approximately 2 mg/
m\3\, based on noted mass changes in field blanks in conjunction with
the 24 m\3\ nominal total air sample volume specified for the 24-hour
sample.
3.2 Upper concentration limit. The upper limit of the mass
concentration range is determined by the filter mass loading beyond
which the sampler can no longer maintain the operating flow rate within
specified limits due to increased pressure drop across the loaded
filter. This upper limit cannot be specified precisely because it is a
complex function of the ambient particle size distribution and type,
humidity, the individual filter used, the capacity of the sampler flow
rate control system, and perhaps other factors. Nevertheless, all
samplers are estimated to be capable of measuring 24-hour
PM2.5 mass concentrations of at least 200 mg/m\3\ while
maintaining the operating flow rate within the specified limits.
3.3 Sample period. The required sample period for PM2.5
concentration measurements by this method shall be 1,380 to 1500 minutes
(23 to 25 hours). However, when a sample period is less than 1,380
minutes, the measured concentration (as determined by the collected
PM2.5 mass divided by the actual sampled air volume),
multiplied by the actual number of minutes in the sample period and
divided by 1,440, may be used as if it were a valid concentration
measurement for the specific purpose of determining a violation of the
NAAQS. This value assumes that the PM2.5 concentration is
zero for the remaining portion of the sample period and therefore
represents the minimum concentration that could have been measured for
the full 24-hour sample period. Accordingly, if the value thus
calculated is high enough to be an exceedance, such an exceedance would
be a valid exceedance for the sample period. When reported to AIRS, this
data value should receive a special code to identify it as not to be
commingled with normal concentration measurements or used for other
purposes.
4.0 Accuracy.
4.1 Because the size and volatility of the particles making up
ambient particulate matter vary over a wide range and the mass
concentration of particles varies with particle size, it is difficult to
define the accuracy of PM2.5 measurements in an absolute
sense. The accuracy of PM2.5 measurements is therefore
defined in a relative sense, referenced to measurements provided by this
reference method. Accordingly, accuracy shall be defined as the degree
of agreement between a subject field PM2.5 sampler and a
collocated PM2.5 reference method audit sampler operating
simultaneously at the monitoring site location of the subject sampler
and includes both random (precision) and systematic (bias) errors. The
requirements for this field sampler audit procedure are set forth in
part 58, appendix A of this chapter.
4.2 Measurement system bias. Results of collocated measurements
where the duplicate sampler is a reference method sampler are used to
assess a portion of the measurement system bias according to the
schedule and procedure specified in part 58, appendix A of this chapter.
4.3 Audits with reference method samplers to determine system
accuracy and bias. According to the schedule and procedure specified in
part 58, appendix A of this chapter, a reference method sampler is
required to be located at each of selected PM2.5 SLAMS sites
as a duplicate sampler. The results from the primary sampler and the
duplicate reference method sampler are used to calculate accuracy of the
primary sampler on a quarterly
[[Page 90]]
basis, bias of the primary sampler on an annual basis, and bias of a
single reporting organization on an annual basis. Reference 2 in section
13.0 of this appendix provides additional information and guidance on
these reference method audits.
4.4 Flow rate accuracy and bias. Part 58, appendix A of this chapter
requires that the flow rate accuracy and bias of individual
PM2.5 samplers used in SLAMS monitoring networks be assessed
periodically via audits of each sampler's operational flow rate. In
addition, part 58, appendix A of this chapter requires that flow rate
bias for each reference and equivalent method operated by each reporting
organization be assessed quarterly and annually. Reference 2 in section
13.0 of this appendix provides additional information and guidance on
flow rate accuracy audits and calculations for accuracy and bias.
5.0 Precision. A data quality objective of 10 percent coefficient of
variation or better has been established for the operational precision
of PM2.5 monitoring data.
5.1 Tests to establish initial operational precision for each
reference method sampler are specified as a part of the requirements for
designation as a reference method under Sec. 53.58 of this chapter.
5.2 Measurement System Precision. Collocated sampler results, where
the duplicate sampler is not a reference method sampler but is a sampler
of the same designated method as the primary sampler, are used to assess
measurement system precision according to the schedule and procedure
specified in part 58, appendix A of this chapter. Part 58, appendix A of
this chapter requires that these collocated sampler measurements be used
to calculate quarterly and annual precision estimates for each primary
sampler and for each designated method employed by each reporting
organization. Reference 2 in section 13.0 of this appendix provides
additional information and guidance on this requirement.
6.0 Filter for PM2.5 Sample Collection. Any filter
manufacturer or vendor who sells or offers to sell filters specifically
identified for use with this PM2.5 reference method shall
certify that the required number of filters from each lot of filters
offered for sale as such have been tested as specified in this section
6.0 and meet all of the following design and performance specifications.
6.1 Size. Circular, 46.2 mm diameter [0.25 mm.
6.2 Medium. Polytetrafluoroethylene (PTFE Teflon), with integral
support ring.
6.3 Support ring. Polymethylpentene (PMP) or equivalent inert
material, 0.38 [0.04 mm thick, outer diameter 46.2 mm [0.25 mm, and
width of 3.68 mm ([0.00, -0.51 mm).
6.4 Pore size. 2 mm as measured by ASTM F 316-94.
6.5 Filter thickness. 30 to 50 mm.
6.6 Maximum pressure drop (clean filter). 30 cm H2O
column @ 16.67 L/min clean air flow.
6.7 Maximum moisture pickup. Not more than 10 mg weight increase
after 24-hour exposure to air of 40 percent relative humidity, relative
to weight after 24-hour exposure to air of 35 percent relative humidity.
6.8 Collection efficiency. Greater than 99.7 percent, as measured by
the DOP test (ASTM D 2986-91) with 0.3 mm particles at the sampler's
operating face velocity.
6.9 Filter weight stability. Filter weight loss shall be less than
20 mg, as measured in each of the following two tests specified in
sections 6.9.1 and 6.9.2 of this appendix. The following conditions
apply to both of these tests: Filter weight loss shall be the average
difference between the initial and the final filter weights of a random
sample of test filters selected from each lot prior to sale. The number
of filters tested shall be not less than 0.1 percent of the filters of
each manufacturing lot, or 10 filters, whichever is greater. The filters
shall be weighed under laboratory conditions and shall have had no air
sample passed through them, i.e., filter blanks. Each test procedure
must include initial conditioning and weighing, the test, and final
conditioning and weighing. Conditioning and weighing shall be in
accordance with sections 8.0 through 8.2 of this appendix and general
guidance provided in reference 2 of section 13.0 of this appendix.
6.9.1 Test for loose, surface particle contamination. After the
initial weighing, install each test filter, in turn, in a filter
cassette (Figures L-27, L-28, and L-29 of this appendix) and drop the
cassette from a height of 25 cm to a flat hard surface, such as a
particle-free wood bench. Repeat two times, for a total of three drop
tests for each test filter. Remove the test filter from the cassette and
weigh the filter. The average change in weight must be less than 20 mg.
6.9.2 Test for temperature stability. After weighing each filter,
place the test filters in a drying oven set at 40 C [2 C for not less
than 48 hours. Remove, condition, and reweigh each test filter. The
average change in weight must be less than 20 mg.
6.10 Alkalinity. Less than 25 microequivalents/gram of filter, as
measured by the guidance given in reference 2 in section 13.0 of this
appendix.
6.11 Supplemental requirements. Although not required for
determination of PM2.5 mass concentration under this
reference method, additional specifications for the filter must be
developed by users who intend to subject PM2.5 filter samples
to subsequent chemical analysis. These supplemental specifications
include background chemical contamination of the filter and any other
filter parameters that may be required by the method of chemical
analysis. All such supplemental filter specifications must be compatible
with and
[[Page 91]]
secondary to the primary filter specifications given in this section 6.0
of this appendix.
7.0 PM2.5 Sampler.
7.1 Configuration. The sampler shall consist of a sample air inlet,
downtube, particle size separator (impactor), filter holder assembly,
air pump and flow rate control system, flow rate measurement device,
ambient and filter temperature monitoring system, barometric pressure
measurement system, timer, outdoor environmental enclosure, and suitable
mechanical, electrical, or electronic control capability to meet or
exceed the design and functional performance as specified in this
section 7.0 of this appendix. The performance specifications require
that the sampler:
(a) Provide automatic control of sample volumetric flow rate and
other operational parameters.
(b) Monitor these operational parameters as well as ambient
temperature and pressure.
(c) Provide this information to the sampler operator at the end of
each sample period in digital form, as specified in table L-1 of section
7.4.19 of this appendix.
7.2 Nature of specifications. The PM2.5 sampler is
specified by a combination of design and performance requirements. The
sample inlet, downtube, particle size discriminator, filter cassette,
and the internal configuration of the filter holder assembly are
specified explicitly by design figures and associated mechanical
dimensions, tolerances, materials, surface finishes, assembly
instructions, and other necessary specifications. All other aspects of
the sampler are specified by required operational function and
performance, and the design of these other aspects (including the design
of the lower portion of the filter holder assembly) is optional, subject
to acceptable operational performance. Test procedures to demonstrate
compliance with both the design and performance requirements are set
forth in subpart E of part 53 of this chapter.
7.3 Design specifications. Except as indicated in this section 7.3
of this appendix, these components must be manufactured or reproduced
exactly as specified, in an ISO 9001-registered facility, with
registration initially approved and subsequently maintained during the
period of manufacture. See Sec. 53.1(t) of this chapter for the
definition of an ISO-registered facility. Minor modifications or
variances to one or more components that clearly would not affect the
aerodynamic performance of the inlet, downtube, impactor, or filter
cassette will be considered for specific approval. Any such proposed
modifications shall be described and submitted to the EPA for specific
individual acceptability either as part of a reference or equivalent
method application under part 53 of this chapter or in writing in
advance of such an intended application under part 53 of this chapter.
7.3.1 Sample inlet assembly. The sample inlet assembly, consisting
of the inlet, downtube, and impactor shall be configured and assembled
as indicated in Figure L-1 of this appendix and shall meet all
associated requirements. A portion of this assembly shall also be
subject to the maximum overall sampler leak rate specification under
section 7.4.6 of this appendix.
7.3.2 Inlet. The sample inlet shall be fabricated as indicated in
Figures L-2 through L-18 of this appendix and shall meet all associated
requirements.
7.3.3 Downtube. The downtube shall be fabricated as indicated in
Figure L-19 of this appendix and shall meet all associated requirements.
7.3.4 Particle size separator. The sampler shall be configured with
either one of the two alternative particle size separators described in
this section 7.3.4. One separator is an impactor-type separator (WINS
impactor) described in sections 7.3.4.1, 7.3.4.2, and 7.3.4.3 of this
appendix. The alternative separator is a cyclone-type separator (VSCC
\TM\) described in section 7.3.4.4 of this appendix.
7.3.4.1 The impactor (particle size separator) shall be fabricated
as indicated in Figures L-20 through L-24 of this appendix and shall
meet all associated requirements. Following the manufacture and
finishing of each upper impactor housing (Figure L-21 of this appendix),
the dimension of the impaction jet must be verified by the manufacturer
using Class ZZ go/no-go plug gauges that are traceable to NIST.
7.3.4.2 Impactor filter specifications:
(a) Size. Circular, 35 to 37 mm diameter.
(b) Medium. Borosilicate glass fiber, without binder.
(c) Pore size. 1 to 1.5 micrometer, as measured by ASTM F 316-80.
(d) Thickness. 300 to 500 micrometers.
7.3.4.3 Impactor oil specifications:
(a) Composition. Dioctyl sebacate (DOS), single-compound diffusion
oil.
(b) Vapor pressure. Maximum 2 x 10-8 mm Hg at 25 C.
(c) Viscosity. 36 to 40 centistokes at 25 C.
(d) Density. 1.06 to 1.07 g/cm\3\ at 25 C.
(e) Quantity. 1 mL [0.1 mL.
7.3.4.4 The cyclone-type separator is identified as a BGI VSCC \TM\
Very Sharp Cut Cyclone particle size separator specified as part of EPA-
designated equivalent method EQPM-0202-142 (67 FR 15567, April 2, 2002)
and as manufactured by BGI Incorporated, 58 Guinan Street, Waltham,
Massachusetts 20451.
7.3.5 Filter holder assembly. The sampler shall have a sample filter
holder assembly to adapt and seal to the down tube and to hold and seal
the specified filter, under section 6.0 of this appendix, in the sample
air stream in a horizontal position below the downtube such that the
sample air passes downward through the filter at a uniform face
velocity.
[[Page 92]]
The upper portion of this assembly shall be fabricated as indicated in
Figures L-25 and L-26 of this appendix and shall accept and seal with
the filter cassette, which shall be fabricated as indicated in Figures
L-27 through L-29 of this appendix.
(a) The lower portion of the filter holder assembly shall be of a
design and construction that:
(1) Mates with the upper portion of the assembly to complete the
filter holder assembly,
(2) Completes both the external air seal and the internal filter
cassette seal such that all seals are reliable over repeated filter
changings, and
(3) Facilitates repeated changing of the filter cassette by the
sampler operator.
(b) Leak-test performance requirements for the filter holder
assembly are included in section 7.4.6 of this appendix.
(c) If additional or multiple filters are stored in the sampler as
part of an automatic sequential sample capability, all such filters,
unless they are currently and directly installed in a sampling channel
or sampling configuration (either active or inactive), shall be covered
or (preferably) sealed in such a way as to:
(1) Preclude significant exposure of the filter to possible
contamination or accumulation of dust, insects, or other material that
may be present in the ambient air, sampler, or sampler ventilation air
during storage periods either before or after sampling; and
(2) To minimize loss of volatile or semi-volatile PM sample
components during storage of the filter following the sample period.
7.3.6 Flow rate measurement adapter. A flow rate measurement adapter
as specified in Figure L-30 of this appendix shall be furnished with
each sampler.
7.3.7 Surface finish. All internal surfaces exposed to sample air
prior to the filter shall be treated electrolytically in a sulfuric acid
bath to produce a clear, uniform anodized surface finish of not less
than 1000 mg/ft\2\ (1.08 mg/cm\2\) in accordance with military standard
specification (mil. spec.) 8625F, Type II, Class 1 in reference 4 of
section 13.0 of this appendix. This anodic surface coating shall not be
dyed or pigmented. Following anodization, the surfaces shall be sealed
by immersion in boiling deionized water for not less than 15 minutes.
Section 53.51(d)(2) of this chapter should also be consulted.
7.3.8 Sampling height. The sampler shall be equipped with legs, a
stand, or other means to maintain the sampler in a stable, upright
position and such that the center of the sample air entrance to the
inlet, during sample collection, is maintained in a horizontal plane and
is 2.0 [0.2 meters above the floor or other horizontal supporting
surface. Suitable bolt holes, brackets, tie-downs, or other means should
be provided to facilitate mechanically securing the sample to the
supporting surface to prevent toppling of the sampler due to wind.
7.4 Performance specifications.
7.4.1 Sample flow rate. Proper operation of the impactor requires
that specific air velocities be maintained through the device.
Therefore, the design sample air flow rate through the inlet shall be
16.67 L/min (1.000 m\3\/hour) measured as actual volumetric flow rate at
the temperature and pressure of the sample air entering the inlet.
7.4.2 Sample air flow rate control system. The sampler shall have a
sample air flow rate control system which shall be capable of providing
a sample air volumetric flow rate within the specified range, under
section 7.4.1 of this appendix, for the specified filter, under section
6.0 of this appendix, at any atmospheric conditions specified, under
section 7.4.7 of this appendix, at a filter pressure drop equal to that
of a clean filter plus up to 75 cm water column (55 mm Hg), and over the
specified range of supply line voltage, under section 7.4.15.1 of this
appendix. This flow control system shall allow for operator adjustment
of the operational flow rate of the sampler over a range of at least [15
percent of the flow rate specified in section 7.4.1 of this appendix.
7.4.3 Sample flow rate regulation. The sample flow rate shall be
regulated such that for the specified filter, under section 6.0 of this
appendix, at any atmospheric conditions specified, under section 7.4.7
of this appendix, at a filter pressure drop equal to that of a clean
filter plus up to 75 cm water column (55 mm Hg), and over the specified
range of supply line voltage, under section 7.4.15.1 of this appendix,
the flow rate is regulated as follows:
7.4.3.1 The volumetric flow rate, measured or averaged over
intervals of not more than 5 minutes over a 24-hour period, shall not
vary more than [5 percent from the specified 16.67 L/min flow rate over
the entire sample period.
7.4.3.2 The coefficient of variation (sample standard deviation
divided by the mean) of the flow rate, measured over a 24-hour period,
shall not be greater than 2 percent.
7.4.3.3 The amplitude of short-term flow rate pulsations, such as
may originate from some types of vacuum pumps, shall be attenuated such
that they do not cause significant flow measurement error or affect the
collection of particles on the particle collection filter.
7.4.4 Flow rate cut off. The sampler's sample air flow rate control
system shall terminate sample collection and stop all sample flow for
the remainder of the sample period in the event that the sample flow
rate deviates by more than 10 percent from the sampler design flow rate
specified in section 7.4.1 of this appendix for more than 60 seconds.
However, this sampler cut-off provision shall not apply during periods
when the sampler is inoperative due to a temporary power interruption,
[[Page 93]]
and the elapsed time of the inoperative period shall not be included in
the total sample time measured and reported by the sampler, under
section 7.4.13 of this appendix.
7.4.5 Flow rate measurement.
7.4.5.1 The sampler shall provide a means to measure and indicate
the instantaneous sample air flow rate, which shall be measured as
volumetric flow rate at the temperature and pressure of the sample air
entering the inlet, with an accuracy of [2 percent. The measured flow
rate shall be available for display to the sampler operator at any time
in either sampling or standby modes, and the measurement shall be
updated at least every 30 seconds. The sampler shall also provide a
simple means by which the sampler operator can manually start the sample
flow temporarily during non-sampling modes of operation, for the purpose
of checking the sample flow rate or the flow rate measurement system.
7.4.5.2 During each sample period, the sampler's flow rate
measurement system shall automatically monitor the sample volumetric
flow rate, obtaining flow rate measurements at intervals of not greater
than 30 seconds.
(a) Using these interval flow rate measurements, the sampler shall
determine or calculate the following flow-related parameters, scaled in
the specified engineering units:
(1) The instantaneous or interval-average flow rate, in L/min.
(2) The value of the average sample flow rate for the sample period,
in L/min.
(3) The value of the coefficient of variation (sample standard
deviation divided by the average) of the sample flow rate for the sample
period, in percent.
(4) The occurrence of any time interval during the sample period in
which the measured sample flow rate exceeds a range of [5 percent of the
average flow rate for the sample period for more than 5 minutes, in
which case a warning flag indicator shall be set.
(5) The value of the integrated total sample volume for the sample
period, in m\3\.
(b) Determination or calculation of these values shall properly
exclude periods when the sampler is inoperative due to temporary
interruption of electrical power, under section 7.4.13 of this appendix,
or flow rate cut off, under section 7.4.4 of this appendix.
(c) These parameters shall be accessible to the sampler operator as
specified in table L-1 of section 7.4.19 of this appendix. In addition,
it is strongly encouraged that the flow rate for each 5-minute interval
during the sample period be available to the operator following the end
of the sample period.
7.4.6 Leak test capability.
7.4.6.1 External leakage. The sampler shall include an external air
leak-test capability consisting of components, accessory hardware,
operator interface controls, a written procedure in the associated
Operation/Instruction Manual, under section 7.4.18 of this appendix, and
all other necessary functional capability to permit and facilitate the
sampler operator to conveniently carry out a leak test of the sampler at
a field monitoring site without additional equipment. The sampler
components to be subjected to this leak test include all components and
their interconnections in which external air leakage would or could
cause an error in the sampler's measurement of the total volume of
sample air that passes through the sample filter.
(a) The suggested technique for the operator to use for this leak
test is as follows:
(1) Remove the sampler inlet and installs the flow rate measurement
adapter supplied with the sampler, under section 7.3.6 of this appendix.
(2) Close the valve on the flow rate measurement adapter and use the
sampler air pump to draw a partial vacuum in the sampler, including (at
least) the impactor, filter holder assembly (filter in place), flow
measurement device, and interconnections between these devices, of at
least 55 mm Hg (75 cm water column), measured at a location downstream
of the filter holder assembly.
(3) Plug the flow system downstream of these components to isolate
the components under vacuum from the pump, such as with a built-in
valve.
(4) Stop the pump.
(5) Measure the trapped vacuum in the sampler with a built-in
pressure measuring device.
(6) (i) Measure the vacuum in the sampler with the built-in pressure
measuring device again at a later time at least 10 minutes after the
first pressure measurement.
(ii) Caution: Following completion of the test, the adaptor valve
should be opened slowly to limit the flow rate of air into the sampler.
Excessive air flow rate may blow oil out of the impactor.
(7) Upon completion of the test, open the adaptor valve, remove the
adaptor and plugs, and restore the sampler to the normal operating
configuration.
(b) The associated leak test procedure shall require that for
successful passage of this test, the difference between the two pressure
measurements shall not be greater than the number of mm of Hg specified
for the sampler by the manufacturer, based on the actual internal volume
of the sampler, that indicates a leak of less than 80 mL/min.
(c) Variations of the suggested technique or an alternative external
leak test technique may be required for samplers whose design or
configuration would make the suggested technique impossible or
impractical. The specific proposed external leak test procedure, or
particularly an alternative leak
[[Page 94]]
test technique, proposed for a particular candidate sampler may be
described and submitted to the EPA for specific individual acceptability
either as part of a reference or equivalent method application under
part 53 of this chapter or in writing in advance of such an intended
application under part 53 of this chapter.
7.4.6.2 Internal, filter bypass leakage. The sampler shall include
an internal, filter bypass leak-check capability consisting of
components, accessory hardware, operator interface controls, a written
procedure in the Operation/Instruction Manual, and all other necessary
functional capability to permit and facilitate the sampler operator to
conveniently carry out a test for internal filter bypass leakage in the
sampler at a field monitoring site without additional equipment. The
purpose of the test is to determine that any portion of the sample flow
rate that leaks past the sample filter without passing through the
filter is insignificant relative to the design flow rate for the
sampler.
(a) The suggested technique for the operator to use for this leak
test is as follows:
(1) Carry out an external leak test as provided under section
7.4.6.1 of this appendix which indicates successful passage of the
prescribed external leak test.
(2) Install a flow-impervious membrane material in the filter
cassette, either with or without a filter, as appropriate, which
effectively prevents air flow through the filter.
(3) Use the sampler air pump to draw a partial vacuum in the
sampler, downstream of the filter holder assembly, of at least 55 mm Hg
(75 cm water column).
(4) Plug the flow system downstream of the filter holder to isolate
the components under vacuum from the pump, such as with a built-in
valve.
(5) Stop the pump.
(6) Measure the trapped vacuum in the sampler with a built-in
pressure measuring device.
(7) Measure the vacuum in the sampler with the built-in pressure
measuring device again at a later time at least 10 minutes after the
first pressure measurement.
(8) Remove the flow plug and membrane and restore the sampler to the
normal operating configuration.
(b) The associated leak test procedure shall require that for
successful passage of this test, the difference between the two pressure
measurements shall not be greater than the number of mm of Hg specified
for the sampler by the manufacturer, based on the actual internal volume
of the portion of the sampler under vacuum, that indicates a leak of
less than 80 mL/min.
(c) Variations of the suggested technique or an alternative
internal, filter bypass leak test technique may be required for samplers
whose design or configuration would make the suggested technique
impossible or impractical. The specific proposed internal leak test
procedure, or particularly an alternative internal leak test technique
proposed for a particular candidate sampler may be described and
submitted to the EPA for specific individual acceptability either as
part of a reference or equivalent method application under part 53 of
this chapter or in writing in advance of such intended application under
part 53 of this chapter.
7.4.7 Range of operational conditions. The sampler is required to
operate properly and meet all requirements specified in this appendix
over the following operational ranges.
7.4.7.1 Ambient temperature. -30 to = 45 C (Note: Although for
practical reasons, the temperature range over which samplers are
required to be tested under part 53 of this chapter is -20 to = 40 C,
the sampler shall be designed to operate properly over this wider
temperature range.).
7.4.7.2 Ambient relative humidity. 0 to 100 percent.
7.4.7.3 Barometric pressure range. 600 to 800 mm Hg.
7.4.8 Ambient temperature sensor. The sampler shall have capability
to measure the temperature of the ambient air surrounding the sampler
over the range of -30 to = 45 C, with a resolution of 0.1 C and
accuracy of [2.0 C, referenced as described in reference 3 in section
13.0 of this appendix, with and without maximum solar insolation.
7.4.8.1 The ambient temperature sensor shall be mounted external to
the sampler enclosure and shall have a passive, naturally ventilated sun
shield. The sensor shall be located such that the entire sun shield is
at least 5 cm above the horizontal plane of the sampler case or
enclosure (disregarding the inlet and downtube) and external to the
vertical plane of the nearest side or protuberance of the sampler case
or enclosure. The maximum temperature measurement error of the ambient
temperature measurement system shall be less than 1.6 C at 1 m/s wind
speed and 1000 W/m2 solar radiation intensity.
7.4.8.2 The ambient temperature sensor shall be of such a design and
mounted in such a way as to facilitate its convenient dismounting and
immersion in a liquid for calibration and comparison to the filter
temperature sensor, under section 7.4.11 of this appendix.
7.4.8.3 This ambient temperature measurement shall be updated at
least every 30 seconds during both sampling and standby (non-sampling)
modes of operation. A visual indication of the current (most recent)
value of the ambient temperature measurement, updated at least every 30
seconds, shall be available to the sampler operator during both sampling
and standby (non-sampling) modes of operation, as specified in table L-1
of section 7.4.19 of this appendix.
[[Page 95]]
7.4.8.4 This ambient temperature measurement shall be used for the
purpose of monitoring filter temperature deviation from ambient
temperature, as required by section 7.4.11 of this appendix, and may be
used for purposes of effecting filter temperature control, under section
7.4.10 of this appendix, or computation of volumetric flow rate, under
sections 7.4.1 to 7.4.5 of this appendix, if appropriate.
7.4.8.5 Following the end of each sample period, the sampler shall
report the maximum, minimum, and average temperature for the sample
period, as specified in table L-1 of section 7.4.19 of this appendix.
7.4.9 Ambient barometric sensor. The sampler shall have capability
to measure the barometric pressure of the air surrounding the sampler
over a range of 600 to 800 mm Hg referenced as described in reference 3
in section 13.0 of this appendix; also see part 53, subpart E of this
chapter. This barometric pressure measurement shall have a resolution of
5 mm Hg and an accuracy of [10 mm Hg and shall be updated at least every
30 seconds. A visual indication of the value of the current (most
recent) barometric pressure measurement, updated at least every 30
seconds, shall be available to the sampler operator during both sampling
and standby (non-sampling) modes of operation, as specified in table L-1
of section 7.4.19 of this appendix. This barometric pressure measurement
may be used for purposes of computation of volumetric flow rate, under
sections 7.4.1 to 7.4.5 of this appendix, if appropriate. Following the
end of a sample period, the sampler shall report the maximum, minimum,
and mean barometric pressures for the sample period, as specified in
table L-1 of section 7.4.19 of this appendix.
7.4.10 Filter temperature control (sampling and post-sampling). The
sampler shall provide a means to limit the temperature rise of the
sample filter (all sample filters for sequential samplers), from
insolation and other sources, to no more 5 C above the temperature of
the ambient air surrounding the sampler, during both sampling and post-
sampling periods of operation. The post-sampling period is the non-
sampling period between the end of the active sampling period and the
time of retrieval of the sample filter by the sampler operator.
7.4.11 Filter temperature sensor(s).
7.4.11.1 The sampler shall have the capability to monitor the
temperature of the sample filter (all sample filters for sequential
samplers) over the range of -30 to = 45 C during both sampling and non-
sampling periods. While the exact location of this temperature sensor is
not explicitly specified, the filter temperature measurement system must
demonstrate agreement, within 1 C, with a test temperature sensor
located within 1 cm of the center of the filter downstream of the filter
during both sampling and non-sampling modes, as specified in the filter
temperature measurement test described in part 53, subpart E of this
chapter. This filter temperature measurement shall have a resolution of
0.1 C and accuracy of [1.0 C, referenced as described in reference 3
in section 13.0 of this appendix. This temperature sensor shall be of
such a design and mounted in such a way as to facilitate its reasonably
convenient dismounting and immersion in a liquid for calibration and
comparison to the ambient temperature sensor under section 7.4.8 of this
appendix.
7.4.11.2 The filter temperature measurement shall be updated at
least every 30 seconds during both sampling and standby (non-sampling)
modes of operation. A visual indication of the current (most recent)
value of the filter temperature measurement, updated at least every 30
seconds, shall be available to the sampler operator during both sampling
and standby (non-sampling) modes of operation, as specified in table L-1
of section 7.4.19 of this appendix.
7.4.11.3 For sequential samplers, the temperature of each filter
shall be measured individually unless it can be shown, as specified in
the filter temperature measurement test described in Sec. 53.57 of this
chapter, that the temperature of each filter can be represented by fewer
temperature sensors.
7.4.11.4 The sampler shall also provide a warning flag indicator
following any occurrence in which the filter temperature (any filter
temperature for sequential samplers) exceeds the ambient temperature by
more than 5 C for more than 30 consecutive minutes during either the
sampling or post-sampling periods of operation, as specified in table L-
1 of section 7.4.19 of this appendix, under section 10.12 of this
appendix, regarding sample validity when a warning flag occurs. It is
further recommended (not required) that the sampler be capable of
recording the maximum differential between the measured filter
temperature and the ambient temperature and its time and date of
occurrence during both sampling and post-sampling (non-sampling) modes
of operation and providing for those data to be accessible to the
sampler operator following the end of the sample period, as suggested in
table L-1 of section 7.4.19 of this appendix.
7.4.12 Clock/timer system.
(a) The sampler shall have a programmable real-time clock timing/
control system that:
(1) Is capable of maintaining local time and date, including year,
month, day-of-month, hour, minute, and second to an accuracy of [1.0
minute per month.
(2) Provides a visual indication of the current system time,
including year, month, day-of-month, hour, and minute, updated at least
each minute, for operator verification.
(3) Provides appropriate operator controls for setting the correct
local time and date.
[[Page 96]]
(4) Is capable of starting the sample collection period and sample
air flow at a specific, operator-settable time and date, and stopping
the sample air flow and terminating the sampler collection period 24
hours (1440 minutes) later, or at a specific, operator-settable time and
date.
(b) These start and stop times shall be readily settable by the
sampler operator to within [1.0 minute. The system shall provide a
visual indication of the current start and stop time settings, readable
to [1.0 minute, for verification by the operator, and the start and stop
times shall also be available via the data output port, as specified in
table L-1 of section 7.4.19 of this appendix. Upon execution of a
programmed sample period start, the sampler shall automatically reset
all sample period information and warning flag indications pertaining to
a previous sample period. Refer also to section 7.4.15.4 of this
appendix regarding retention of current date and time and programmed
start and stop times during a temporary electrical power interruption.
7.4.13 Sample time determination. The sampler shall be capable of
determining the elapsed sample collection time for each PM2.5
sample, accurate to within [1.0 minute, measured as the time between the
start of the sampling period, under section 7.4.12 of this appendix and
the termination of the sample period, under section 7.4.12 of this
appendix or section 7.4.4 of this appendix. This elapsed sample time
shall not include periods when the sampler is inoperative due to a
temporary interruption of electrical power, under section 7.4.15.4 of
this appendix. In the event that the elapsed sample time determined for
the sample period is not within the range specified for the required
sample period in section 3.3 of this appendix, the sampler shall set a
warning flag indicator. The date and time of the start of the sample
period, the value of the elapsed sample time for the sample period, and
the flag indicator status shall be available to the sampler operator
following the end of the sample period, as specified in table L-1 of
section 7.4.19 of this appendix.
7.4.14 Outdoor environmental enclosure. The sampler shall have an
outdoor enclosure (or enclosures) suitable to protect the filter and
other non-weatherproof components of the sampler from precipitation,
wind, dust, extremes of temperature and humidity; to help maintain
temperature control of the filter (or filters, for sequential samplers);
and to provide reasonable security for sampler components and settings.
7.4.15 Electrical power supply.
7.4.15.1 The sampler shall be operable and function as specified
herein when operated on an electrical power supply voltage of 105 to 125
volts AC (RMS) at a frequency of 59 to 61 Hz. Optional operation as
specified at additional power supply voltages and/or frequencies shall
not be precluded by this requirement.
7.4.15.2 The design and construction of the sampler shall comply
with all applicable National Electrical Code and Underwriters
Laboratories electrical safety requirements.
7.4.15.3 The design of all electrical and electronic controls shall
be such as to provide reasonable resistance to interference or
malfunction from ordinary or typical levels of stray electromagnetic
fields (EMF) as may be found at various monitoring sites and from
typical levels of electrical transients or electronic noise as may often
or occasionally be present on various electrical power lines.
7.4.15.4 In the event of temporary loss of electrical supply power
to the sampler, the sampler shall not be required to sample or provide
other specified functions during such loss of power, except that the
internal clock/timer system shall maintain its local time and date
setting within [1 minute per week, and the sampler shall retain all
other time and programmable settings and all data required to be
available to the sampler operator following each sample period for at
least 7 days without electrical supply power. When electrical power is
absent at the operator-set time for starting a sample period or is
interrupted during a sample period, the sampler shall automatically
start or resume sampling when electrical power is restored, if such
restoration of power occurs before the operator-set stop time for the
sample period.
7.4.15.5 The sampler shall have the capability to record and retain
a record of the year, month, day-of-month, hour, and minute of the start
of each power interruption of more than 1 minute duration, up to 10 such
power interruptions per sample period. (More than 10 such power
interruptions shall invalidate the sample, except where an exceedance is
measured, under section 3.3 of this appendix.) The sampler shall provide
for these power interruption data to be available to the sampler
operator following the end of the sample period, as specified in table
L-1 of section 7.4.19 of this appendix.
7.4.16 Control devices and operator interface. The sampler shall
have mechanical, electrical, or electronic controls, control devices,
electrical or electronic circuits as necessary to provide the timing,
flow rate measurement and control, temperature control, data storage and
computation, operator interface, and other functions specified.
Operator-accessible controls, data displays, and interface devices shall
be designed to be simple, straightforward, reliable, and easy to learn,
read, and operate under field conditions. The sampler shall have
provision for operator input and storage of up to 64 characters of
numeric (or alphanumeric) data for purposes of site, sampler, and sample
identification. This information shall be available to the sampler
operator for verification and
[[Page 97]]
change and for output via the data output port along with other data
following the end of a sample period, as specified in table L-1 of
section 7.4.19 of this appendix. All data required to be available to
the operator following a sample collection period or obtained during
standby mode in a post-sampling period shall be retained by the sampler
until reset, either manually by the operator or automatically by the
sampler upon initiation of a new sample collection period.
7.4.17 Data output port requirement. The sampler shall have a
standard RS-232C data output connection through which digital data may
be exported to an external data storage or transmission device. All
information which is required to be available at the end of each sample
period shall be accessible through this data output connection. The
information that shall be accessible though this output port is
summarized in table L-1 of section 7.4.19 of this appendix. Since no
specific format for the output data is provided, the sampler
manufacturer or vendor shall make available to sampler purchasers
appropriate computer software capable of receiving exported sampler data
and correctly translating the data into a standard spreadsheet format
and optionally any other formats as may be useful to sampler users. This
requirement shall not preclude the sampler from offering other types of
output connections in addition to the required RS-232C port.
7.4.18 Operation/instruction manual. The sampler shall include an
associated comprehensive operation or instruction manual, as required by
part 53 of this chapter, which includes detailed operating instructions
on the setup, operation, calibration, and maintenance of the sampler.
This manual shall provide complete and detailed descriptions of the
operational and calibration procedures prescribed for field use of the
sampler and all instruments utilized as part of this reference method.
The manual shall include adequate warning of potential safety hazards
that may result from normal use or malfunction of the method and a
description of necessary safety precautions. The manual shall also
include a clear description of all procedures pertaining to
installation, operation, periodic and corrective maintenance, and
troubleshooting, and shall include parts identification diagrams.
7.4.19 Data reporting requirements. The various information that the
sampler is required to provide and how it is to be provided is
summarized in the following table L-1.
Table L-1 to Appendix L of Part 50--Summary of Information To Be Provided by the Sampler
--------------------------------------------------------------------------------------------------------------------------------------------------------
Availability Format
Appendix L section -------------------------------------------------------------------------------------------------
Information to be provided reference End of Visual Data output
Anytime \1\ period \2\ display \3\ \4\ Digital reading \5\ Units
--------------------------------------------------------------------------------------------------------------------------------------------------------
Flow rate, 30-second maximum 7.4.5.1............ [check] ............ [check] * XX.X............... L/min
interval.
Flow rate, average for the sample 7.4.5.2............ * [check] * [check] XX.X............... L/min
period.
Flow rate, CV, for sample period. 7.4.5.2............ * [check] * [check] XX.X............... %
Flow rate, 5-min. average out of 7.4.5.2............ [check] [check] [check] [check][squf On/Off
spec. (FLAG \6\). ]
Sample volume, total............. 7.4.5.2............ * [check] [check] [check] XX.X............... m\3\
Temperature, ambient, 30-second 7.4.8.............. [check] ............ [check] ............ XX.X............... C
interval.
Temperature, ambient, min., max., 7.4.8.............. * [check] [check] [check][squf XX.X............... C
average for the sample period. ]
Baro. pressure, ambient, 30- 7.4.9.............. [check] ............ [check] ............ XXX................ mm Hg
second interval.
Baro. pressure, ambient, min., 7.4.9.............. * [check] [check] [check][squf XXX................ mm Hg
max., average for the sample ]
period.
Filter temperature, 30-second 7.4.11............. [check] ............ [check] ............ XX.X............... C
interval.
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Filter temp. differential, 30- 7.4.11............. * [check] [check] [check][squf On/Off
second interval, out of spec. ]
(FLAG \6\).
Filter temp., maximum 7.4.11............. * * * * X.X, YY/MM/DD HH.mm C, Yr/Mon/Day Hrs.
differential from ambient, date, min
time of occurrence.
Date and Time.................... 7.4.12............. [check] ............ [check] ............ YY/MM/DD HH.mm..... Yr/Mon/Day Hrs. min
Sample start and stop time 7.4.12............. [check] [check] [check] [check] YY/MM/DD HH.mm..... Yr/Mon/Day Hrs. min
settings.
Sample period start time......... 7.4.12............. ............ [check] [check] [check] YY/MM/DD HH.mm..... Yr/Mon/Day Hrs. min
Elapsed sample time.............. 7.4.13............. * [check] [check] [check] HH.mm.............. Hrs. min
Elapsed sample time, out of spec. 7.4.13............. ............ [check] [check] [check][squf On/Off
(FLAG \6\). ]
Power interruptions <=1 min., 7.4.15.5........... * [check] * [check] 1HH.mm, 2HH.mm, Hrs. min
start time of first 10. etc..
User-entered information, such as 7.4.16............. [check] [check] [check] [check][squf As entered ........
sampler and site identification. ]
--------------------------------------------------------------------------------------------------------------------------------------------------------
[check] Provision of this information is required.
* Provision of this information is optional. If information related to the entire sample period is optionally provided prior to the end of the sample
period, the value provided should be the value calculated for the portion of the sampler period completed up to the time the information is provided.
[squf] Indicates that this information is also required to be provided to the Air Quality System (AQS) data bank; see Sec. 58.16 of this chapter. For
ambient temperature and barometric pressure, only the average for the sample period must be reported.
1. Information is required to be available to the operator at any time the sampler is operating, whether sampling or not.
2. Information relates to the entire sampler period and must be provided following the end of the sample period until reset manually by the operator or
automatically by the sampler upon the start of a new sample period.
3. Information shall be available to the operator visually.
4. Information is to be available as digital data at the sampler's data output port specified in section 7.4.16 of this appendix following the end of
the sample period until reset manually by the operator or automatically by the sampler upon the start of a new sample period.
5. Digital readings, both visual and data output, shall have not less than the number of significant digits and resolution specified.
6. Flag warnings may be displayed to the operator by a single flag indicator or each flag may be displayed individually. Only a set (on) flag warning
must be indicated; an off (unset) flag may be indicated by the absence of a flag warning. Sampler users should refer to section 10.12 of this appendix
regarding the validity of samples for which the sampler provided an associated flag warning.
8.0 Filter Weighing. See reference 2 in section 13.0 of this
appendix, for additional, more detailed guidance.
8.1 Analytical balance. The analytical balance used to weigh filters
must be suitable for weighing the type and size of filters specified,
under section 6.0 of this appendix, and have a readability of [1 mg. The
balance shall be calibrated as specified by the manufacturer at
installation and recalibrated immediately prior to each weighing
session. See reference 2 in section 13.0 of this appendix for additional
guidance.
8.2 Filter conditioning. All sample filters used shall be
conditioned immediately before both the pre- and post-sampling weighings
as specified below. See reference 2 in section 13.0 of this appendix for
additional guidance.
8.2.1 Mean temperature. 20 - 23 C.
8.2.2 Temperature control. [2 C over 24 hours.
8.2.3 Mean humidity. Generally, 30-40 percent relative humidity;
however, where it can be shown that the mean ambient relative humidity
during sampling is less than 30 percent, conditioning is permissible at
a mean
[[Page 99]]
relative humidity within [5 relative humidity percent of the mean
ambient relative humidity during sampling, but not less than 20 percent.
8.2.4 Humidity control. [5 relative humidity percent over 24 hours.
8.2.5 Conditioning time. Not less than 24 hours.
8.3 Weighing procedure.
8.3.1 New filters should be placed in the conditioning environment
immediately upon arrival and stored there until the pre-sampling
weighing. See reference 2 in section 13.0 of this appendix for
additional guidance.
8.3.2 The analytical balance shall be located in the same controlled
environment in which the filters are conditioned. The filters shall be
weighed immediately following the conditioning period without
intermediate or transient exposure to other conditions or environments.
8.3.3 Filters must be conditioned at the same conditions (humidity
within [5 relative humidity percent) before both the pre- and post-
sampling weighings.
8.3.4 Both the pre- and post-sampling weighings should be carried
out on the same analytical balance, using an effective technique to
neutralize static charges on the filter, under reference 2 in section
13.0 of this appendix. If possible, both weighings should be carried out
by the same analyst.
8.3.5 The pre-sampling (tare) weighing shall be within 30 days of
the sampling period.
8.3.6 The post-sampling conditioning and weighing shall be completed
within 240 hours (10 days) after the end of the sample period, unless
the filter sample is maintained at temperatures below the average
ambient temperature during sampling (or 4 C or below for average
sampling temperatures less than 4 C) during the time between retrieval
from the sampler and the start of the conditioning, in which case the
period shall not exceed 30 days. Reference 2 in section 13.0 of this
appendix has additional guidance on transport of cooled filters.
8.3.7 Filter blanks.
8.3.7.1 New field blank filters shall be weighed along with the pre-
sampling (tare) weighing of each lot of PM2.5 filters. These
blank filters shall be transported to the sampling site, installed in
the sampler, retrieved from the sampler without sampling, and reweighed
as a quality control check.
8.3.7.2 New laboratory blank filters shall be weighed along with the
pre-sampling (tare) weighing of each set of PM2.5 filters.
These laboratory blank filters should remain in the laboratory in
protective containers during the field sampling and should be reweighed
as a quality control check.
8.3.8 Additional guidance for proper filter weighing and related
quality assurance activities is provided in reference 2 in section 13.0
of this appendix.
9.0 Calibration. Reference 2 in section 13.0 of this appendix
contains additional guidance.
9.1 General requirements.
9.1.1 Multipoint calibration and single-point verification of the
sampler's flow rate measurement device must be performed periodically to
establish and maintain traceability of subsequent flow measurements to a
flow rate standard.
9.1.2 An authoritative flow rate standard shall be used for
calibrating or verifying the sampler's flow rate measurement device with
an accuracy of [2 percent. The flow rate standard shall be a separate,
stand-alone device designed to connect to the flow rate measurement
adapter, Figure L-30 of this appendix. This flow rate standard must have
its own certification and be traceable to a National Institute of
Standards and Technology (NIST) primary standard for volume or flow
rate. If adjustments to the sampler's flow rate measurement system
calibration are to be made in conjunction with an audit of the sampler's
flow measurement system, such adjustments shall be made following the
audit. Reference 2 in section 13.0 of this appendix contains additional
guidance.
9.1.3 The sampler's flow rate measurement device shall be re-
calibrated after electromechanical maintenance or transport of the
sampler.
9.2 Flow rate calibration/verification procedure.
9.2.1 PM2.5 samplers may employ various types of flow
control and flow measurement devices. The specific procedure used for
calibration or verification of the flow rate measurement device will
vary depending on the type of flow rate controller and flow rate
measurement employed. Calibration shall be in terms of actual ambient
volumetric flow rates (Q\a\), measured at the sampler's inlet downtube.
The generic procedure given here serves to illustrate the general steps
involved in the calibration of a PM2.5 sampler. The sampler
operation/instruction manual required under section 7.4.18 of this
appendix and the Quality Assurance Handbook in reference 2 in section
13.0 of this appendix provide more specific and detailed guidance for
calibration.
9.2.2 The flow rate standard used for flow rate calibration shall
have its own certification and be traceable to a NIST primary standard
for volume or flow rate. A calibration relationship for the flow rate
standard, e.g., an equation, curve, or family of curves relating actual
flow rate (Qa) to the flow rate indicator reading, shall be
established that is accurate to within 2 percent over the expected range
of ambient temperatures and pressures at which the flow rate standard
may be used. The flow rate standard must be re-calibrated or re-verified
at least annually.
9.2.3 The sampler flow rate measurement device shall be calibrated
or verified by removing the sampler inlet and connecting the
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flow rate standard to the sampler's downtube in accordance with the
operation/instruction manual, such that the flow rate standard
accurately measures the sampler's flow rate. The sampler operator shall
first carry out a sampler leak check and confirm that the sampler passes
the leak test and then verify that no leaks exist between the flow rate
standard and the sampler.
9.2.4 The calibration relationship between the flow rate (in actual
L/min) indicated by the flow rate standard and by the sampler's flow
rate measurement device shall be established or verified in accordance
with the sampler operation/instruction manual. Temperature and pressure
corrections to the flow rate indicated by the flow rate standard may be
required for certain types of flow rate standards. Calibration of the
sampler's flow rate measurement device shall consist of at least three
separate flow rate measurements (multipoint calibration) evenly spaced
within the range of -10 percent to = 10 percent of the sampler's
operational flow rate, section 7.4.1 of this appendix. Verification of
the sampler's flow rate shall consist of one flow rate measurement at
the sampler's operational flow rate. The sampler operation/instruction
manual and reference 2 in section 13.0 of this appendix provide
additional guidance.
9.2.5 If during a flow rate verification the reading of the
sampler's flow rate indicator or measurement device differs by [4
percent or more from the flow rate measured by the flow rate standard, a
new multipoint calibration shall be performed and the flow rate
verification must then be repeated.
9.2.6 Following the calibration or verification, the flow rate
standard shall be removed from the sampler and the sampler inlet shall
be reinstalled. Then the sampler's normal operating flow rate (in L/min)
shall be determined with a clean filter in place. If the flow rate
indicated by the sampler differs by [2 percent or more from the required
sampler flow rate, the sampler flow rate must be adjusted to the
required flow rate, under section 7.4.1 of this appendix.
9.3 Periodic calibration or verification of the calibration of the
sampler's ambient temperature, filter temperature, and barometric
pressure measurement systems is also required. Reference 3 of section
13.0 of this appendix contains additional guidance.
10.0 PM2.5 Measurement Procedure. The detailed procedure
for obtaining valid PM2.5 measurements with each specific
sampler designated as part of a reference method for PM2.5
under part 53 of this chapter shall be provided in the sampler-specific
operation or instruction manual required by section 7.4.18 of this
appendix. Supplemental guidance is provided in section 2.12 of the
Quality Assurance Handbook listed in reference 2 in section 13.0 of this
appendix. The generic procedure given here serves to illustrate the
general steps involved in the PM2.5 sample collection and
measurement, using a PM2.5 reference method sampler.
10.1 The sampler shall be set up, calibrated, and operated in
accordance with the specific, detailed guidance provided in the specific
sampler's operation or instruction manual and in accordance with a
specific quality assurance program developed and established by the
user, based on applicable supplementary guidance provided in reference 2
in section 13.0 of this appendix.
10.2 Each new sample filter shall be inspected for correct type and
size and for pinholes, particles, and other imperfections. Unacceptable
filters should be discarded. A unique identification number shall be
assigned to each filter, and an information record shall be established
for each filter. If the filter identification number is not or cannot be
marked directly on the filter, alternative means, such as a number-
identified storage container, must be established to maintain positive
filter identification.
10.3 Each filter shall be conditioned in the conditioning
environment in accordance with the requirements specified in section 8.2
of this appendix.
10.4 Following conditioning, each filter shall be weighed in
accordance with the requirements specified in section 8.0 of this
appendix and the presampling weight recorded with the filter
identification number.
10.5 A numbered and preweighed filter shall be installed in the
sampler following the instructions provided in the sampler operation or
instruction manual.
10.6 The sampler shall be checked and prepared for sample collection
in accordance with instructions provided in the sampler operation or
instruction manual and with the specific quality assurance program
established for the sampler by the user.
10.7 The sampler's timer shall be set to start the sample collection
at the beginning of the desired sample period and stop the sample
collection 24 hours later.
10.8 Information related to the sample collection (site location or
identification number, sample date, filter identification number, and
sampler model and serial number) shall be recorded and, if appropriate,
entered into the sampler.
10.9 The sampler shall be allowed to collect the PM2.5
sample during the set 24-hour time period.
10.10 Within 177 hours (7 days, 9 hours) of the end of the sample
collection period, the filter, while still contained in the filter
cassette, shall be carefully removed from the sampler, following the
procedure provided in the sampler operation or instruction manual and
the quality assurance program, and placed in a protective container. The
protective container shall contain no loose material that could be
transferred to the filter. The protective container shall hold the
filter
[[Page 101]]
cassette securely such that the cover shall not come in contact with the
filter's surfaces. Reference 2 in section 13.0 of this appendix contains
additional information.
10.11 The total sample volume in actual m\3\ for the sampling period
and the elapsed sample time shall be obtained from the sampler and
recorded in accordance with the instructions provided in the sampler
operation or instruction manual. All sampler warning flag indications
and other information required by the local quality assurance program
shall also be recorded.
10.12 All factors related to the validity or representativeness of
the sample, such as sampler tampering or malfunctions, unusual
meteorological conditions, construction activity, fires or dust storms,
etc. shall be recorded as required by the local quality assurance
program. The occurrence of a flag warning during a sample period shall
not necessarily indicate an invalid sample but rather shall indicate the
need for specific review of the QC data by a quality assurance officer
to determine sample validity.
10.13 After retrieval from the sampler, the exposed filter
containing the PM2.5 sample should be transported to the
filter conditioning environment as soon as possible, ideally to arrive
at the conditioning environment within 24 hours for conditioning and
subsequent weighing. During the period between filter retrieval from the
sampler and the start of the conditioning, the filter shall be
maintained as cool as practical and continuously protected from exposure
to temperatures over 25 C to protect the integrity of the sample and
minimize loss of volatile components during transport and storage. See
section 8.3.6 of this appendix regarding time limits for completing the
post-sampling weighing. See reference 2 in section 13.0 of this appendix
for additional guidance on transporting filter samplers to the
conditioning and weighing laboratory.
10.14. The exposed filter containing the PM2.5 sample
shall be re-conditioned in the conditioning environment in accordance
with the requirements specified in section 8.2 of this appendix.
10.15. The filter shall be reweighed immediately after conditioning
in accordance with the requirements specified in section 8.0 of this
appendix, and the postsampling weight shall be recorded with the filter
identification number.
10.16 The PM2.5 concentration shall be calculated as
specified in section 12.0 of this appendix.
11.0 Sampler Maintenance. The sampler shall be maintained as
described by the sampler's manufacturer in the sampler-specific
operation or instruction manual required under section 7.4.18 of this
appendix and in accordance with the specific quality assurance program
developed and established by the user based on applicable supplementary
guidance provided in reference 2 in section 13.0 of this appendix.
12.0 Calculations
12.1 (a) The PM2.5 concentration is calculated as:
PM2.5 = (Wf - Wi)/Va
where:
PM2.5 = mass concentration of PM2.5, mg/m\3\;
Wf, Wi = final and initial weights, respectively,
of the filter used to collect the PM2.5 particle
sample, mg;
Va = total air volume sampled in actual volume units, as
provided by the sampler, m\3\.
Note: Total sample time must be between 1,380 and 1,500 minutes (23
and 25 hrs) for a fully valid PM2.5 sample; however, see also
section 3.3 of this appendix.
13.0 References.
1. Quality Assurance Handbook for Air Pollution Measurement Systems,
Volume I, Principles. EPA/600/R-94/038a, April 1994. Available from
CERI, ORD Publications, U.S. Environmental Protection Agency, 26 West
Martin Luther King Drive, Cincinnati, Ohio 45268.
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 1988 or later edition. Currently
available at: http://www.epa.gov/ttn/amtic/pmqainf.html.
3. Quality Assurance Handbook for Air Pollution Measurement Systems,
Volume IV: Meteorological Measurements, (Revised Edition) EPA/600/R-94/
038d, March, 1995. Available from CERI, ORD Publications, U.S.
Environmental Protection Agency, 26 West Martin Luther King Drive,
Cincinnati, Ohio 45268.
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.
14.0 Figures L-1 through L-30 to Appendix L.
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[62 FR 38714, July 18, 1997, as amended at 64 FR 19719, Apr. 22, 1999;
71 FR 61226, Oct. 17, 2006]
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Sec. Appendix M to Part 50 [Reserved]
Sec. Appendix N to Part 50--Interpretation of the National Ambient Air
Quality Standards for PM2.5
1.0 General
(a) This appendix explains the data handling conventions and
computations necessary for determining when the national ambient air
quality standards (NAAQS) for PM2.5 are met, specifically the
primary and secondary annual and 24-hour PM2.5 NAAQS
specified in Sec. 50.7, 50.13, and 50.18. PM2.5 is defined,
in general terms, as particles with an aerodynamic diameter less than or
equal to a nominal 2.5 micrometers. PM2.5 mass concentrations
are measured in the ambient air by a Federal Reference Method (FRM)
based on appendix L of this part, as applicable, and designated in
accordance with part 53 of this chapter; or by a Federal Equivalent
Method (FEM) designated in accordance with part 53 of this chapter; or
by an Approved Regional Method (ARM) designated in accordance with part
58 of this chapter. Only those FRM, FEM, and ARM measurements that are
derived in accordance with part 58 of this chapter (i.e., that are
deemed ``suitable'') shall be used in comparisons with the
PM2.5 NAAQS. The data handling and computation procedures to
be used to construct annual and 24-hour NAAQS metrics from reported
PM2.5 mass concentrations, and the associated instructions
for comparing these calculated metrics to the levels of the
PM2.5 NAAQS, are specified in sections 2.0, 3.0, and 4.0 of
this appendix.
(b) Decisions to exclude, retain, or make adjustments to the data
affected by exceptional events, including natural events, are made
according to the requirements and process deadlines specified in
Sec. Sec. 50.1, 50.14 and 51.930 of this chapter.
(c) The terms used in this appendix are defined as follows:
Annual mean refers to a weighted arithmetic mean, based on quarterly
means, as defined in section 4.4 of this appendix.
The Air Quality System (AQS) is EPA's official repository of ambient
air data.
Collocated monitors refers to two or more air measurement
instruments for the same parameter (e.g., PM2.5 mass)
operated at the same site location, and whose placement is consistent
with Sec. 53.1 of this chapter. For purposes of considering a combined
site record in this appendix, when two or more monitors are operated at
the same site, one monitor is designated as the ``primary'' monitor with
any additional monitors designated as ``collocated.'' It is implicit in
these appendix procedures that the primary monitor and collocated
monitor(s) are all deemed suitable for the applicable NAAQS comparison;
however, it is not a requirement that the primary and monitors utilize
the same specific sampling and analysis method.
Combined site data record is the data set used for performing
calculations in appendix N. It represents data for the primary monitors
augmented with data from collocated monitors according to the procedure
specified in section 3.0(d) of this appendix.
Creditable samples are daily values in the combined site record that
are given credit for data completeness. The number of creditable samples
(cn) for a given year also governs which value in the sorted series of
daily values represents the 98th percentile for that year. Creditable
samples include daily values collected on scheduled sampling days and
valid make-up samples taken for missed or invalidated samples on
scheduled sampling days.
Daily values refer to the 24-hour average concentrations of
PM2.5 mass measured (or averaged from hourly measurements in
AQS) from midnight to midnight (local standard time) from suitable
monitors.
Data substitution tests are diagnostic evaluations performed on an
annual PM2.5 NAAQS design value (DV) or a 24-hour
PM2.5 NAAQS DV to determine if those metrics, which are
judged to be based on incomplete data in accordance with 4.1(b) or
4.2(b) of this appendix shall nevertheless be deemed valid for NAAQS
comparisons, or alternatively, shall still be considered incomplete and
not valid for NAAQS comparisons. There are two data substitution tests,
the ``minimum quarterly value'' test and the ``maximum quarterly value''
test. Design values (DVs) are the 3-year average NAAQS metrics that are
compared to the NAAQS levels to determine when a monitoring site meets
or does not meet the NAAQS, calculated as shown in section 4. There are
two separate DVs specified in this appendix:
(1) The 3-year average of PM2.5 annual mean mass
concentrations for each eligible monitoring site is referred to as the
``annual PM2.5 NAAQS DV''.
(2) The 3-year average of annual 98th percentile 24-hour average
PM2.5 mass concentration values recorded at each eligible
monitoring site is referred to as the ``24-hour (or daily) PM2.5 NAAQS
DV''.
Eligible sites are monitoring stations that meet the criteria
specified in Sec. 58.11 and Sec. 58.30 of this chapter, and thus are
approved for comparison to the annual PM2.5 NAAQS. For the
24-hour PM2.5 NAAQS, all site locations that meet the
criteria specified in Sec. 58.11 are approved (i.e., eligible) for
NAAQS comparisons.
Extra samples are non-creditable samples. They are daily values that
do not occur on scheduled sampling days and that cannot be used as make-
up samples for missed or invalidated scheduled samples. Extra samples
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are used in mean calculations and are included in the series of all
daily values subject to selection as a 98th percentile value, but are
not used to determine which value in the sorted list represents the 98th
percentile.
Make-up samples are samples collected to take the place of missed or
invalidated required scheduled samples. Make-up samples can be made by
either the primary or the collocated monitor. Make-up samples are either
taken before the next required sampling day or exactly one week after
the missed (or voided) sampling day.
The maximum quarterly value data substitution test substitutes
actual ``high'' reported daily PM2.5 values from the same
site (specifically, the highest reported non-excluded quarterly value(s)
(year non-specific) contained in the combined site record for the
evaluated 3-year period) for missing daily values.
The minimum quarterly value data substitution test substitutes
actual ``low'' reported daily PM2.5 values from the same site
(specifically, the lowest reported quarterly value(s) (year non-
specific) contained in the combined site record for the evaluated 3-year
period) for missing daily values.
98th percentile is the smallest daily value out of a year of
PM2.5 mass monitoring data below which no more than 98
percent of all daily values fall using the ranking and selection method
specified in section 4.5(a) of this appendix.
Primary monitors are suitable monitors designated by a state or
local agency in their annual network plan (and in AQS) as the default
data source for creating a combined site record for purposes of NAAQS
comparisons. If there is only one suitable monitor at a particular site
location, then it is presumed to be a primary monitor.
Quarter refers to a calendar quarter (e.g., January through March).
Quarterly data capture rate is the percentage of scheduled samples
in a calendar quarter that have corresponding valid reported sample
values. Quarterly data capture rates are specifically calculated as the
number of creditable samples for the quarter divided by the number of
scheduled samples for the quarter, the result then multiplied by 100 and
rounded to the nearest integer.
Scheduled PM2.5 samples refers to those reported daily values which
are consistent with the required sampling frequency (per Sec. 58.12 of
this chapter) for the primary monitor, or those that meet the special
exception noted in section 3.0(e) of this appendix.
Seasonal sampling is the practice of collecting data at a reduced
frequency during a season of expected low concentrations.
Suitable monitors are instruments that use sampling and analysis
methods approved for NAAQS comparisons. For the annual and 24-hour
PM2.5 NAAQS, suitable monitors include all FRMs, and all
FEMs/ARMs except those specific continuous FEMs/ARMs disqualified by a
particular monitoring agency network in accordance with Sec.
58.10(b)(13) and approved by the EPA Regional Administrator per Sec.
58.11(e) of this chapter.
Test design values (TDV) are numerical values that used in the data
substitution tests described in sections 4.1(c)(i), 4.1(c)(ii) and
4.2(c)(i) of this appendix to determine if the PM2.5 NAAQS DV
with incomplete data are judged to be valid for NAAQS comparisons. There
are two TDVs: TDVmin to determine if the NAAQS is not met and
is used in the ``minimum quarterly value'' data substitution test and
TDVmax to determine if the NAAQS is met and is used in the
``maximum quarterly value'' data substitution test. These TDV's are
derived by substituting historically low or historically high daily
concentration values for missing data in an incomplete year(s).
Year refers to a calendar year.
2.0 Monitoring Considerations
(a) Section 58.30 of this chapter provides special considerations
for data comparisons to the annual PM2.5 NAAQS.
(b) Monitors meeting the network technical requirements detailed in
Sec. 58.11 of this chapter are suitable for comparison with the NAAQS
for PM2.5.
(c) Section 58.12 of this chapter specifies the required minimum
frequency of sampling for PM2.5. Exceptions to the specified
sampling frequencies, such as seasonal sampling, are subject to the
approval of the EPA Regional Administrator and must be documented in the
state or local agency Annual Monitoring Network Plan as required in
Sec. 58.10 of this chapter and also in AQS.
3.0 Requirements for Data Use and Data Reporting for Comparisons With
the NAAQS for PM2.5
(a) Except as otherwise provided in this appendix, all valid FRM/
FEM/ARM PM2.5 mass concentration data produced by suitable
monitors that are required to be submitted to AQS, or otherwise
available to EPA, meeting the requirements of part 58 of this chapter
including appendices A, C, and E shall be used in the DV calculations.
Generally, EPA will only use such data if they have been certified by
the reporting organization (as prescribed by Sec. 58.15 of this
chapter); however, data not certified by the reporting organization can
nevertheless be used, if the deadline for certification has passed and
EPA judges the data to be complete and accurate.
(b) PM2.5 mass concentration data (typically collected
hourly for continuous instruments and daily for filter-based
instruments) shall be reported to AQS in micrograms per cubic meter (mg/
m\3\) to at least one decimal place. If concentrations are reported to
one
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decimal place, additional digits to the right of the tenths decimal
place shall be truncated. If concentrations are reported to AQS with
more than one decimal place, AQS will truncate the value to one decimal
place for NAAQS usage (i.e., for implementing the procedures in this
appendix). In situations where suitable PM2.5 data are
available to EPA but not reported to AQS, the same truncation protocol
shall be applied to that data. In situations where PM2.5 mass
data are submitted to AQS, or are otherwise available, with less
precision than specified above, these data shall nevertheless still be
deemed appropriate for NAAQS usage.
(c) Twenty-four-hour average concentrations will be computed in AQS
from submitted hourly PM2.5 concentration data for each
corresponding day of the year and the result will be stored in the
first, or start, hour (i.e., midnight, hour `0') of the 24-hour period.
A 24-hour average concentration shall be considered valid if at least 75
percent of the hourly averages (i.e., 18 hourly values) for the 24-hour
period are available. In the event that less than all 24 hourly average
concentrations are available (i.e., less than 24, but at least 18), the
24-hour average concentration shall be computed on the basis of the
hours available using the number of available hours within the 24-hour
period as the divisor (e.g., 19, if 19 hourly values are available).
Twenty-four-hour periods with seven or more missing hours shall also be
considered valid if, after substituting zero for all missing hourly
concentrations, the resulting 24-hour average daily value is greater
than the level of the 24-hour PM2.5 NAAQS (i.e., greater than
or equal to 35.5 mg/m\3\). Twenty-four hour average PM2.5
mass concentrations that are averaged in AQS from hourly values will be
truncated to one decimal place, consistent with the data handling
procedure for the reported hourly (and also 24-hour filter-based) data.
(d) All calculations shown in this appendix shall be implemented on
a site-level basis. Site level concentration data shall be processed as
follows:
(1) The default dataset for PM2.5 mass concentrations for
a site shall consist of the measured concentrations recorded from the
designated primary monitor(s). All daily values produced by the primary
monitor are considered part of the site record; this includes all
creditable samples and all extra samples.
(2) Data for the primary monitors shall be augmented as much as
possible with data from collocated monitors. If a valid daily value is
not produced by the primary monitor for a particular day (scheduled or
otherwise), but a value is available from a collocated monitor, then
that collocated value shall be considered part of the combined site data
record. If more than one collocated daily value is available, the
average of those valid collocated values shall be used as the daily
value. The data record resulting from this procedure is referred to as
the ``combined site data record.''
(e) All daily values in a combined site data record are used in the
calculations specified in this appendix; however, not all daily values
are given credit towards data completeness requirements. Only creditable
samples are given credit for data completeness. Creditable samples
include daily values in the combined site record that are collected on
scheduled sampling days and valid make-up samples taken for missed or
invalidated samples on scheduled sampling days. Days are considered
scheduled according to the required sampling frequency of the designated
primary monitor with one exception. The exception is, if a collocated
continuous FEM/ARM monitor has a more intensive sampling frequency than
the primary FRM monitor, then samples contributed to the combined site
record from that continuous FEM/ARM monitor are always considered
scheduled and, hence, also creditable. Daily values in the combined site
data record that are reported for nonscheduled days, but that are not
valid make-up samples are referred to as extra samples.
4.0 Comparisons With the Annual and 24-Hour PM2.5 NAAQS
4.1 Annual PM2.5 NAAQS
(a) The primary annual PM2.5 NAAQS is met when the annual
PM2.5 NAAQS DV is less than or equal to 12.0 mg/m\3\ at each
eligible monitoring site. The secondary annual PM2.5 NAAQS is
met when the annual PM2.5 NAAQS DV is less than or equal to
15.0 mg/m\3\ at each eligible monitoring site.
(b) Three years of valid annual means are required to produce a
valid annual PM2.5 NAAQS DV. A year meets data completeness
requirements when quarterly data capture rates for all four quarters are
at least 75 percent. However, years with at least 11 creditable samples
in each quarter shall also be considered valid if the resulting annual
mean or resulting annual PM2.5 NAAQS DV (rounded according to
the conventions of section 4.3 of this appendix) is greater than the
level of the applicable primary or secondary annual PM2.5
NAAQS. Furthermore, where the explicit 75 percent data capture and/or 11
sample minimum requirements are not met, the 3-year annual
PM2.5 NAAQS DV shall still be considered valid if it passes
at least one of the two data substitution tests stipulated below.
(c) In the case of one, two, or three years that do not meet the
completeness requirements of section 4.1(b) of this appendix and thus
would normally not be useable for the calculation of a valid annual
PM2.5 NAAQS DV, the annual PM2.5 NAAQS DV shall
nevertheless be considered valid if one of the test
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conditions specified in sections 4.1(c)(i) and 4.1(c)(ii) of this
appendix is met.
(i) An annual PM2.5 NAAQS DV that is above the level of
the NAAQS can be validated if it passes the minimum quarterly value data
substitution test. This type of data substitution is permitted only if
there are at least 30 days across the three quarters of the three years
under consideration (e.g., collectively, quarter 1 of year 1, quarter 1
of year 2 and quarter 1 of year 3) from which to select the quarter-
specific low value. Data substitution will be performed in all quarter
periods that have less than 11 creditable samples.
Procedure: Identify for each deficient quarter (i.e., those with
less than 11 creditable samples) the lowest reported daily value for
that quarter, looking across those three months of all three years under
consideration. If after substituting the lowest reported daily value for
a quarter for (11- cn) daily values in the matching deficient quarter(s)
(i.e., to bring the creditable number for those quarters up to 11), the
procedure yields a recalculated annual PM2.5 NAAQS test DV
(TDVmin) that is greater than the level of the standard, then
the annual PM2.5 NAAQS DV is deemed to have passed the
diagnostic test and is valid, and the annual PM2.5 NAAQS is
deemed to have been violated in that 3-year period.
(ii) An annual PM2.5 NAAQS DV that is equal to or below
the level of the NAAQS can be validated if it passes the maximum
quarterly value data substitution test. This type of data substitution
is permitted only if there is at least 50 percent data capture in each
quarter that is deficient of 75 percent data capture in each of the
three years under consideration. Data substitution will be performed in
all quarter periods that have less than 75 percent data capture but at
least 50 percent data capture. If any quarter has less than 50 percent
data capture then this substitution test cannot be used.
Procedure: Identify for each deficient quarter (i.e., those with
less than 75 percent but at least 50 percent data capture) the highest
reported daily value for that quarter, excluding state-flagged data
affected by exceptional events which have been approved for exclusion by
the Administrator, looking across those three quarters of all three
years under consideration. If after substituting the highest reported
daily PM2.5 value for a quarter for all missing daily data in
the matching deficient quarter(s) (i.e., to make those quarters 100
percent complete), the procedure yields a recalculated annual
PM2.5 NAAQS test DV (TDVmax) that is less than or
equal to the level of the standard, then the annual PM2.5
NAAQS DV is deemed to have passed the diagnostic test and is valid, and
the annual PM2.5 NAAQS is deemed to have been met in that 3-
year period.
(d) An annual PM2.5 NAAQS DV based on data that do not
meet the completeness criteria stated in 4(b) and also do not satisfy
the test conditions specified in section 4(c), may also be considered
valid with the approval of, or at the initiative of, the EPA
Administrator, who may consider factors such as monitoring site
closures/moves, monitoring diligence, the consistency and levels of the
daily values that are available, and nearby concentrations in
determining whether to use such data.
(e) The equations for calculating the annual PM2.5 NAAQS
DVs are given in section 4.4 of this appendix.
4.2 Twenty-four-hour PM2.5 NAAQS
(a) The primary and secondary 24-hour PM2.5 NAAQS are met
when the 24-hour PM2.5 NAAQS DV at each eligible monitoring
site is less than or equal to 35 mg/m\3\.
(b) Three years of valid annual PM2.5 98th percentile
mass concentrations are required to produce a valid 24-hour
PM2.5 NAAQS DV. A year meets data completeness requirements
when quarterly data capture rates for all four quarters are at least 75
percent. However, years shall be considered valid, notwithstanding
quarters with less than complete data (even quarters with less than 11
creditable samples, but at least one creditable sample must be present
for the year), if the resulting annual 98th percentile value or
resulting 24-hour NAAQS DV (rounded according to the conventions of
section 4.3 of this appendix) is greater than the level of the standard.
Furthermore, where the explicit 75 percent quarterly data capture
requirement is not met, the 24-hour PM2.5 NAAQS DV shall
still be considered valid if it passes the maximum quarterly value data
substitution test.
(c) In the case of one, two, or three years that do not meet the
completeness requirements of section 4.2(b) of this appendix and thus
would normally not be useable for the calculation of a valid 24-hour
PM2.5 NAAQS DV, the 24-hour PM2.5 NAAQS DV shall
nevertheless be considered valid if the test conditions specified in
section 4.2(c)(i) of this appendix are met.
(i) A PM2.5 24-hour mass NAAQS DV that is equal to or
below the level of the NAAQS can be validated if it passes the maximum
quarterly value data substitution test. This type of data substitution
is permitted only if there is at least 50 percent data capture in each
quarter that is deficient of 75 percent data capture in each of the
three years under consideration. Data substitution will be performed in
all quarters that have less than 75 percent data capture but at least 50
percent data capture. If any quarter has less than 50 percent data
capture then this substitution test cannot be used.
Procedure: Identify for each deficient quarter (i.e., those with
less than 75 percent but
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at least 50 percent data capture) the highest reported daily
PM2.5 value for that quarter, excluding state-flagged data
affected by exceptional events which have been approved for exclusion by
the Regional Administrator, looking across those three quarters of all
three years under consideration. If, after substituting the highest
reported daily maximum PM2.5 value for a quarter for all
missing daily data in the matching deficient quarter(s) (i.e., to make
those quarters 100 percent complete), the procedure yields a
recalculated 3-year 24-hour NAAQS test DV (TDVmax) less than
or equal to the level of the standard, then the 24-hour PM2.5
NAAQS DV is deemed to have passed the diagnostic test and is valid, and
the 24-hour PM2.5 NAAQS is deemed to have been met in that 3-
year period.
(d) A 24-hour PM2.5 NAAQS DV based on data that do not
meet the completeness criteria stated in section 4(b) of this appendix
and also do not satisfy the test conditions specified in section 4(c) of
this appendix, may also be considered valid with the approval of, or at
the initiative of, the EPA Administrator, who may consider factors such
as monitoring site closures/moves, monitoring diligence, the consistency
and levels of the daily values that are available, and nearby
concentrations in determining whether to use such data.
(e) The procedures and equations for calculating the 24-hour
PM2.5 NAAQS DVs are given in section 4.5 of this appendix.
4.3 Rounding Conventions. For the purposes of comparing calculated
PM2.5 NAAQS DVs to the applicable level of the standard, it
is necessary to round the final results of the calculations described in
sections 4.4 and 4.5 of this appendix. Results for all intermediate
calculations shall not be rounded.
(a) Annual PM2.5 NAAQS DVs shall be rounded to the
nearest tenth of a mg/m\3\ (decimals x.x5 and greater are rounded up to
the next tenth, and any decimal lower than x.x5 is rounded down to the
nearest tenth).
(b) Twenty-four-hour PM2.5 NAAQS DVs shall be rounded to
the nearest 1 mg/m\3\ (decimals 0.5 and greater are rounded up to the
nearest whole number, and any decimal lower than 0.5 is rounded down to
the nearest whole number).
4.4 Equations for the Annual PM2.5 NAAQS.
(a) An annual mean value for PM2.5 is determined by first
averaging the daily values of a calendar quarter using equation 1 of
this appendix:
[GRAPHIC] [TIFF OMITTED] TR15JA13.005
Where:
Xq,y = the mean for quarter q of the year y;
nq = the number of daily values in the quarter; and
xi q,y = the ith value in quarter q for year y.
(b) Equation 2 of this appendix is then used to calculate the site
annual mean:
[GRAPHIC] [TIFF OMITTED] TR15JA13.006
Where:
Xy = the annual mean concentration for year y (y = 1, 2, or 3); and
Xq,y = the mean for quarter q of year y (result of equation 1).
(c) The annual PM2.5 NAAQS DV is calculated using
equation 3 of this appendix:
[[Page 137]]
[GRAPHIC] [TIFF OMITTED] TR15JA13.007
Where:
X = the annual PM2.5 NAAQS DV; and
Xy = the annual mean for year y (result of equation 2)
(d) The annual PM2.5 NAAQS DV is rounded according to the
conventions in section 4.3 of this appendix before comparisons with the
levels of the primary and secondary annual PM2.5 NAAQS are
made.
4.5 Procedures and Equations for the 24-Hour PM2.5 NAAQS
(a) When the data for a particular site and year meet the data
completeness requirements in section 4.2 of this appendix, calculation
of the 98th percentile is accomplished by the steps provided in this
subsection. Table 1 of this appendix shall be used to identify annual
98th percentile values.
Identification of annual 98th percentile values using the Table 1
procedure will be based on the creditable number of samples (as
described below), rather than on the actual number of samples. Credit
will not be granted for extra (non-creditable) samples. Extra samples,
however, are candidates for selection as the annual 98th percentile.
[The creditable number of samples will determine how deep to go into the
data distribution, but all samples (creditable and extra) will be
considered when making the percentile assignment.] The annual creditable
number of samples is the sum of the four quarterly creditable number of
samples.
Procedure: Sort all the daily values from a particular site and year
by descending value. (For example: (x[1], x[2], x[3], * * *, x[n]). In
this case, x[1] is the largest number and x[n] is the smallest value.)
The 98th percentile value is determined from this sorted series of daily
values which is ordered from the highest to the lowest number. Using the
left column of Table 1, determine the appropriate range for the annual
creditable number of samples for year y (cny) (e.g., for 120
creditable samples per year, the appropriate range would be 101 to 150).
The corresponding ``n'' value in the right column identifies the rank of
the annual 98th percentile value in the descending sorted list of site
specific daily values for year y (e.g., for the range of 101 to 150, n
would be 3). Thus, P0.98, y = the nth largest
value (e.g., for the range of 101 to 150, the 98th percentile value
would be the third highest value in the sorted series of daily values.
Table 1
------------------------------------------------------------------------
The 98th percentile for year
y (P0.98,y), is the nth
Annual number of creditable samples for maximum 24-hour average
year y (cny) value for the year where n
is the listed number
------------------------------------------------------------------------
1 to 50................................... 1
51 to 100................................. 2
101 to 150................................ 3
151 to 200................................ 4
201 to 250................................ 5
251 to 300................................ 6
301 to 350................................ 7
351 to 366................................ 8
------------------------------------------------------------------------
(b) The 24-hour PM2.5 NAAQS DV is then calculated by
averaging the annual 98th percentiles using equation 4 of this appendix:
P0.98,y
[GRAPHIC] [TIFF OMITTED] TR15JA13.008
Where:
P0.98 = the 24-hour PM2.5 NAAQS DV; and
P0.98, y = the annual 98th percentile for year y
(c) The 24-hour PM2.5 NAAQS DV is rounded according to
the conventions in section 4.3 of this appendix before a comparison with
[[Page 138]]
the level of the primary and secondary 24-hour NAAQS are made.
[78 FR 3277, Jan. 15, 2013]
Sec. Appendix O to Part 50--Reference Method for the Determination of
Coarse Particulate Matter as PM10-2.5 in the Atmosphere
1.0 Applicability and Definition
1.1 This method provides for the measurement of the mass
concentration of coarse particulate matter (PM10-2.5) in
ambient air over a 24-hour period. In conjunction with additional
analysis, this method may be used to develop speciated data.
1.2 For the purpose of this method, PM10-2.5 is defined
as particulate matter having an aerodynamic diameter in the nominal
range of 2.5 to 10 micrometers, inclusive.
1.3 For this reference method, PM10-2.5 concentrations
shall be measured as the arithmetic difference between separate but
concurrent, collocated measurements of PM10 and
PM2.5, where the PM10 measurements are obtained
with a specially approved sampler, identified as a ``PM10c
sampler,'' that meets more demanding performance requirements than
conventional PM10 samplers described in appendix J of this
part. Measurements obtained with a PM10c sampler are
identified as ``PM10c measurements'' to distinguish them from
conventional PM10 measurements obtained with conventional
PM10 samplers. Thus, PM10-2.5 = PM10c -
PM2.5.
1.4 The PM10c and PM2.5 gravimetric
measurement processes are considered to be nondestructive, and the
PM10c and PM2.5 samples obtained in the
PM10-2.5 measurement process can be subjected to subsequent
physical or chemical analyses.
1.5 Quality assessment procedures are provided in part 58, appendix
A of this chapter. The quality assurance procedures and guidance
provided in reference 1 in section 13 of this appendix, although written
specifically for PM2.5, are generally applicable for
PM10c, and, hence, PM10-2.5 measurements under
this method, as well.
1.6 A method based on specific model PM10c and
PM2.5 samplers will be considered a reference method for
purposes of part 58 of this chapter only if:
(a) The PM10c and PM2.5 samplers and the
associated operational procedures meet the requirements specified in
this appendix and all applicable requirements in part 53 of this
chapter, and
(b) The method based on the specific samplers and associated
operational procedures have been designated as a reference method in
accordance with part 53 of this chapter.
1.7 PM10-2.5 methods based on samplers that meet nearly
all specifications set forth in this method but have one or more
significant but minor deviations or modifications from those
specifications may be designated as ``Class I'' equivalent methods for
PM10-2.5 in accordance with part 53 of this chapter.
1.8 PM2.5 measurements obtained incidental to the
PM10-2.5 measurements by this method shall be considered to
have been obtained with a reference method for PM2.5 in
accordance with appendix L of this part.
1.9 PM10c measurements obtained incidental to the
PM10-2.5 measurements by this method shall be considered to
have been obtained with a reference method for PM10 in
accordance with appendix J of this part, provided that:
(a) The PM10c measurements are adjusted to EPA reference
conditions (25 C and 760 millimeters of mercury), and
(b) Such PM10c measurements are appropriately identified
to differentiate them from PM10 measurements obtained with
other (conventional) methods for PM10 designated in
accordance with part 53 of this chapter as reference or equivalent
methods for PM10.
2.0 Principle
2.1 Separate, collocated, electrically powered air samplers for
PM10c and PM2.5 concurrently draw ambient air at
identical, constant volumetric flow rates into specially shaped inlets
and through one or more inertial particle size separators where the
suspended particulate matter in the PM10 or PM2.5
size range, as applicable, is separated for collection on a
polytetrafluoroethylene (PTFE) filter over the specified sampling
period. The air samplers and other aspects of this PM10-2.5
reference method are specified either explicitly in this appendix or by
reference to other applicable regulations or quality assurance guidance.
2.2 Each PM10c and PM2.5 sample collection
filter is weighed (after moisture and temperature conditioning) before
and after sample collection to determine the net weight (mass) gain due
to collected PM10c or PM2.5. The total volume of
air sampled by each sampler is determined by the sampler from the
measured flow rate at local ambient temperature and pressure and the
sampling time. The mass concentrations of both PM10c and
PM2.5 in the ambient air are computed as the total mass of
collected particles in the PM10 or PM2.5 size
range, as appropriate, divided by the total volume of air sampled by the
respective samplers, and expressed in micrograms per cubic meter (mg/
m\3\)at local temperature and pressure conditions. The mass
concentration of PM10-2.5 is determined as the
PM10c concentration value less the corresponding,
concurrently measured PM2.5 concentration value.
2.3 Most requirements for PM10-2.5 reference methods are
similar or identical to the requirements for PM2.5 reference
methods as set forth in appendix L to this part. To insure uniformity,
applicable appendix L
[[Page 139]]
requirements are incorporated herein by reference in the sections where
indicated rather than repeated in this appendix.
3.0 PM10 2.5 Measurement Range
3.1 Lower concentration limit. The lower detection limit of the mass
concentration measurement range is estimated to be approximately 3 mg/
m\3\, based on the observed precision of PM2.5 measurements
in the national PM2.5 monitoring network, the probable
similar level of precision for the matched PM10c
measurements, and the additional variability arising from the
differential nature of the measurement process. This value is provided
merely as a guide to the significance of low PM10-2.5
concentration measurements.
3.2 Upper concentration limit. The upper limit of the mass
concentration range is determined principally by the PM10c
filter mass loading beyond which the sampler can no longer maintain the
operating flow rate within specified limits due to increased pressure
drop across the loaded filter. This upper limit cannot be specified
precisely because it is a complex function of the ambient particle size
distribution and type, humidity, the individual filter used, the
capacity of the sampler flow rate control system, and perhaps other
factors. All PM10c samplers are estimated to be capable of
measuring 24-hour mass concentrations of at least 200 mg/m\3\ while
maintaining the operating flow rate within the specified limits. The
upper limit for the PM10-2.5 measurement is likely to be
somewhat lower because the PM10-2.5 concentration represents
only a fraction of the PM10 concentration.
3.3 Sample period. The required sample period for
PM10-2.5 concentration measurements by this method shall be
at least 1,380 minutes but not more than 1,500 minutes (23 to 25 hours),
and the start times of the PM2.5 and PM10c samples
are within 10 minutes and the stop times of the samples are also within
10 minutes (see section 10.4 of this appendix).
4.0 Accuracy (bias)
4.1 Because the size, density, and volatility of the particles
making up ambient particulate matter vary over wide ranges and the mass
concentration of particles varies with particle size, it is difficult to
define the accuracy of PM10-2.5 measurements in an absolute
sense. Furthermore, generation of credible PM10-2.5
concentration standards at field monitoring sites and presenting or
introducing such standards reliably to samplers or monitors to assess
accuracy is still generally impractical. The accuracy of
PM10-2.5 measurements is therefore defined in a relative
sense as bias, referenced to measurements provided by other reference
method samplers or based on flow rate verification audits or checks, or
on other performance evaluation procedures.
4.2 Measurement system bias for monitoring data is assessed
according to the procedures and schedule set forth in part 58, appendix
A of this chapter. The goal for the measurement uncertainty (as bias)
for monitoring data is defined in part 58, appendix A of this chapter as
an upper 95 percent confidence limit for the absolute bias of 15
percent. Reference 1 in section 13 of this appendix provides additional
information and guidance on flow rate accuracy audits and assessment of
bias.
5.0 Precision
5.1 Tests to establish initial measurement precision for each
sampler of the reference method sampler pair are specified as a part of
the requirements for designation as a reference method under part 53 of
this chapter.
5.2 Measurement system precision is assessed according to the
procedures and schedule set forth in appendix A to part 58 of this
chapter. The goal for acceptable measurement uncertainty, as precision,
of monitoring data is defined in part 58, appendix A of this chapter as
an upper 95 percent confidence limit for the coefficient of variation
(CV) of 15 percent. Reference 1 in section 13 of this appendix provides
additional information and guidance on this requirement.
6.0 Filters for PM10c and PM2.5 Sample
Collection. Sample collection filters for both PM10c and
PM2.5 measurements shall be identical and as specified in
section 6 of appendix L to this part.
7.0 Sampler. The PM10-2.5 sampler shall consist of a
PM10c sampler and a PM2.5 sampler, as follows:
7.1 The PM2.5 sampler shall be as specified in section 7
of appendix L to this part.
7.2 The PM10c sampler shall be of like manufacturer,
design, configuration, and fabrication to that of the PM2.5
sampler and as specified in section 7 of appendix L to this part, except
as follows:
7.2.1 The particle size separator specified in section 7.3.4 of
appendix L to this part shall be eliminated and replaced by a downtube
extension fabricated as specified in Figure O-1 of this appendix.
7.2.2 The sampler shall be identified as a PM10c sampler
on its identification label required under Sec. 53.9(d) of this
chapter.
7.2.3 The average temperature and average barometric pressure
measured by the sampler during the sample period, as described in Table
L-1 of appendix L to this part, need not be reported to EPA's AQS data
base, as required by section 7.4.19 and Table L-1 of appendix L to this
part, provided such measurements for the sample period determined by the
associated PM2.5 sampler are reported as required.
[[Page 140]]
7.3 In addition to the operation/instruction manual required by
section 7.4.18 of appendix L to this part for each sampler, supplemental
operational instructions shall be provided for the simultaneous
operation of the samplers as a pair to collect concurrent
PM10c and PM2.5 samples. The supplemental
instructions shall cover any special procedures or guidance for
installation and setup of the samplers for PM10-2.5
measurements, such as synchronization of the samplers' clocks or timers,
proper programming for collection of concurrent samples, and any other
pertinent issues related to the simultaneous, coordinated operation of
the two samplers.
7.4 Capability for electrical interconnection of the samplers to
simplify sample period programming and further ensure simultaneous
operation is encouraged but not required. Any such capability for
interconnection shall not supplant each sampler's capability to operate
independently, as required by section 7 of appendix L of this part.
8.0 Filter Weighing
8.1 Conditioning and weighing for both PM10c and
PM2.5 sample filters shall be as specified in section 8 of
appendix L to this part. See reference 1 of section 13 of this appendix
for additional, more detailed guidance.
8.2 Handling, conditioning, and weighing for both PM10c
and PM2.5 sample filters shall be matched such that the
corresponding PM10c and PM2.5 filters of each
filter pair receive uniform treatment. The PM10c and
PM2.5 sample filters should be weighed on the same balance,
preferably in the same weighing session and by the same analyst.
8.3 Due care shall be exercised to accurately maintain the paired
relationship of each set of concurrently collected PM10c and
PM2.5 sample filters and their net weight gain data and to
avoid misidentification or reversal of the filter samples or weight
data. See Reference 1 of section 13 of this appendix for additional
guidance.
9.0 Calibration. Calibration of the flow rate, temperature
measurement, and pressure measurement systems for both the
PM10c and PM2.5 samplers shall be as specified in
section 9 of appendix L to this part.
10.0 PM10 2.5 Measurement Procedure
10.1 The PM10c and PM2.5 samplers shall be
installed at the monitoring site such that their ambient air inlets
differ in vertical height by not more than 0.2 meter, if possible, but
in any case not more than 1 meter, and the vertical axes of their inlets
are separated by at least 1 meter but not more than 4 meters,
horizontally.
10.2 The measurement procedure for PM10c shall be as
specified in section 10 of appendix L to this part, with
``PM10c'' substituted for ``PM2.5'' wherever it
occurs in that section.
10.3 The measurement procedure for PM2.5 shall be as
specified in section 10 of appendix L to this part.
10.4 For the PM10-2.5 measurement, the PM10c
and PM2.5 samplers shall be programmed to operate on the same
schedule and such that the sample period start times are within 5
minutes and the sample duration times are within 5 minutes.
10.5 Retrieval, transport, and storage of each PM10c and
PM2.5 sample pair following sample collection shall be
matched to the extent practical such that both samples experience
uniform conditions.
11.0 Sampler Maintenance. Both PM10c and PM2.5
samplers shall be maintained as described in section 11 of appendix L to
this part.
12.0 Calculations
12.1 Both concurrent PM10c and PM2.5
measurements must be available, valid, and meet the conditions of
section 10.4 of this appendix to determine the PM10-2.5 mass
concentration.
12.2 The PM10c mass concentration is calculated using
equation 1 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.012
Where:
PM10c = mass concentration of PM10c, mg/m\3\;
Wf, Wi = final and initial masses (weights),
respectively, of the filter used to collect the
PM10c particle sample, mg;
Va = total air volume sampled by the PM10c sampler
in actual volume units measured at local conditions of
temperature and pressure, as provided by the sampler, m\3\.
Note: Total sample time must be between 1,380 and 1,500 minutes (23
and 25 hrs) for a fully valid PM10c sample; however, see also
section 3.3 of this appendix.
12.3 The PM2.5 mass concentration is calculated as
specified in section 12 of appendix L to this part.
12.4 The PM10-2.5 mass concentration, in mg/m\3\, is
calculated using Equation 2 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.013
13.0 Reference
1. Quality Assurance Guidance Document 2.12. Monitoring
PM2.5 in Ambient Air Using Designated Reference or Class I
Equivalent Methods. Draft, November 1998 (or later
[[Page 141]]
version or supplement, if available). Available at: www.epa.gov/ttn/
amtic/pgqa.html.
14.0 Figures
Figure O-1 is included as part of this appendix O.
[GRAPHIC] [TIFF OMITTED] TR17OC06.014
[[Page 142]]
[71 FR 61230, Oct. 17, 2006]
Sec. Appendix P to Part 50--Interpretation of the Primary and Secondary
National Ambient Air Quality Standards for Ozone
1. General
(a) This appendix explains the data handling conventions and
computations necessary for determining whether the national 8-hour
primary and secondary ambient air quality standards for ozone
(O3) specified in Sec. 50.15 are met at an ambient
O3 air quality monitoring site. Ozone is measured in the
ambient air by a reference method based on appendix D of this part, as
applicable, and designated in accordance with part 53 of this chapter,
or by an equivalent method designated in accordance with part 53 of this
chapter. Data reporting, data handling, and computation procedures to be
used in making comparisons between reported O3 concentrations
and the levels of the O3 standards are specified in the
following sections. Whether to exclude, retain, or make adjustments to
the data affected by exceptional events, including stratospheric
O3 intrusion and other natural events, is determined by the
requirements under Sec. Sec. 50.1, 50.14 and 51.930.
(b) The terms used in this appendix are defined as follows:
8-hour average is the rolling average of eight hourly O3
concentrations as explained in section 2 of this appendix.
Annual fourth-highest daily maximum refers to the fourth highest
value measured at a monitoring site during a particular year.
Daily maximum 8-hour average concentration refers to the maximum
calculated 8-hour average for a particular day as explained in section 2
of this appendix.
Design values are the metrics (i.e., statistics) that are compared
to the NAAQS levels to determine compliance, calculated as shown in
section 3 of this appendix.
O3 monitoring season refers to the span of time within a
calendar year when individual States are required to measure ambient
O3 concentrations as listed in part 58 appendix D to this
chapter.
Year refers to calendar year.
2. Primary and Secondary Ambient Air Quality Standards for Ozone
2.1 Data Reporting and Handling Conventions
Computing 8-hour averages. Hourly average concentrations shall be
reported in parts per million (ppm) to the third decimal place, with
additional digits to the right of the third decimal place truncated.
Running 8-hour averages shall be computed from the hourly O3
concentration data for each hour of the year and shall be stored in the
first, or start, hour of the 8-hour period. An 8-hour average shall be
considered valid if at least 75% of the hourly averages for the 8-hour
period are available. In the event that only 6 or 7 hourly averages are
available, the 8-hour average shall be computed on the basis of the
hours available using 6 or 7 as the divisor. 8-hour periods with three
or more missing hours shall be considered valid also, if, after
substituting one-half the minimum detectable limit for the missing
hourly concentrations, the 8-hour average concentration is greater than
the level of the standard. The computed 8-hour average O3
concentrations shall be reported to three decimal places (the digits to
the right of the third decimal place are truncated, consistent with the
data handling procedures for the reported data).
Daily maximum 8-hour average concentrations. (a) There are 24
possible running 8-hour average O3 concentrations for each
calendar day during the O3 monitoring season. The daily
maximum 8-hour concentration for a given calendar day is the highest of
the 24 possible 8-hour average concentrations computed for that day.
This process is repeated, yielding a daily maximum 8-hour average
O3 concentration for each calendar day with ambient
O3 monitoring data. Because the 8-hour averages are recorded
in the start hour, the daily maximum 8-hour concentrations from two
consecutive days may have some hourly concentrations in common.
Generally, overlapping daily maximum 8-hour averages are not likely,
except in those non-urban monitoring locations with less pronounced
diurnal variation in hourly concentrations.
(b) An O3 monitoring day shall be counted as a valid day
if valid 8-hour averages are available for at least 75% of possible
hours in the day (i.e., at least 18 of the 24 averages). In the event
that less than 75% of the 8-hour averages are available, a day shall
also be counted as a valid day if the daily maximum 8-hour average
concentration for that day is greater than the level of the standard.
2.2 Primary and Secondary Standard-related Summary Statistic
The standard-related summary statistic is the annual fourth-highest
daily maximum 8-hour O3 concentration, expressed in parts per
million, averaged over three years. The 3-year average shall be computed
using the three most recent, consecutive calendar years of monitoring
data meeting the data completeness requirements described in this
appendix. The computed 3-year average of the annual fourth-highest daily
maximum 8-hour average O3 concentrations shall be reported to
three decimal places (the digits to the right of the third decimal place
are truncated, consistent with the data handling procedures for the
reported data).
[[Page 143]]
2.3 Comparisons with the Primary and Secondary Ozone Standards
(a) The primary and secondary O3 ambient air quality
standards are met at an ambient air quality monitoring site when the 3-
year average of the annual fourth-highest daily maximum 8-hour average
O3 concentration is less than or equal to 0.075 ppm.
(b) This comparison shall be based on three consecutive, complete
calendar years of air quality monitoring data. This requirement is met
for the 3-year period at a monitoring site if daily maximum 8-hour
average concentrations are available for at least 90% of the days within
the O3 monitoring season, on average, for the 3-year period,
with a minimum data completeness requirement in any one year of at least
75% of the days within the O3 monitoring season. When
computing whether the minimum data completeness requirements have been
met, meteorological or ambient data may be sufficient to demonstrate
that meteorological conditions on missing days were not conducive to
concentrations above the level of the standard. Missing days assumed
less then the level of the standard are counted for the purpose of
meeting the data completeness requirement, subject to the approval of
the appropriate Regional Administrator.
(c) Years with concentrations greater than the level of the standard
shall be included even if they have less than complete data. Thus, in
computing the 3-year average fourth maximum concentration, calendar
years with less than 75% data completeness shall be included in the
computation if the 3-year average fourth-highest 8-hour concentration is
greater than the level of the standard.
(d) Comparisons with the primary and secondary O3
standards are demonstrated by examples 1 and 2 in paragraphs (d)(1) and
(d)(2) respectively as follows:
Example 1--Ambient Monitoring Site Attaining the Primary and Secondary O3 Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
Percent valid
days (within 1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest
Year the required daily max 8- daily max 8- daily max 8- daily max 8- daily max 8-
monitoring hour Conc. hour Conc. hour Conc. hour Conc. hour Conc.
season) (ppm) (ppm) (ppm) (ppm) (ppm)
--------------------------------------------------------------------------------------------------------------------------------------------------------
2004.................................................... 100 0.092 0.090 0.085 0.079 0.078
2005.................................................... 96 0.084 0.083 0.075 0.072 0.070
2006.................................................... 98 0.080 0.079 0.077 0.076 0.060
-----------------------------------------------------------------------------------------------
Average............................................. 98 .............. .............. .............. 0.075 ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) As shown in Example 1, this monitoring site meets the primary
and secondary O3 standards because the 3-year average of the
annual fourth-highest daily maximum 8-hour average O3
concentrations (i.e., 0.075666 * * * ppm, truncated to 0.075 ppm) is
less than or equal to 0.075 ppm. The data completeness requirement is
also met because the average percent of days within the required
monitoring season with valid ambient monitoring data is greater than
90%, and no single year has less than 75% data completeness. In Example
1, the individual 8-hour averages used to determine the annual fourth
maximum have also been truncated to the third decimal place.
Example 2--Ambient Monitoring Site Failing to Meet the Primary and Secondary O3 Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
Percent valid
days (within 1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest
Year the required daily max 8- daily max 8- daily max 8- daily max 8- daily max 8-
monitoring hour Conc. hour Conc. hour Conc. hour Conc. hour Conc.
season) (ppm) (ppm) (ppm) (ppm) (ppm)
--------------------------------------------------------------------------------------------------------------------------------------------------------
2004.................................................... 96 0.105 0.103 0.103 0.103 0.102
2005.................................................... 74 0.104 0.103 0.092 0.091 0.088
2006.................................................... 98 0.103 0.101 0.101 0.095 0.094
-----------------------------------------------------------------------------------------------
Average............................................. 89 .............. .............. .............. 0.096 ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------
As shown in Example 2, the primary and secondary O3
standards are not met for this monitoring site because the 3-year
average of the fourth-highest daily maximum 8-hour average O3
concentrations (i.e., 0.096333 * * * ppm, truncated to 0.096 ppm) is
greater than 0.075 ppm, even though the data capture is less than 75%
and the average data capture for the 3 years is less than 90% within the
required monitoring season. In Example 2, the individual 8-hour averages
used to determine
[[Page 144]]
the annual fourth maximum have also been truncated to the third decimal
place.
3. Design Values for Primary and Secondary Ambient Air Quality Standards
for Ozone
The air quality design value at a monitoring site is defined as that
concentration that when reduced to the level of the standard ensures
that the site meets the standard. For a concentration-based standard,
the air quality design value is simply the standard-related test
statistic. Thus, for the primary and secondary standards, the 3-year
average annual fourth-highest daily maximum 8-hour average O3
concentration is also the air quality design value for the site.
[73 FR 16511, Mar. 27, 2008]
Sec. Appendix Q to Part 50--Reference Method for the Determination of
Lead in Particulate Matter as PM10 Collected From Ambient Air
This Federal Reference Method (FRM) draws heavily from the specific
analytical protocols used by the U.S. EPA.
1. Applicability and Principle
1.1 This method provides for the measurement of the lead (Pb)
concentration in particulate matter that is 10 micrometers or less
(PM10) in ambient air. PM10 is collected on an
acceptable (see section 6.1.2) 46.2 mm diameter polytetrafluoroethylene
(PTFE) filter for 24 hours using active sampling at local conditions
with a low-volume air sampler. The low-volume sampler has an average
flow rate of 16.7 liters per minute (Lpm) and total sampled volume of 24
cubic meters (m\3\) of air. The analysis of Pb in PM10 is
performed on each individual 24-hour sample. Gravimetric mass analysis
of PM10c filters is not required for Pb analysis. For the
purpose of this method, PM10 is defined as particulate matter
having an aerodynamic diameter in the nominal range of 10 micrometers
(10 mm) or less.
1.2 For this reference method, PM10 shall be collected
with the PM10c federal reference method (FRM) sampler as
described in appendix O to Part 50 using the same sample period,
measurement procedures, and requirements specified in appendix L of Part
50. The PM10c sampler is also being used for measurement of
PM10-2.5 mass by difference and as such, the PM10c
sampler must also meet all of the performance requirements specified for
PM2.5 in appendix L. The concentration of Pb in the
atmosphere is determined in the total volume of air sampled and
expressed in micrograms per cubic meter (mg/m\3\) at local temperature
and pressure conditions.
1.3 The FRM will serve as the basis for approving Federal Equivalent
Methods (FEMs) as specified in 40 CFR Part 53 (Reference and Equivalent
Methods). This FRM specifically applies to the analysis of Pb in
PM10 filters collected with the PM10c sampler. If
these filters are analyzed for elements other than Pb, then refer to the
guidance provided in the EPA Inorganic Compendium Method IO-3.3
(Reference 1 of section 8) for multi-element analysis.
1.4 The PM10c air sampler draws ambient air at a constant
volumetric flow rate into a specially shaped inlet and through an
inertial particle size separator, where the suspended particulate matter
in the PM10 size range is separated for collection on a PTFE
filter over the specified sampling period. The Pb content of the
PM10 sample is analyzed by energy-dispersive X-ray
fluorescence spectrometry (EDXRF). Energy-dispersive X-ray fluorescence
spectrometry provides a means for identification of an element by
measurement of its characteristic X-ray emission energy. The method
allows for quantification of the element by measuring the intensity of
X-rays emitted at the characteristic photon energy and then relating
this intensity to the elemental concentration. The number or intensity
of X-rays produced at a given energy provides a measure of the amount of
the element present by comparisons with calibration standards. The X-
rays are detected and the spectral signals are acquired and processed
with a personal computer. EDXRF is commonly used as a non-destructive
method for quantifying trace elements in PM. A detailed explanation of
quantitative X-ray spectrometry is described in references 2, 3 and 4.
1.5 Quality assurance (QA) procedures for the collection of
monitoring data are contained in Part 58, appendix A.
2. PM10Pb Measurement Range and Detection Limit. The values given
below in section 2.1 and 2.2 are typical of the method capabilities.
Absolute values will vary for individual situations depending on the
instrument, detector age, and operating conditions used. Data are
typically reported in ng/m\3\ for ambient air samples; however, for this
reference method, data will be reported in mg/m\3\ at local temperature
and pressure conditions.
2.1 EDXRF Pb Measurement Range. The typical ambient air measurement
range is 0.001 to 30 mg Pb/m\3\, assuming an upper range calibration
standard of about 60 mg Pb per square centimeter (cm\2\), a filter
deposit area of 11.86 cm\2\, and an air volume of 24 m\3\. The top range
of the EDXRF instrument is much greater than what is stated here. The
top measurement range of quantification is defined by the level of the
high concentration calibration standard used and can be increased to
expand the measurement range as needed.
2.2 Detection Limit (DL). A typical estimate of the one-sigma
detection limit (DL) is about 2 ng Pb/cm\2\ or 0.001 mg Pb/m\3\,
assuming a filter size of 46.2 mm (filter deposit
[[Page 145]]
area of 11.86 cm\2\) and a sample air volume of 24 m\3\. The DL is an
estimate of the lowest amount of Pb that can be reliably distinguished
from a blank filter. The one-sigma detection limit for Pb is calculated
as the average overall uncertainty or propagated error for Pb,
determined from measurements on a series of blank filters from the
filter lot(s) in use. Detection limits must be determined for each
filter lot in use. If a new filter lot is used, then a new DL must be
determined. The sources of random error which are considered are
calibration uncertainty; system stability; peak and background counting
statistics; uncertainty in attenuation corrections; and uncertainty in
peak overlap corrections, but the dominating source by far is peak and
background counting statistics. At a minimum, laboratories are to
determine annual estimates of the DL using the guidance provided in
Reference 5.
3. Factors Affecting Bias and Precision of Lead Determination by
EDXRF
3.1 Filter Deposit. X-ray spectra are subject to distortion if
unusually heavy deposits are analyzed. This is the result of internal
absorption of both primary and secondary X-rays within the sample;
however, this is not an issue for Pb due to the energetic X-rays used to
fluoresce Pb and the energetic characteristic X-rays emitted by Pb. The
optimum mass filter loading for multi-elemental EDXRF analyis is about
100 mg/cm\2\ or 1.2 mg/filter for a 46.2-mm filter. Too little deposit
material can also be problematic due to low counting statistics and
signal noise. The particle mass deposit should minimally be 15 mg/cm\2\.
The maximum PM10 filter loading or upper concentration limit
of mass expected to be collected by the PM10c sampler is 200
mg/m\3\ (Appendix O to Part 50, Section 3.2). This equates to a mass
loading of about 400 mg/cm\2\ and is the maximum expected loading for
PM10c filters. This maximum loading is acceptable for the
analysis of Pb and other high-Z elements with very energetic
characteristic X-rays. A properly collected sample will have a uniform
deposit over the entire collection area. Samples with physical
deformities (including a visually non-uniform deposit area) should not
be quantitatively analyzed. Tests on the uniformity of particle
deposition on PM10C filters showed that the non-uniformity of
the filter deposit represents a small fraction of the overall
uncertainty in ambient Pb concentration measurement. The analysis beam
of the XRF analyzer does not cover the entire filter collection area.
The minimum allowable beam size is 10 mm.
3.2 Spectral Interferences and Spectral Overlap. Spectral
interference occurs when the entirety of the analyte spectral lines of
two species are nearly 100% overlapped. The presence of arsenic (As) is
a problematic interference for EDXRF systems which use the Pb L[alpha]
line exclusively to quantify the Pb concentration. This is because the
Pb L[alpha] line and the As K[alpha] lines severely overlap. The use of
multiple Pb lines, including the L[beta] and/or the Lg lines for
quantification must be used to reduce the uncertainty in the Pb
determination in the presence of As. There can be instances when lines
partially overlap the Pb spectral lines, but with the energy resolution
of most detectors these overlaps are typically de-convoluted using
standard spectral de-convolution software provided by the instrument
vendor. An EDXRF protocol for Pb must define which Pb lines are used for
quantification and where spectral overlaps occur. A de-convolution
protocol must be used to separate all the lines which overlap with Pb.
3.3 Particle Size Effects and Attenuation Correction Factors. X-ray
attenuation is dependent on the X-ray energy, mass sample loading,
composition, and particle size. In some cases, the excitation and
fluorescent X-rays are attenuated as they pass through the sample. In
order to relate the measured intensity of the X-rays to the thin-film
calibration standards used, the magnitude of any attenuation present
must be corrected for. See references 6, 7, and 8 for more discussion on
this issue. Essentially no attenuation corrections are necessary for Pb
in PM10: Both the incoming excitation X-rays used for
analyzing lead and the fluoresced Pb X-rays are sufficiently energetic
that for particles in this size range and for normal filter loadings,
the Pb X-ray yield is not significantly impacted by attenuation.
4. Precision
4.1 Measurement system precision is assessed according to the
procedures set forth in appendix A to part 58. Measurement method
precision is assessed from collocated sampling and analysis. The goal
for acceptable measurement uncertainty, as precision, is defined as an
upper 90 percent confidence limit for the coefficient of variation (CV)
of 20 percent.
5. Bias
5.1 Measurement system bias for monitoring data is assessed
according to the procedures set forth in appendix A of part 58. The bias
is assessed through an audit using spiked filters. The goal for
measurement bias is defined as an upper 95 percent confidence limit for
the absolute bias of 15 percent.
6. Measurement of PTFE Filters by EDXRF
6.1 Sampling
6.1.1 Low-Volume PM10cSampler. The low-volume PM10c
sampler shall be used for PM10 sample collection and operated
in accordance with the performance specifications described in part 50,
appendix L.
6.1.2 PTFE Filters and Filter Acceptance Testing. The PTFE filters
used for PM10c sample collection shall meet the
specifications provided in part 50, appendix L. The following
requirements are similar to those
[[Page 146]]
currently specified for the acceptance of PM2.5 filters that
are tested for trace elements by EDXRF. For large filter lots (greater
than 500 filters) randomly select 20 filters from a given lot. For small
lots (less than 500 filters) a lesser number of filters may be taken.
Analyze each blank filter separately and calculate the average lead
concentration in ng/cm\2\. Ninety percent, or 18 of the 20 filters, must
have an average lead concentration that is less than 4.8 ng Pb/cm\2\.
6.1.2.1 Filter Blanks. Field blank filters shall be collected along
with routine samples. Field blank filters will be collected that are
transported to the sampling site and placed in the sampler for the
duration of sampling without sampling. Laboratory blank filters from
each filter lot used shall be analyzed with each batch of routine sample
filters analyzed. Laboratory blank filters are used in background
subtraction as discussed below in Section 6.2.4.
6.2 Analysis. The four main categories of random and systematic
error encountered in X-ray fluorescence analysis include errors from
sample collection, the X-ray source, the counting process, and inter-
element effects. These errors are addressed through the calibration
process and mathematical corrections in the instrument software.
Spectral processing methods are well established and most commercial
analyzers have software that can implement the most common approaches
(references 9-11) to background subtraction, peak overlap correction,
counting and deadtime corrections.
6.2.1 EDXRF Analysis Instrument. An energy-dispersive XRF system is
used. Energy-dispersive XRF systems are available from a number of
commercial vendors. Examples include Thermo (www.thermo.com), Spectro
(http://www.spectro.com), Xenemetrix (http://www.xenemetrix.com) and
PANalytical (http://www.panalytical.com). \1\ The analysis is performed
at room temperature in either vacuum or in a helium atmosphere. The
specific details of the corrections and calibration algorithms are
typically included in commercial analytical instrument software routines
for automated spectral acquisition and processing and vary by
manufacturer. It is important for the analyst to understand the
correction procedures and algorithms of the particular system used, to
ensure that the necessary corrections are applied.
---------------------------------------------------------------------------
\1\ These are examples of available systems and is not an all
inclusive list. The mention of commercial products does not imply
endorsement by the U.S. Environmental Protection Agency.
---------------------------------------------------------------------------
6.2.2 Thin film standards. Thin film standards are used for
calibration because they most closely resemble the layer of particles on
a filter. Thin films standards are typically deposited on Nuclepore
substrates. The preparation of thin film standards is discussed in
reference 8, and 10. The NIST SRM 2783 (Air Particulate on Filter Media)
is currently available on polycarbonate filters and contains a certified
concentration for Pb. Thin film standards at 15 and 50 mg/cm\2\ are
commercially available from MicroMatter Inc. (Arlington, WA).
6.2.3 Filter Preparation. Filters used for sample collection are
46.2-mm PTFE filters with a pore size of 2 microns and filter deposit
area 11.86 cm\2\. Cold storage is not a requirement for filters analyzed
for Pb; however, if filters scheduled for XRF analysis were stored cold,
they must be allowed to reach room temperature prior to analysis. All
filter samples received for analysis are checked for any holes, tears,
or a non-uniform deposit which would prevent quantitative analysis.
Samples with physical deformities are not quantitatively analyzable. The
filters are carefully removed with tweezers from the Petri dish and
securely placed into the instrument-specific sampler holder for
analysis. Care must be taken to protect filters from contamination prior
to analysis. Filters must be kept covered when not being analyzed. No
other preparation of filter samples is required.
6.2.4 Calibration. In general, calibration determines each element's
sensitivity, i.e., its response in x-ray counts/sec to each mg/cm\2\ of
a standard and an interference coefficient for each element that causes
interference with another one (See section 3.2 above). The sensitivity
can be determined by a linear plot of count rate versus concentration
(mg/cm\2\) in which the slope is the instrument's sensitivity for that
element. A more precise way, which requires fewer standards, is to fit
sensitivity versus atomic number. Calibration is a complex task in the
operation of an XRF system. Two major functions accomplished by
calibration are the production of reference spectra which are used for
fitting and the determination of the elemental sensitivities. Included
in the reference spectra (referred to as ``shapes'') are background-
subtracted peak shapes of the elements to be analyzed (as well as
interfering elements) and spectral backgrounds. Pure element thin film
standards are used for the element peak shapes and clean filter blanks
from the same lot as routine filter samples are used for the background.
The analysis of Pb in PM filter deposits is based on the assumption that
the thickness of the deposit is small with respect to the characteristic
Pb X-ray transmission thickness. Therefore, the concentration of Pb in a
sample is determined by first calibrating the spectrometer with thin
film standards to determine the sensitivity factor for Pb and then
analyzing the unknown samples under identical excitation conditions as
used to determine the calibration. Calibration shall be
[[Page 147]]
performed annually or when significant repairs or changes occur (e.g., a
change in fluorescers, X-ray tubes, or detector). Calibration
establishes the elemental sensitivity factors and the magnitude of
interference or overlap coefficients. See reference 7 for more detailed
discussion of calibration and analysis of shapes standards for
background correction, coarse particle absorption corrections, and
spectral overlap.
6.2.4.1 Spectral Peak Fitting. The EPA uses a library of pure
element peak shapes (shape standards) to extract the elemental
background-free peak areas from an unknown spectrum. It is also possible
to fit spectra using peak stripping or analytically defined functions
such as modified Gaussian functions. The EPA shape standards are
generated from pure, mono-elemental thin film standards. The shape
standards are acquired for sufficiently long times to provide a large
number of counts in the peaks of interest. It is not necessary for the
concentration of the standard to be known. A slight contaminant in the
region of interest in a shape standard can have a significant and
serious effect on the ability of the least squares fitting algorithm to
fit the shapes to the unknown spectrum. It is these elemental peak
shapes that are fitted to the peaks in an unknown sample during spectral
processing by the analyzer. In addition to this library of elemental
shapes there is also a background shape spectrum for the filter type
used as discussed below in section 6.2.4.2 of this section.
6.2.4.2 Background Measurement and Correction. A background spectrum
generated by the filter itself must be subtracted from the X-ray
spectrum prior to extracting peak areas. Background spectra must be
obtained for each filter lot used for sample collection. The background
shape standards which are used for background fitting are created at the
time of calibration. If a new lot of filters is used, new background
spectra must be obtained. A minimum of 20 clean blank filters from each
filter lot are kept in a sealed container and are used exclusively for
background measurement and correction. The spectra acquired on
individual blank filters are added together to produce a single spectrum
for each of the secondary targets or fluorescers used in the analysis of
lead. Individual blank filter spectra which show atypical contamination
are excluded from the summed spectra. The summed spectra are fitted to
the appropriate background during spectral processing. Background
correction is automatically included during spectral processing of each
sample.
7. Calculation.
7.1 PM10 Pb concentrations. The PM10 Pb concentration in
the atmosphere (mg/m\3\) is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR12NO08.000
Where,
MPb is the mass per unit volume for lead in mg/m\3\;
CPb is the mass per unit area for lead in mg/cm\2\ as measured by XRF;
A is the filter deposit area in cm\2\;
VLC is the total volume of air sampled by the PM10c sampler
in actual volume units measured at local conditions of
temperature and pressure, as provided by the sampler in m\3\.
7.2 PM10 Pb Uncertainty Calculations.
The principal contributors to total uncertainty of XRF values
include: field sampling; filter deposit area; XRF calibration;
attenuation or loss of the x-ray signals due to the other components of
the particulate sample; and determination of the Pb X-ray emission peak
area by curve fitting. See reference 12 for a detailed discussion of how
uncertainties are similarly calculated for the PM2.5 Chemical
Speciation program.
The model for calculating total uncertainty is:
[delta]tot = ([delta]f2 + [delta]a2 + [delta]c2 + [delta]v2) 1/2
Where,
[delta]f = fitting uncertainty (XRF-specific, from 2 to 100 +
%)
[delta]a = attenuation uncertainty (XRF-specific,
insignificant for Pb)
[delta]c = calibration uncertainty (combined lab uncertainty,
assumed as 5%)
[delta]v = volume/deposition size uncertainty (combined field
uncertainty, assumed as 5%)
8. References
1. Inorganic Compendium Method IO-3.3; Determination of Metals in
Ambient Particulate Matter Using X-Ray Fluorescence (XRF) Spectroscopy;
U.S. Environmental Protection Agency, Cincinnati, OH 45268. EPA/625/R-
96/010a. June 1999.
2. Jenkins, R., Gould, R.W., and Gedcke, D. Quantitative X-ray
Spectrometry: Second Edition. Marcel Dekker, Inc., New York, NY. 1995.
3. Jenkins, R. X-Ray Fluorescence Spectrometry: Second Edition in
Chemical Analysis, a Series of Monographs on Analytical Chemistry and
Its Applications, Volume 152. Editor J.D.Winefordner; John Wiley & Sons,
Inc., New York, NY. 1999.
4. Dzubay, T.G. X-ray Fluorescence Analysis of Environmental
Samples, Ann Arbor Science Publishers Inc., 1977.
5. Code of Federal Regulations (CFR) 40, Part 136, Appendix B;
Definition and Procedure for the Determination of the Method Detection
Limit--Revision 1.1.
6. Drane, E.A, Rickel, D.G., and Courtney, W.J., ``Computer Code for
Analysis X-Ray
[[Page 148]]
Fluorescence Spectra of Airborne Particulate Matter,'' in Advances in X-
Ray Analysis, J.R. Rhodes, Ed., Plenum Publishing Corporation, New York,
NY, p. 23 (1980).
7. Analysis of Energy-Dispersive X-ray Spectra of Ambient Aerosols
with Shapes Optimization, Guidance Document; TR-WDE-06-02; prepared
under contract EP-D-05-065 for the U.S. Environmental Protection Agency,
National Exposure Research Laboratory. March 2006.
8. Billiet, J., Dams, R., and Hoste, J. (1980) Multielement Thin
Film Standards for XRF Analysis, X-Ray Spectrometry, 9(4): 206-211.
9. Bonner, N.A.; Bazan, F.; and Camp, D.C. (1973). Elemental
analysis of air filter samples using x-ray fluorescence. Report No.
UCRL-51388. Prepared for U.S. Atomic Energy Commission, by Univ. of
Calif., Lawrence Livermore Laboratory, Livermore, CA.
10. Dzubay, T.G.; Lamothe, P.J.; and Yoshuda, H. (1977). Polymer
films as calibration standards for X-ray fluorescence analysis. Adv. X-
Ray Anal., 20:411.
11. Giauque, R.D.; Garrett, R.B.; and Goda, L.Y. (1977). Calibration
of energy-dispersive X-ray spectrometers for analysis of thin
environmental samples. In X-Ray Fluorescence Analysis of Environmental
Samples, T.G. Dzubay, Ed., Ann Arbor Science Publishers, Ann Arbor, MI,
pp. 153-181.
12. Harmonization of Interlaboratory X-ray Fluorescence Measurement
Uncertainties, Detailed Discussion Paper; August 4, 2006; prepared for
the Office of Air Quality Planning and Standards under EPA contract 68-
D-03-038. http://www.epa.gov/ttn/amtic/files/ambient/pm25/spec/
xrfdet.pdf.
[73 FR 67052, Nov. 12, 2008]
Sec. Appendix R to Part 50--Interpretation of the National Ambient Air
Quality Standards for Lead
1. General.
(a) This appendix explains the data handling conventions and
computations necessary for determining when the primary and secondary
national ambient air quality standards (NAAQS) for lead (Pb) specified
in Sec. 50.16 are met. The NAAQS indicator for Pb is defined as: lead
and its compounds, measured as elemental lead in total suspended
particulate (Pb-TSP), sampled and analyzed by a Federal reference method
(FRM) based on appendix G to this part or by a Federal equivalent method
(FEM) designated in accordance with part 53 of this chapter. Although
Pb-TSP is the lead NAAQS indicator, surrogate Pb-TSP concentrations
shall also be used for NAAQS comparisons; specifically, valid surrogate
Pb-TSP data are concentration data for lead and its compounds, measured
as elemental lead, in particles with an aerodynamic size of 10 microns
or less (Pb-PM10), sampled and analyzed by an FRM based on
appendix Q to this part or by an FEM designated in accordance with part
53 of this chapter. Surrogate Pb-TSP data (i.e., Pb-PM10
data), however, can only be used to show that the Pb NAAQS were violated
(i.e., not met); they can not be used to demonstrate that the Pb NAAQS
were met. Pb-PM10 data used as surrogate Pb-TSP data shall be
processed at face value; that is, without any transformation or scaling.
Data handling and computation procedures to be used in making
comparisons between reported and/or surrogate Pb-TSP concentrations and
the level of the Pb NAAQS are specified in the following sections.
(b) Whether to exclude, retain, or make adjustments to the data
affected by exceptional events, including natural events, is determined
by the requirements and process deadlines specified in Sec. Sec. 50.1,
50.14, and 51.930 of this chapter.
(c) The terms used in this appendix are defined as follows:
Annual monitoring network plan refers to the plan required by
section 58.10 of this chapter.
Creditable samples are samples that are given credit for data
completeness. They include valid samples collected on required sampling
days and valid ``make-up'' samples taken for missed or invalidated
samples on required sampling days.
Daily values for Pb refer to the 24-hour mean concentrations of Pb
(Pb-TSP or Pb-PM10), measured from midnight to midnight
(local standard time), that are used in NAAQS computations.
Design value is the site-level metric (i.e., statistic) that is
compared to the NAAQS level to determine compliance; the design value
for the Pb NAAQS is selected according to the procedures in this
appendix from among the valid three-month Pb-TSP and surrogate Pb-TSP
(Pb-PM10) arithmetic mean concentration for the 38-month
period consisting of the most recent 3-year calendar period plus two
previous months (i.e., 36 3-month periods) using the last month of each
3-month period as the period of report.
Extra samples are non-creditable samples. They are daily values that
do not occur on scheduled sampling days and that can not be used as
``make-up samples'' for missed or invalidated scheduled samples. Extra
samples are used in mean calculations. For purposes of determining
whether a sample must be treated as a make-up sample or an extra sample,
Pb-TSP and Pb-PM10 data collected before January 1, 2009 will
be treated with an assumed scheduled sampling frequency of every sixth
day.
Make-up samples are samples taken to replace missed or invalidated
required scheduled samples. Make-ups can be made by either the primary
or collocated (same size fraction) instruments; to be considered a
[[Page 149]]
valid make-up, the sampling must be conducted with equipment and
procedures that meet the requirements for scheduled sampling. Make-up
samples are either taken before the next required sampling day or
exactly one week after the missed (or voided) sampling day. Make-up
samples can not span years; that is, if a scheduled sample for December
is missed (or voided), it can not be made up in January. Make-up
samples, however, may span months, for example a missed sample on
January 31 may be made up on February 1, 2, 3, 4, 5, or 7 (with an
assumed sampling frequency of every sixth day). Section 3(e) explains
how such month-spanning make-up samples are to be treated for purposes
of data completeness and mean calculations. Only two make-up samples are
permitted each calendar month; these are counted according to the month
in which the miss and not the makeup occurred. For purposes of
determining whether a sample must be treated as a make-up sample or an
extra sample, Pb-TSP and Pb-PM10 data collected before
January 1, 2009 will be treated with an assumed scheduled sampling
frequency of every sixth day.
Monthly mean refers to an arithmetic mean, calculated as specified
in section 6(a) of this appendix. Monthly means are computed at each
monitoring site separately for Pb-TSP and Pb-PM10 (i.e., by
site-parameter-year-month).
Parameter refers either to Pb-TSP or to Pb-PM10.
Pollutant Occurrence Code (POC) refers to a numerical code (1, 2, 3,
etc.) used to distinguish the data from two or more monitors for the
same parameter at a single monitoring site.
Scheduled sampling day means a day on which sampling is scheduled
based on the required sampling frequency for the monitoring site, as
provided in section 58.12 of this chapter.
Three-month means are arithmetic averages of three consecutive
monthly means. Three-month means are computed on a rolling, overlapping
basis. Each distinct monthly mean will be included in three different 3-
month means; for example, in a given year, a November mean would be
included in: (1) The September-October-November 3-month mean, (2) the
October-November-December 3-month mean, and (3) the November-December-
January(of the following year) 3-month mean. Three-month means are
computed separately for each parameter per section 6(a) (and are
referred to as 3-month parameter means) and are validated according to
the criteria specified in section 4(c). The parameter-specific 3-month
means are then prioritized according to section 2(a) to determine a
single 3-month site mean.
Year refers to a calendar year.
2. Use of Pb-PM10 Data as Surrogate Pb-TSP Data.
(a) As stipulated in section 2.10 of Appendix C to 40 CFR part 58,
at some mandatory Pb monitoring locations, monitoring agencies are
required to sample for Pb as Pb-TSP, and at other mandatory Pb
monitoring sites, monitoring agencies are permitted to monitor for Pb-
PM10 in lieu of Pb-TSP. In either situation, valid collocated
Pb data for the other parameter may be produced. Additionally, there may
be non-required monitoring locations that also produce valid Pb-TSP and/
or valid Pb-PM10 data. Pb-TSP data and Pb-PM10
data are always processed separately when computing monthly and 3-month
parameter means; monthly and 3-month parameter means are validated
according to the criteria stated in section 4 of this appendix. Three-
month ``site'' means, which are the final valid 3-month mean from which
a design value is identified, are determined from the one or two
available valid 3-month parameter means according to the following
prioritization which applies to all Pb monitoring locations.
(i) Whenever a valid 3-month Pb-PM10 mean shows a
violation and either is greater than a corresponding (collocated) 3-
month Pb-TSP mean or there is no corresponding valid 3-month Pb-TSP mean
present, then that 3-month Pb-PM10 mean will be the site-
level mean for that (site's) 3-month period.
(ii) Otherwise (i.e., there is no valid violating 3-month Pb-
PM10 that exceeds a corresponding 3-month Pb-TSP mean),
(A) If a valid 3-month Pb-TSP mean exists, then it will be the site-
level mean for that (site's) 3-month period, or
(B) If a valid 3-month Pb-TSP mean does not exist, then there is no
valid 3-month site mean for that period (even if a valid non-violating
3-month Pb-PM10 mean exists).
(b) As noted in section 1(a) of this appendix, FRM/FEM Pb-
PM10 data will be processed at face value (i.e., at reported
concentrations) without adjustment when computing means and making NAAQS
comparisons.
3. Requirements for Data Used for Comparisons With the Pb NAAQS and
Data Reporting Considerations.
(a) All valid FRM/FEM Pb-TSP data and all valid FRM/FEM Pb-
PM10 data submitted to EPA's Air Quality System (AQS), or
otherwise available to EPA, meeting the requirements of part 58 of this
chapter including appendices A, C, and E shall be used in design value
calculations. Pb-TSP and Pb-PM10 data representing sample
collection periods prior to January 1, 2009 (i.e., ``pre-rule'' data)
will also be considered valid for NAAQS comparisons and related
attainment/nonattainment determinations if the sampling and analysis
methods that were utilized to collect that data were consistent with
previous or newly designated FRMs or FEMs and with either the provisions
of part 58 of this chapter including appendices A, C,
[[Page 150]]
and E that were in effect at the time of original sampling or that are
in effect at the time of the attainment/nonattainment determination, and
if such data are submitted to AQS prior to September 1, 2009.
(b) Pb-TSP and Pb-PM10 measurement data are reported to
AQS in units of micrograms per cubic meter (mg/m\3\) at local conditions
(local temperature and pressure, LC) to three decimal places; any
additional digits to the right of the third decimal place are truncated.
Pre-rule Pb-TSP and Pb-PM10 concentration data that were
reported in standard conditions (standard temperature and standard
pressure, STP) will not require a conversion to local conditions but
rather, after truncating to three decimal places and processing as
stated in this appendix, shall be compared ``as is'' to the NAAQS (i.e.,
the LC to STP conversion factor will be assumed to be one). However, if
the monitoring agency has retroactively resubmitted Pb-TSP or Pb-
PM10 pre-rule data converted from STP to LC based on suitable
meteorological data, only the LC data will be used.
(c) At each monitoring location (site), Pb-TSP and Pb-
PM10 data are to be processed separately when selecting daily
data by day (as specified in section 3(d) of this appendix), when
aggregating daily data by month (per section 6(a)), and when forming 3-
month means (per section 6(b)). However, when deriving (i.e.,
identifying) the design value for the 38-month period, 3-month means for
the two data types may be considered together; see sections 2(a) and
4(e) of this appendix for details.
(d) Daily values for sites will be selected for a site on a size cut
(Pb-TSP or Pb-PM10, i.e., ``parameter'') basis; Pb-TSP
concentrations and Pb-PM10 concentrations shall not be
commingled in these determinations. Site level, parameter-specific daily
values will be selected as follows:
(i) The starting dataset for a site-parameter shall consist of the
measured daily concentrations recorded from the designated primary FRM/
FEM monitor for that parameter. The primary monitor for each parameter
shall be designated in the appropriate state or local agency annual
Monitoring Network Plan. If no primary monitor is designated, the
Administrator will select which monitor to treat as primary. All daily
values produced by the primary sampler are considered part of the site-
parameter data record (i.e., that site-parameter's set of daily values);
this includes all creditable samples and all extra samples. For pre-rule
Pb-TSP and Pb-PM10 data, valid data records present in AQS
for the monitor with the lowest occurring Pollutant Occurrence Code
(POC), as selected on a site-parameter-daily basis, will constitute the
site-parameter data record. Where pre-rule Pb-TSP data (or subsequent
non-required Pb-TSP or Pb-PM10 data) are reported in
``composite'' form (i.e., multiple filters for a month of sampling that
are analyzed together), the composite concentration will be used as the
site-parameter monthly mean concentration if there are no valid daily
Pb-TSP data reported for that month with a lower POC.
(ii) Data for the primary monitor for each parameter shall be
augmented as much as possible with data from collocated (same parameter)
FRM/FEM monitors. If a valid 24-hour measurement is not produced from
the primary monitor for a particular day (scheduled or otherwise), but a
valid sample is generated by a collocated (same parameter) FRM/FEM
instrument, then that collocated value shall be considered part of the
site-parameter data record (i.e., that site-parameter's monthly set of
daily values). If more than one valid collocated FRM/FEM value is
available, the mean of those valid collocated values shall be used as
the daily value. Note that this step will not be necessary for pre-rule
data given the daily identification presumption for the primary monitor.
(e) All daily values in the composite site-parameter record are used
in monthly mean calculations. However, not all daily values are given
credit towards data completeness requirements. Only ``creditable''
samples are given credit for data completeness. Creditable samples
include valid samples on scheduled sampling days and valid make-up
samples. All other types of daily values are referred to as ``extra''
samples. Make-up samples taken in the (first week of the) month after
the one in which the miss/void occurred will be credited for data
capture in the month of the miss/void but will be included in the month
actually taken when computing monthly means. For example, if a make-up
sample was taken in February to replace a missed sample scheduled for
January, the make-up concentration would be included in the February
monthly mean but the sample credited in the January data capture rate.
4. Comparisons With the Pb NAAQS.
(a) The Pb NAAQS is met at a monitoring site when the identified
design value is valid and less than or equal to 0.15 micrograms per
cubic meter (mg/m\3\). A Pb design value that meets the NAAQS (i.e.,
0.15 mg/m\3\ or less), is considered valid if it encompasses 36
consecutive valid 3-month site means (specifically for a 3-year calendar
period and the two previous months). For sites that begin monitoring Pb
after this rule is effective but before January 15, 2010 (or January 15,
2011), a 2010-2012 (or 2011-2013) Pb design value that meets the NAAQS
will be considered valid if it encompasses at least 34 consecutive valid
3-month means (specifically encompassing only the 3-year calendar
period). See 4(c) of this appendix for the description of a valid 3-
month mean and section 6(d) for the definition of the design value.
[[Page 151]]
(b) The Pb NAAQS is violated at a monitoring site when the
identified design value is valid and is greater than 0.15 mg/m\3\, no
matter whether determined from Pb-TSP or Pb-PM10 data. A Pb
design value greater than 0.15 mg/m\3\ is valid no matter how many valid
3-month means in the 3-year period it encompasses; that is, a violating
design value is valid even if it (i.e., the highest 3-month mean) is the
only valid 3-month mean in the 3-year timeframe. Further, a site does
not have to monitor for three full calendar years in order to have a
valid violating design value; a site could monitor just three months and
still produce a valid (violating) design value.
(c)(i) A 3-month parameter mean is considered valid (i.e., meets
data completeness requirements) if the average of the data capture rate
of the three constituent monthly means (i.e., the 3-month data capture
rate) is greater than or equal to 75 percent. Monthly data capture rates
(expressed as a percentage) are specifically calculated as the number of
creditable samples for the month (including any make-up samples taken
the subsequent month for missed samples in the month in question, and
excluding any make-up samples taken in the month in question for missed
samples in the previous month) divided by the number of scheduled
samples for the month, the result then multiplied by 100 but not
rounded. The 3-month data capture rate is the sum of the three
corresponding unrounded monthly data capture rates divided by three and
the result rounded to the nearest integer (zero decimal places). As
noted in section 3(c), Pb-TSP and Pb-PM10 daily values are
processed separately when calculating monthly means and data capture
rates; a Pb-TSP value cannot be used as a make-up for a missing Pb-
PM10 value or vice versa. For purposes of assessing data
capture, Pb-TSP and Pb-PM10 data collected before January 1,
2009 will be treated with an assumed scheduled sampling frequency of
every sixth day.
(ii) A 3-month parameter mean that does not have at least 75 percent
data capture and thus is not considered valid under 4(c)(i) shall be
considered valid (and complete) if it passes either of the two following
``data substitution'' tests, one such test for validating an above
NAAQS-level (i.e., violating) 3-month Pb-TSP or Pb-PM10 mean
(using actual ``low'' reported values from the same site at about the
same time of the year (i.e., in the same month) looking across three or
four years), and the second test for validating a below-NAAQS level 3-
month Pb-TSP mean (using actual ``high'' values reported for the same
site at about the same time of the year (i.e., in the same month)
looking across three or four years). Note that both tests are merely
diagnostic in nature intending to confirm that there is a very high
likelihood if not certainty that the original mean (the one with less
than 75% data capture) reflects the true over/under NAAQS-level status
for that 3-month period; the result of one of these data substitution
tests (i.e., a ``test mean'', as defined in section 4(c)(ii)(A) or
4(c)(ii)(B)) is not considered the actual 3-month parameter mean and
shall not be used in the determination of design values. For both types
of data substitution, substitution is permitted only if there are
available data points from which to identify the high or low 3-year
month-specific values, specifically if there are at least 10 data points
total from at least two of the three (or four for November and December)
possible year-months. Data substitution may only use data of the same
parameter type.
(A) The ``above NAAQS level'' test is as follows: Data substitution
will be done in each month of the 3-month period that has less than 75
percent data capture; monthly capture rates are temporarily rounded to
integers (zero decimals) for this evaluation. If by substituting the
lowest reported daily value for that month (year non-specific; e.g., for
January) over the 38-month design value period in question for missing
scheduled data in the deficient months (substituting only enough to meet
the 75 percent data capture minimum), the computation yields a
recalculated test 3-month parameter mean concentration above the level
of the standard, then the 3-month period is deemed to have passed the
diagnostic test and the level of the standard is deemed to have been
exceeded in that 3-month period. As noted in section 4(c)(ii), in such a
case, the 3-month parameter mean of the data actually reported, not the
recalculated (``test'') result including the low values, shall be used
to determine the design value.
(B) The ``below NAAQS level'' test is as follows: Data substitution
will be performed for each month of the 3-month period that has less
than 75 percent but at least 50 percent data capture; if any month has
less than 50% data capture then the 3-month mean can not utilize this
substitution test. Also, incomplete 3-month Pb-PM10 means can
not utilize this test. A 3-month Pb-TSP mean with less than 75% data
capture shall still be considered valid (and complete) if, by
substituting the highest reported daily value, month-specific, over the
3-year design value period in question, for all missing scheduled data
in the deficient months (i.e., bringing the data capture rate up to
100%), the computation yields a recalculated 3-month parameter mean
concentration equal or less than the level of the standard (0.15 mg/
m\3\), then the 3-month mean is deemed to have passed the diagnostic
test and the level of the standard is deemed not to have been exceeded
in that 3-month period (for that parameter). As noted in section
4(c)(ii), in such a case, the 3-month parameter mean of the data
actually reported, not the recalculated (``test'') result
[[Page 152]]
including the high values, shall be used to determine the design value.
(d) Months that do not meet the completeness criteria stated in
4(c)(i) or 4(c)(ii), and design values that do not meet the completeness
criteria stated in 4(a) or 4(b), may also be considered valid (and
complete) with the approval of, or at the initiative of, the
Administrator, who may consider factors such as monitoring site
closures/moves, monitoring diligence, the consistency and levels of the
valid concentration measurements that are available, and nearby
concentrations in determining whether to use such data.
(e) The site-level design value for a 38-month period (three
calendar years plus two previous months) is identified from the
available (between one and 36) valid 3-month site means. In a situation
where there are valid 3-month means for both parameters (Pb-TSP and Pb-
PM10), the mean originating from the reported Pb-TSP data
will be the one deemed the site-level monthly mean and used in design
value identifications unless the Pb-PM10 mean shows a
violation of the NAAQS and exceeds the Pb-TSP mean; see section 2(a) for
details. A monitoring site will have only one site-level 3-month mean
per 3-month period; however, the set of site-level 3-month means
considered for design value identification (i.e., one to 36 site-level
3-month means) can be a combination of Pb-TSP and Pb-PM10
data.
(f) The procedures for calculating monthly means and 3-month means,
and identifying Pb design values are given in section 6 of this
appendix.
5. Rounding Conventions.
(a) Monthly means and monthly data capture rates are not rounded.
(b) Three-month means shall be rounded to the nearest hundredth mg/
m\3\ (0.xx). Decimals 0.xx5 and greater are rounded up, and any decimal
lower than 0.xx5 is rounded down. E.g., a 3-month mean of 0.104925
rounds to 0.10 and a 3-month mean of .10500 rounds to 0.11. Three-month
data capture rates, expressed as a percent, are round to zero decimal
places.
(c) Because a Pb design value is simply a (highest) 3-month mean and
because the NAAQS level is stated to two decimal places, no additional
rounding beyond what is specified for 3-month means is required before a
design value is compared to the NAAQS.
6. Procedures and Equations for the Pb NAAQS.
(a)(i) A monthly mean value for Pb-TSP (or Pb-PM10) is
determined by averaging the daily values of a calendar month using
equation 1 of this appendix, unless the Administrator chooses to
exercise his discretion to use the alternate approach described in
6(a)(ii).
[GRAPHIC] [TIFF OMITTED] TR12NO08.001
Where:
Xm,y,s = the mean for month m of the year y for sites; and
nm = the number of daily values in the month (creditable plus extra
samples); and
Xi,m,y,s = the i\th\ value in month m for year y for site s.
(a)(ii) The Administrator may at his discretion use the following
alternate approach to calculating the monthly mean concentration if the
number of extra sampling days during a month is greater than the number
of successfully completed scheduled and make-up sample days in that
month. In exercising his discretion, the Administrator will consider
whether the approach specified in 6(a)(i) might in the Administrator's
judgment result in an unrepresentative value for the monthly mean
concentration. This provision is to protect the integrity of the monthly
and 3-month mean concentration values in situations in which, by
intention or otherwise, extra sampling days are concentrated in a period
during which ambient concentrations are particularly high or low. The
alternate approach is to average all extra and make-up samples (in the
given month) taken after each scheduled sampling day (``Day X'') and
before the next scheduled sampling day (e.g., ``Day X + 6'', in the case
of one-in-six sampling) with the sample taken on Day X (assuming valid
data was obtained on the scheduled sampling day), and then averaging
these averages to calculate the monthly mean. This approach has the
effect of giving approximately equal weight to periods during a month
that have equal number of days, regardless of how many samples were
actually obtained during the periods, thus mitigating the potential for
the monthly mean to be distorted. The first day of scheduled sampling
typically will not fall on the first day of the calendar month, and
there may be make-up and/or extra samples (in that same calendar month)
preceding the first scheduled day of the month. These samples will not
be shifted into the previous month's mean concentration, but rather will
stay associated with their actual calendar month as follows. Any extra
and make-up samples taken in a month before the first scheduled sampling
day of the month will be associated with and averaged with the last
scheduled sampling day of that same month.
(b) Three-month parameter means are determined by averaging three
consecutive monthly means of the same parameter using Equation 2 of this
appendix.
[[Page 153]]
[GRAPHIC] [TIFF OMITTED] TR12NO08.002
Where:
Xm1, m2, m3; s = the 3-month parameter mean for months m1, m2, and m3
for site s; and
nm = the number of monthly means available to be averaged (typically 3,
sometimes 1 or 2 if one or two months have no valid daily
values); and
Xm, y: z, s = The mean for month m of the year y (or z) for site s.
(c) Three-month site means are determined from available 3-month
parameter means according to the hierarchy established in 2(a) of this
appendix.
(d) The site-level Pb design value is the highest valid 3-month
site-level mean over the most recent 38-month period (i.e., the most
recent 3-year calendar period plus two previous months). Section 4(a) of
this appendix explains when the identified design value is itself
considered valid for purposes of determining that the NAAQS is met or
violated at a site.
[73 FR 67054, Nov. 12, 2008]
Sec. Appendix S to Part 50--Interpretation of the Primary National
Ambient Air Quality Standards for Oxides of Nitrogen (Nitrogen Dioxide)
1. General
(a) This appendix explains the data handling conventions and
computations necessary for determining when the primary national ambient
air quality standards for oxides of nitrogen as measured by nitrogen
dioxide (``NO2 NAAQS'') specified in 50.11 are met. Nitrogen
dioxide (NO2) is measured in the ambient air by a Federal
reference method (FRM) based on appendix F to this part or by a Federal
equivalent method (FEM) designated in accordance with part 53 of this
chapter. Data handling and computation procedures to be used in making
comparisons between reported NO2 concentrations and the
levels of the NO2 NAAQS are specified in the following
sections.
(b) Whether to exclude, retain, or make adjustments to the data
affected by exceptional events, including natural events, is determined
by the requirements and process deadlines specified in 50.1, 50.14 and
51.930 of this chapter.
(c) The terms used in this appendix are defined as follows:
Annual mean refers to the annual average of all of the 1-hour
concentration values as defined in section 5.1 of this appendix.
Daily maximum 1-hour values for NO2 refers to the maximum
1-hour NO2 concentration values measured from midnight to
midnight (local standard time) that are used in NAAQS computations.
Design values are the metrics (i.e., statistics) that are compared
to the NAAQS levels to determine compliance, calculated as specified in
section 5 of this appendix. The design values for the primary NAAQS are:
(1) The annual mean value for a monitoring site for one year
(referred to as the ``annual primary standard design value'').
(2) The 3-year average of annual 98th percentile daily maximum 1-
hour values for a monitoring site (referred to as the ``1-hour primary
standard design value'').
98th percentile daily maximum 1-hour value is the value below which
nominally 98 percent of all daily maximum 1-hour concentration values
fall, using the ranking and selection method specified in section 5.2 of
this appendix.
Quarter refers to a calendar quarter.
Year refers to a calendar year.
2. Requirements for Data Used for Comparisons With the NO2
NAAQS and Data Reporting Considerations
(a) All valid FRM/FEM NO2 hourly data required to be
submitted to EPA's Air Quality System (AQS), or otherwise available to
EPA, meeting the requirements of part 58 of this chapter including
appendices A, C, and E shall be used in design value calculations.
Multi-hour average concentration values collected by wet chemistry
methods shall not be used.
(b) When two or more NO2 monitors are operated at a site,
the State may in advance designate one of them as the primary monitor.
If the State has not made this designation, the Administrator will make
the designation, either in advance or retrospectively. Design values
will be developed using only the data from the primary monitor, if this
results in a valid design value. If data from the primary monitor do not
allow the development of a valid design value, data solely from the
other monitor(s) will be used in turn to develop a valid design value,
if this results in a valid design value. If there are three or more
monitors, the order for such comparison of the other monitors will be
determined by the Administrator. The Administrator may combine data from
different monitors in different years for the purpose of developing a
valid 1-hour primary standard design value, if a valid design value
cannot be developed solely with the data from a single monitor. However,
data from two or more monitors in the same year at the same site will
not be combined in an attempt to meet data completeness requirements,
except if one monitor has physically replaced another instrument
permanently, in
[[Page 154]]
which case the two instruments will be considered to be the same
monitor, or if the State has switched the designation of the primary
monitor from one instrument to another during the year.
(c) Hourly NO2 measurement data shall be reported to AQS
in units of parts per billion (ppb), to at most one place after the
decimal, with additional digits to the right being truncated with no
further rounding.
3. Comparisons With the NO2 NAAQS
3.1 The Annual Primary NO2 NAAQS
(a) The annual primary NO2 NAAQS is met at a site when
the valid annual primary standard design value is less than or equal to
53 parts per billion (ppb).
(b) An annual primary standard design value is valid when at least
75 percent of the hours in the year are reported.
(c) An annual primary standard design value based on data that do
not meet the completeness criteria stated in section 3.1(b) may also be
considered valid with the approval of, or at the initiative of, the
Administrator, who may consider factors such as monitoring site
closures/moves, monitoring diligence, the consistency and levels of the
valid concentration measurements that are available, and nearby
concentrations in determining whether to use such data.
(d) The procedures for calculating the annual primary standard
design values are given in section 5.1 of this appendix.
3.2 The 1-hour Primary NO2 NAAQS
(a) The 1-hour primary NO2 NAAQS is met at a site when
the valid 1-hour primary standard design value is less than or equal to
100 parts per billion (ppb).
(b) An NO2 1-hour primary standard design value is valid
if it encompasses three consecutive calendar years of complete data. A
year meets data completeness requirements when all 4 quarters are
complete. A quarter is complete when at least 75 percent of the sampling
days for each quarter have complete data. A sampling day has complete
data if 75 percent of the hourly concentration values, including State-
flagged data affected by exceptional events which have been approved for
exclusion by the Administrator, are reported.
(c) In the case of one, two, or three years that do not meet the
completeness requirements of section 3.2(b) of this appendix and thus
would normally not be useable for the calculation of a valid 3-year 1-
hour primary standard design value, the 3-year 1-hour primary standard
design value shall nevertheless be considered valid if one of the
following conditions is true.
(i) At least 75 percent of the days in each quarter of each of three
consecutive years have at least one reported hourly value, and the
design value calculated according to the procedures specified in section
5.2 is above the level of the primary 1-hour standard.
(ii)(A) A 1-hour primary standard design value that is below the
level of the NAAQS can be validated if the substitution test in section
3.2(c)(ii)(B) results in a ``test design value'' that is below the level
of the NAAQS. The test substitutes actual ``high'' reported daily
maximum 1-hour values from the same site at about the same time of the
year (specifically, in the same calendar quarter) for unknown values
that were not successfully measured. Note that the test is merely
diagnostic in nature, intended to confirm that there is a very high
likelihood that the original design value (the one with less than 75
percent data capture of hours by day and of days by quarter) reflects
the true under-NAAQS-level status for that 3-year period; the result of
this data substitution test (the ``test design value'', as defined in
section 3.2(c)(ii)(B)) is not considered the actual design value. For
this test, substitution is permitted only if there are at least 200 days
across the three matching quarters of the three years under
consideration (which is about 75 percent of all possible daily values in
those three quarters) for which 75 percent of the hours in the day,
including State-flagged data affected by exceptional events which have
been approved for exclusion by the Administrator, have reported
concentrations. However, maximum 1-hour values from days with less than
75 percent of the hours reported shall also be considered in identifying
the high value to be used for substitution.
(B) The substitution test is as follows: Data substitution will be
performed in all quarter periods that have less than 75 percent data
capture but at least 50 percent data capture, including State-flagged
data affected by exceptional events which have been approved for
exclusion by the Administrator; if any quarter has less than 50 percent
data capture then this substitution test cannot be used. Identify for
each quarter (e.g., January-March) the highest reported daily maximum 1-
hour value for that quarter, excluding State-flagged data affected by
exceptional events which have been approved for exclusion by the
Administrator, looking across those three months of all three years
under consideration. All daily maximum 1-hour values from all days in
the quarter period shall be considered when identifying this highest
value, including days with less than 75 percent data capture. If after
substituting the highest non-excluded reported daily maximum 1-hour
value for a quarter for as much of the missing daily data in the
matching deficient quarter(s) as is needed to make them 100 percent
complete, the procedure in section 5.2 yields a recalculated 3-year 1-
hour standard ``test design value'' below the level of the standard,
then the 1-hour primary standard design value is deemed to have
[[Page 155]]
passed the diagnostic test and is valid, and the level of the standard
is deemed to have been met in that 3-year period. As noted in section
3.2(c)(i), in such a case, the 3-year design value based on the data
actually reported, not the ``test design value'', shall be used as the
valid design value.
(iii)(A) A 1-hour primary standard design value that is above the
level of the NAAQS can be validated if the substitution test in section
3.2(c)(iii)(B) results in a ``test design value'' that is above the
level of the NAAQS. The test substitutes actual ``low'' reported daily
maximum 1-hour values from the same site at about the same time of the
year (specifically, in the same three months of the calendar) for
unknown values that were not successfully measured. Note that the test
is merely diagnostic in nature, intended to confirm that there is a very
high likelihood that the original design value (the one with less than
75 percent data capture of hours by day and of days by quarter) reflects
the true above-NAAQS-level status for that 3-year period; the result of
this data substitution test (the ``test design value'', as defined in
section 3.2(c)(iii)(B)) is not considered the actual design value. For
this test, substitution is permitted only if there are a minimum number
of available daily data points from which to identify the low quarter-
specific daily maximum 1-hour values, specifically if there are at least
200 days across the three matching quarters of the three years under
consideration (which is about 75 percent of all possible daily values in
those three quarters) for which 75 percent of the hours in the day have
reported concentrations. Only days with at least 75 percent of the hours
reported shall be considered in identifying the low value to be used for
substitution.
(B) The substitution test is as follows: Data substitution will be
performed in all quarter periods that have less than 75 percent data
capture. Identify for each quarter (e.g., January-March) the lowest
reported daily maximum 1-hour value for that quarter, looking across
those three months of all three years under consideration. All daily
maximum 1-hour values from all days with at least 75 percent capture in
the quarter period shall be considered when identifying this lowest
value. If after substituting the lowest reported daily maximum 1-hour
value for a quarter for as much of the missing daily data in the
matching deficient quarter(s) as is needed to make them 75 percent
complete, the procedure in section 5.2 yields a recalculated 3-year 1-
hour standard ``test design value'' above the level of the standard,
then the 1-hour primary standard design value is deemed to have passed
the diagnostic test and is valid, and the level of the standard is
deemed to have been exceeded in that 3-year period. As noted in section
3.2(c)(i), in such a case, the 3-year design value based on the data
actually reported, not the ``test design value'', shall be used as the
valid design value.
(d) A 1-hour primary standard design value based on data that do not
meet the completeness criteria stated in 3.2(b) and also do not satisfy
section 3.2(c), may also be considered valid with the approval of, or at
the initiative of, the Administrator, who may consider factors such as
monitoring site closures/moves, monitoring diligence, the consistency
and levels of the valid concentration measurements that are available,
and nearby concentrations in determining whether to use such data.
(e) The procedures for calculating the 1-hour primary standard
design values are given in section 5.2 of this appendix.
4. Rounding Conventions
4.1 Rounding Conventions for the Annual Primary NO2 NAAQS
(a) Hourly NO2 measurement data shall be reported to AQS
in units of parts per billion (ppb), to at most one place after the
decimal, with additional digits to the right being truncated with no
further rounding.
(b) The annual primary standard design value is calculated pursuant
to section 5.1 and then rounded to the nearest whole number or 1 ppb
(decimals 0.5 and greater are rounded up to the nearest whole number,
and any decimal lower than 0.5 is rounded down to the nearest whole
number).
4.2 Rounding Conventions for the 1-hour Primary NO2 NAAQS
(a) Hourly NO2 measurement data shall be reported to AQS
in units of parts per billion (ppb), to at most one place after the
decimal, with additional digits to the right being truncated with no
further rounding.
(b) Daily maximum 1-hour values are not rounded.
(c) The 1-hour primary standard design value is calculated pursuant
to section 5.2 and then rounded to the nearest whole number or 1 ppb
(decimals 0.5 and greater are rounded up to the nearest whole number,
and any decimal lower than 0.5 is rounded down to the nearest whole
number).
5. Calculation Procedures for the Primary NO2 NAAQS
5.1 Procedures for the Annual Primary NO2 NAAQS
(a) When the data for a site and year meet the data completeness
requirements in section 3.1(b) of this appendix, or if the Administrator
exercises the discretionary authority in section 3.1(c), the annual mean
is simply the arithmetic average of all of the reported 1-hour values.
(b) The annual primary standard design value for a site is the valid
annual mean
[[Page 156]]
rounded according to the conventions in section 4.1.
5.2 Calculation Procedures for the 1-hour Primary NO2 NAAQS
(a) Procedure for identifying annual 98th percentile values. When
the data for a particular site and year meet the data completeness
requirements in section 3.2(b), or if one of the conditions of section
3.2(c) is met, or if the Administrator exercises the discretionary
authority in section 3.2(d), identification of annual 98th percentile
value is accomplished as follows.
(i) The annual 98th percentile value for a year is the higher of the
two values resulting from the following two procedures.
(1) Procedure 1.
(A) For the year, determine the number of days with at least 75
percent of the hourly values reported including State-flagged data
affected by exceptional events which have been approved for exclusion by
the Administrator.
(B) For the year, from only the days with at least 75 percent of the
hourly values reported, select from each day the maximum hourly value
excluding State-flagged data affected by exceptional events which have
been approved for exclusion by the Administrator.
(C) Sort all these daily maximum hourly values from a particular
site and year by descending value. (For example: (x[1], x[2], x[3], * *
*, x[n]). In this case, x[1] is the largest number and x[n] is the
smallest value.) The 98th percentile is determined from this sorted
series of daily values which is ordered from the highest to the lowest
number. Using the left column of Table 1, determine the appropriate
range (i.e., row) for the annual number of days with valid data for year
y (cny) as determined from step (A). The corresponding ``n''
value in the right column identifies the rank of the annual 98th
percentile value in the descending sorted list of daily site values for
year y. Thus, P0.98, y = the nth largest value.
(2) Procedure 2.
(A) For the year, determine the number of days with at least one
hourly value reported including State-flagged data affected by
exceptional events which have been approved for exclusion by the
Administrator.
(B) For the year, from all the days with at least one hourly value
reported, select from each day the maximum hourly value excluding State-
flagged data affected by exceptional events which have been approved for
exclusion by the Administrator.
(C) Sort all these daily maximum values from a particular site and
year by descending value. (For example: (x[1], x[2], x[3], * * *, x[n]).
In this case, x[1] is the largest number and x[n] is the smallest
value.) The 98th percentile is determined from this sorted series of
daily values which is ordered from the highest to the lowest number.
Using the left column of Table 1, determine the appropriate range (i.e.,
row) for the annual number of days with valid data for year y
(cny) as determined from step (A). The corresponding ``n''
value in the right column identifies the rank of the annual 98th
percentile value in the descending sorted list of daily site values for
year y. Thus, P0.98, y = the nth largest value.
(b) The 1-hour primary standard design value for a site is mean of
the three annual 98th percentile values, rounded according to the
conventions in section 4.
Table 1
------------------------------------------------------------------------
P0.98, y is the
nth maximum value
Annual number of days with valid data for year ``y'' of the year, where
(cny) n is the listed
number
------------------------------------------------------------------------
1-50................................................ 1
51-100.............................................. 2
101-150............................................. 3
151-200............................................. 4
201-250............................................. 5
251-300............................................. 6
301-350............................................. 7
351-366............................................. 8
------------------------------------------------------------------------
[75 FR 6532, Feb. 9, 2010]
Sec. Appendix T to Part 50--Interpretation of the Primary National
Ambient Air Quality Standards for Oxides of Sulfur (Sulfur Dioxide)
1. General
(a) This appendix explains the data handling conventions and
computations necessary for determining when the primary national ambient
air quality standards for Oxides of Sulfur as measured by Sulfur Dioxide
(``SO2 NAAQS'') specified in Sec. 50.17 are met at an
ambient air quality monitoring site. Sulfur Dioxide (SO2) is
measured in the ambient air by a Federal reference method (FRM) based on
appendix A or A-1 to this part or by a Federal equivalent method (FEM)
designated in accordance with part 53 of this chapter. Data handling and
computation procedures to be used in making comparisons between reported
SO2 concentrations and the levels of the SO2 NAAQS
are specified in the following sections.
(b) Decisions to exclude, retain, or make adjustments to the data
affected by exceptional events, including natural events, are made
according to the requirements and process deadlines specified in
Sec. Sec. 50.1, 50.14 and 51.930 of this chapter.
(c) The terms used in this appendix are defined as follows:
Daily maximum 1-hour values for SO2 refers to the maximum
1-hour SO2 concentration
[[Page 157]]
values measured from midnight to midnight (local standard time) that are
used in NAAQS computations.
Design values are the metrics (i.e., statistics) that are compared
to the NAAQS levels to determine compliance, calculated as specified in
section 5 of this appendix. The design value for the primary 1-hour
NAAQS is the 3-year average of annual 99th percentile daily maximum 1-
hour values for a monitoring site (referred to as the ``1-hour primary
standard design value'').
99th percentile daily maximum 1-hour value is the value below which
nominally 99 percent of all daily maximum 1-hour concentration values
fall, using the ranking and selection method specified in section 5 of
this appendix.
Pollutant Occurrence Code (POC) refers to a numerical code (1, 2, 3,
etc.) used to distinguish the data from two or more monitors for the
same parameter at a single monitoring site.
Quarter refers to a calendar quarter.
Year refers to a calendar year.
2. Requirements for Data Used for Comparisons With the SO2
NAAQS and Data Reporting Considerations
(a) All valid FRM/FEM SO2 hourly data required to be
submitted to EPA's Air Quality System (AQS), or otherwise available to
EPA, meeting the requirements of part 58 of this chapter including
appendices A, C, and E shall be used in design value calculations.
Multi-hour average concentration values collected by wet chemistry
methods shall not be used.
(b) Data from two or more monitors from the same year at the same
site reported to EPA under distinct Pollutant Occurrence Codes shall not
be combined in an attempt to meet data completeness requirements. The
Administrator will combine annual 99th percentile daily maximum
concentration values from different monitors in different years,
selected as described here, for the purpose of developing a valid 1-hour
primary standard design value. If more than one of the monitors meets
the completeness requirement for all four quarters of a year, the steps
specified in section 5(a) of this appendix shall be applied to the data
from the monitor with the highest average of the four quarterly
completeness values to derive a valid annual 99th percentile daily
maximum concentration. If no monitor is complete for all four quarters
in a year, the steps specified in section 3(c) and 5(a) of this appendix
shall be applied to the data from the monitor with the highest average
of the four quarterly completeness values in an attempt to derive a
valid annual 99th percentile daily maximum concentration. This paragraph
does not prohibit a monitoring agency from making a local designation of
one physical monitor as the primary monitor for a Pollutant Occurrence
Code and substituting the 1-hour data from a second physical monitor
whenever a valid concentration value is not obtained from the primary
monitor; if a monitoring agency substitutes data in this manner, each
substituted value must be accompanied by an AQS qualifier code
indicating that substitution with a value from a second physical monitor
has taken place.
(c) Hourly SO2 measurement data shall be reported to AQS
in units of parts per billion (ppb), to at most one place after the
decimal, with additional digits to the right being truncated with no
further rounding.
3. Comparisons With the 1-Hour Primary SO2 NAAQS
(a) The 1-hour primary SO2 NAAQS is met at an ambient air
quality monitoring site when the valid 1-hour primary standard design
value is less than or equal to 75 parts per billion (ppb).
(b) An SO2 1-hour primary standard design value is valid
if it encompasses three consecutive calendar years of complete data. A
year meets data completeness requirements when all 4 quarters are
complete. A quarter is complete when at least 75 percent of the sampling
days for each quarter have complete data. A sampling day has complete
data if 75 percent of the hourly concentration values, including State-
flagged data affected by exceptional events which have been approved for
exclusion by the Administrator, are reported.
(c) In the case of one, two, or three years that do not meet the
completeness requirements of section 3(b) of this appendix and thus
would normally not be useable for the calculation of a valid 3-year 1-
hour primary standard design value, the 3-year 1-hour primary standard
design value shall nevertheless be considered valid if one of the
following conditions is true.
(i) At least 75 percent of the days in each quarter of each of three
consecutive years have at least one reported hourly value, and the
design value calculated according to the procedures specified in section
5 is above the level of the primary 1-hour standard.
(ii)(A) A 1-hour primary standard design value that is equal to or
below the level of the NAAQS can be validated if the substitution test
in section 3(c)(ii)(B) results in a ``test design value'' that is below
the level of the NAAQS. The test substitutes actual ``high'' reported
daily maximum 1-hour values from the same site at about the same time of
the year (specifically, in the same calendar quarter) for unknown values
that were not successfully measured. Note that the test is merely
diagnostic in nature, intended to confirm that there is a very high
likelihood that the original design value (the one with less than 75
percent data capture of hours by day and of days by quarter) reflects
the true under-NAAQS-level status for that
[[Page 158]]
3-year period; the result of this data substitution test (the ``test
design value'', as defined in section 3(c)(ii)(B)) is not considered the
actual design value. For this test, substitution is permitted only if
there are at least 200 days across the three matching quarters of the
three years under consideration (which is about 75 percent of all
possible daily values in those three quarters) for which 75 percent of
the hours in the day, including State-flagged data affected by
exceptional events which have been approved for exclusion by the
Administrator, have reported concentrations. However, maximum 1-hour
values from days with less than 75 percent of the hours reported shall
also be considered in identifying the high value to be used for
substitution.
(B) The substitution test is as follows: Data substitution will be
performed in all quarter periods that have less than 75 percent data
capture but at least 50 percent data capture, including State-flagged
data affected by exceptional events which have been approved for
exclusion by the Administrator; if any quarter has less than 50 percent
data capture then this substitution test cannot be used. Identify for
each quarter (e.g., January-March) the highest reported daily maximum 1-
hour value for that quarter, excluding State-flagged data affected by
exceptional events which have been approved for exclusion by the
Administrator, looking across those three months of all three years
under consideration. All daily maximum 1-hour values from all days in
the quarter period shall be considered when identifying this highest
value, including days with less than 75 percent data capture. If after
substituting the highest reported daily maximum 1-hour value for a
quarter for as much of the missing daily data in the matching deficient
quarter(s) as is needed to make them 100 percent complete, the procedure
in section 5 yields a recalculated 3-year 1-hour standard ``test design
value'' less than or equal to the level of the standard, then the 1-hour
primary standard design value is deemed to have passed the diagnostic
test and is valid, and the level of the standard is deemed to have been
met in that 3-year period. As noted in section 3(c)(i), in such a case,
the 3-year design value based on the data actually reported, not the
``test design value'', shall be used as the valid design value.
(iii)(A) A 1-hour primary standard design value that is above the
level of the NAAQS can be validated if the substitution test in section
3(c)(iii)(B) results in a ``test design value'' that is above the level
of the NAAQS. The test substitutes actual ``low'' reported daily maximum
1-hour values from the same site at about the same time of the year
(specifically, in the same three months of the calendar) for unknown
hourly values that were not successfully measured. Note that the test is
merely diagnostic in nature, intended to confirm that there is a very
high likelihood that the original design value (the one with less than
75 percent data capture of hours by day and of days by quarter) reflects
the true above-NAAQS-level status for that 3-year period; the result of
this data substitution test (the ``test design value'', as defined in
section 3(c)(iii)(B)) is not considered the actual design value. For
this test, substitution is permitted only if there are a minimum number
of available daily data points from which to identify the low quarter-
specific daily maximum 1-hour values, specifically if there are at least
200 days across the three matching quarters of the three years under
consideration (which is about 75 percent of all possible daily values in
those three quarters) for which 75 percent of the hours in the day have
reported concentrations. Only days with at least 75 percent of the hours
reported shall be considered in identifying the low value to be used for
substitution.
(B) The substitution test is as follows: Data substitution will be
performed in all quarter periods that have less than 75 percent data
capture. Identify for each quarter (e.g., January-March) the lowest
reported daily maximum 1-hour value for that quarter, looking across
those three months of all three years under consideration. All daily
maximum 1-hour values from all days with at least 75 percent capture in
the quarter period shall be considered when identifying this lowest
value. If after substituting the lowest reported daily maximum 1-hour
value for a quarter for as much of the missing daily data in the
matching deficient quarter(s) as is needed to make them 75 percent
complete, the procedure in section 5 yields a recalculated 3-year 1-hour
standard ``test design value'' above the level of the standard, then the
1-hour primary standard design value is deemed to have passed the
diagnostic test and is valid, and the level of the standard is deemed to
have been exceeded in that 3-year period. As noted in section 3(c)(i),
in such a case, the 3-year design value based on the data actually
reported, not the ``test design value'', shall be used as the valid
design value.
(d) A 1-hour primary standard design value based on data that do not
meet the completeness criteria stated in 3(b) and also do not satisfy
section 3(c), may also be considered valid with the approval of, or at
the initiative of, the Administrator, who may consider factors such as
monitoring site closures/moves, monitoring diligence, the consistency
and levels of the valid concentration measurements that are available,
and nearby concentrations in determining whether to use such data.
(e) The procedures for calculating the 1-hour primary standard
design values are given in section 5 of this appendix.
[[Page 159]]
4. Rounding Conventions for the 1-Hour Primary SO2 NAAQS
(a) Hourly SO2 measurement data shall be reported to AQS
in units of parts per billion (ppb), to at most one place after the
decimal, with additional digits to the right being truncated with no
further rounding.
(b) Daily maximum 1-hour values and therefore the annual 99th
percentile of those daily values are not rounded.
(c) The 1-hour primary standard design value is calculated pursuant
to section 5 and then rounded to the nearest whole number or 1 ppb
(decimals 0.5 and greater are rounded up to the nearest whole number,
and any decimal lower than 0.5 is rounded down to the nearest whole
number).
5. Calculation Procedures for the 1-Hour Primary SO2 NAAQS
(a) Procedure for identifying annual 99th percentile values. When
the data for a particular ambient air quality monitoring site and year
meet the data completeness requirements in section 3(b), or if one of
the conditions of section 3(c) is met, or if the Administrator exercises
the discretionary authority in section 3(d), identification of annual
99th percentile value is accomplished as follows.
(i) The annual 99th percentile value for a year is the higher of the
two values resulting from the following two procedures.
(1) Procedure 1. For the year, determine the number of days with at
least 75 percent of the hourly values reported.
(A) For the year, determine the number of days with at least 75
percent of the hourly values reported including State-flagged data
affected by exceptional events which have been approved for exclusion by
the Administrator.
(B) For the year, from only the days with at least 75 percent of the
hourly values reported, select from each day the maximum hourly value
excluding State-flagged data affected by exceptional events which have
been approved for exclusion by the Administrator.
(C) Sort all these daily maximum hourly values from a particular
site and year by descending value. (For example: (x[1], x[2], x[3], * *
*, x[n]). In this case, x[1] is the largest number and x[n] is the
smallest value.) The 99th percentile is determined from this sorted
series of daily values which is ordered from the highest to the lowest
number. Using the left column of Table 1, determine the appropriate
range (i.e., row) for the annual number of days with valid data for year
y (cny). The corresponding ``n'' value in the right column
identifies the rank of the annual 99th percentile value in the
descending sorted list of daily site values for year y. Thus,
P0.99, y = the nth largest value.
(2) Procedure 2. For the year, determine the number of days with at
least one hourly value reported.
(A) For the year, determine the number of days with at least one
hourly value reported including State-flagged data affected by
exceptional events which have been approved for exclusion by the
Administrator.
(B) For the year, from all the days with at least one hourly value
reported, select from each day the maximum hourly value excluding State-
flagged data affected by exceptional events which have been approved for
exclusion by the Administrator.
(C) Sort all these daily maximum values from a particular site and
year by descending value. (For example: (x[1], x[2], x[3], * * *, x[n]).
In this case, x[1] is the largest number and x[n] is the smallest
value.) The 99th percentile is determined from this sorted series of
daily values which is ordered from the highest to the lowest number.
Using the left column of Table 1, determine the appropriate range (i.e.,
row) for the annual number of days with valid data for year y
(cny). The corresponding ``n'' value in the right column
identifies the rank of the annual 99th percentile value in the
descending sorted list of daily site values for year y. Thus,
P0.99,y = the nth largest value.
(b) The 1-hour primary standard design value for an ambient air
quality monitoring site is mean of the three annual 99th percentile
values, rounded according to the conventions in section 4.
Table 1
------------------------------------------------------------------------
P0.99,y is the nth
Annual number of days with valid data for year maximum value of the
``y'' (cny) year, where n is the
listed number
------------------------------------------------------------------------
1-100............................................. 1
101-200........................................... 2
201-300........................................... 3
301-366........................................... 4
------------------------------------------------------------------------
[75 FR 35595, June 23, 2010]
Sec. Appendix U to Part 50--Interpretation of the Primary and Secondary
National Ambient Air Quality Standards for Ozone
1. General
(a) This appendix explains the data handling conventions and
computations necessary for determining whether the primary and secondary
national ambient air quality standards (NAAQS) for ozone (O3)
specified in Sec. 50.19 are met at an ambient O3 air quality
monitoring site. Data reporting, data handling, and computation
procedures to be used in making comparisons between reported
O3 concentrations and the levels of the O3 NAAQS
are specified in the following sections.
(b) Whether to exclude or retain the data affected by exceptional
events is determined
[[Page 160]]
by the requirements under Sec. Sec. 50.1, 50.14 and 51.930.
(c) The terms used in this appendix are defined as follows:
8-hour average refers to the moving average of eight consecutive
hourly O3 concentrations measured at a site, as explained in
section 3 of this appendix.
Annual fourth-highest daily maximum refers to the fourth highest
value measured at a site during a year.
Collocated monitors refers to the instance of two or more
O3 monitors operating at the same physical location.
Daily maximum 8-hour average O3 concentration refers to the maximum
calculated 8-hour average value measured at a site on a particular day,
as explained in section 3 of this appendix.
Design value refers to the metric (i.e., statistic) that is used to
compare ambient O3 concentration data measured at a site to
the NAAQS in order to determine compliance, as explained in section 4 of
this appendix.
Minimum data completeness requirements refer to the amount of data
that a site is required to collect in order to make a valid
determination that the site is meeting the NAAQS.
Monitor refers to a physical instrument used to measure ambient
O3 concentrations.
O3 monitoring season refers to the span of time within a
year when individual states are required to measure ambient
O3 concentrations, as listed in Appendix D to part 58 of this
chapter.
Site refers to an ambient O3 air quality monitoring site.
Site data record refers to the set of hourly O3
concentration data collected at a site for use in comparisons with the
NAAQS.
Year refers to calendar year.
2. Selection of Data for use in Comparisons With the Primary and
Secondary Ozone NAAQS
(a) All valid hourly O3 concentration data collected
using a federal reference method specified in Appendix D to this part,
or an equivalent method designated in accordance with part 53 of this
chapter, meeting all applicable requirements in part 58 of this chapter,
and submitted to EPA's Air Quality System (AQS) database or otherwise
available to EPA, shall be used in design value calculations.
(b) All design value calculations shall be implemented on a site-
level basis. If data are reported to EPA from collocated monitors, those
data shall be combined into a single site data record as follows:
(i) The monitoring agency shall designate one monitor as the primary
monitor for the site.
(ii) Hourly O3 concentration data from a secondary
monitor shall be substituted into the site data record whenever a valid
hourly O3 concentration is not obtained from the primary
monitor. In the event that hourly O3 concentration data are
available for more than one secondary monitor, the hourly concentration
values from the secondary monitors shall be averaged and substituted
into the site data record.
(c) In certain circumstances, including but not limited to site
closures or relocations, data from two nearby sites may be combined into
a single site data record for the purpose of calculating a valid design
value. The appropriate Regional Administrator may approve such
combinations after taking into consideration factors such as distance
between sites, spatial and temporal patterns in air quality, local
emissions and meteorology, jurisdictional boundaries, and terrain
features.
3. Data Reporting and Data Handling Conventions
(a) Hourly average O3 concentrations shall be reported in
parts per million (ppm) to the third decimal place, with additional
digits to the right of the third decimal place truncated. Each hour
shall be identified using local standard time (LST).
(b) Moving 8-hour averages shall be computed from the hourly
O3 concentration data for each hour of the year and shall be
stored in the first, or start, hour of the 8-hour period. An 8-hour
average shall be considered valid if at least 6 of the hourly
concentrations for the 8-hour period are available. In the event that
only 6 or 7 hourly concentrations are available, the 8-hour average
shall be computed on the basis of the hours available, using 6 or 7,
respectively, as the divisor. In addition, in the event that 5 or fewer
hourly concentrations are available, the 8-hour average shall be
considered valid if, after substituting zero for the missing hourly
concentrations, the resulting 8-hour average is greater than the level
of the NAAQS, or equivalently, if the sum of the available hourly
concentrations is greater than 0.567 ppm. The 8-hour averages shall be
reported to three decimal places, with additional digits to the right of
the third decimal place truncated. Hourly O3 concentrations
that have been approved under Sec. 50.14 as having been affected by
exceptional events shall be counted as missing or unavailable in the
calculation of 8-hour averages.
(c) The daily maximum 8-hour average O3 concentration for
a given day is the highest of the 17 consecutive 8-hour averages
beginning with the 8-hour period from 7:00 a.m. to 3:00 p.m. and ending
with the 8-hour period from 11:00 p.m. to 7:00 a.m. the following day
(i.e., the 8-hour averages for 7:00 a.m. to 11:00 p.m.). Daily maximum
8-hour average O3 concentrations shall be determined for each
day with ambient O3 monitoring data, including days outside
the O3 monitoring season if those data are available.
[[Page 161]]
(d) A daily maximum 8-hour average O3 concentration shall
be considered valid if valid 8-hour averages are available for at least
13 of the 17 consecutive 8-hour periods starting from 7:00 a.m. to 11:00
p.m. In addition, in the event that fewer than 13 valid 8-hour averages
are available, a daily maximum 8-hour average O3
concentration shall also be considered valid if it is greater than the
level of the NAAQS. Hourly O3 concentrations that have been
approved under Sec. 50.14 as having been affected by exceptional events
shall be included when determining whether these criteria have been met.
(e) The primary and secondary O3 design value statistic
is the annual fourth-highest daily maximum 8-hour O3
concentration, averaged over three years, expressed in ppm. The fourth-
highest daily maximum 8-hour O3 concentration for each year
shall be determined based only on days meeting the validity criteria in
3(d). The 3-year average shall be computed using the three most recent,
consecutive years of ambient O3 monitoring data. Design
values shall be reported in ppm to three decimal places, with additional
digits to the right of the third decimal place truncated.
4. Comparisons With the Primary and Secondary Ozone NAAQS
(a) The primary and secondary national ambient air quality standards
for O3 are met at an ambient air quality monitoring site when
the 3-year average of the annual fourth-highest daily maximum 8-hour
average O3 concentration (i.e., the design value) is less
than or equal to 0.070 ppm.
(b) A design value greater than the level of the NAAQS is always
considered to be valid. A design value less than or equal to the level
of the NAAQS must meet minimum data completeness requirements in order
to be considered valid. These requirements are met for a 3-year period
at a site if valid daily maximum 8-hour average O3
concentrations are available for at least 90% of the days within the
O3 monitoring season, on average, for the 3-year period, with
a minimum of at least 75% of the days within the O3
monitoring season in any one year.
(c) When computing whether the minimum data completeness
requirements have been met, meteorological or ambient data may be
sufficient to demonstrate that meteorological conditions on missing days
were not conducive to concentrations above the level of the NAAQS.
Missing days assumed less than the level of the NAAQS are counted for
the purpose of meeting the minimum data completeness requirements,
subject to the approval of the appropriate Regional Administrator.
(d) Comparisons with the primary and secondary O3 NAAQS
are demonstrated by examples 1 and 2 as follows:
Example 1--Site Meeting the Primary and Secondary O3 NAAQS
--------------------------------------------------------------------------------------------------------------------------------------------------------
Percent valid
days within O3 1st highest 2nd highest 3rd highest 4th highest 5th highest
Year monitoring daily max 8- daily max 8- daily max 8- daily max 8- daily max 8-
season (Data hour O3 (ppm) hour O3 (ppm) hour O3 (ppm) hour O3 (ppm) hour O3 (ppm)
completeness)
--------------------------------------------------------------------------------------------------------------------------------------------------------
2014.................................................... 100 0.082 0.080 0.075 0.069 0.068
2015.................................................... 96 0.074 0.073 0.065 0.062 0.060
2016.................................................... 98 0.070 0.069 0.067 0.066 0.060
Average................................................. 98 .............. .............. .............. 0.065
--------------------------------------------------------------------------------------------------------------------------------------------------------
As shown in Example 1, this site meets the primary and secondary
O3 NAAQS because the 3-year average of the annual fourth-
highest daily maximum 8-hour average O3 concentrations (i.e.,
0.065666 ppm, truncated to 0.065 ppm) is less than or equal to 0.070
ppm. The minimum data completeness requirements are also met (i.e.,
design value is considered valid) because the average percent of days
within the O3 monitoring season with valid ambient monitoring
data is greater than 90%, and no single year has less than 75% data
completeness.
Example 2--Site Failing to Meet the Primary and Secondary O3 O3 NAAQS
--------------------------------------------------------------------------------------------------------------------------------------------------------
Percent valid
days within O3 1st highest 2nd highest 3rd highest 4th highest 5th highest
Year monitoring daily max 8- daily max 8- daily max 8- daily max 8- daily max 8-
season (Data hour O3 (ppm) hour O3 (ppm) hour O3 (ppm) hour O3 (ppm) hour O3 (ppm)
completeness)
--------------------------------------------------------------------------------------------------------------------------------------------------------
2014.................................................... 96 0.085 0.080 0.079 0.074 0.072
2015.................................................... 74 0.084 0.083 0.072 0.071 0.068
2016.................................................... 98 0.083 0.081 0.081 0.075 0.074
Average................................................. 89 .............. .............. .............. 0.073
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 162]]
As shown in Example 2, this site fails to meet the primary and
secondary O3 NAAQS because the 3-year average of the annual
fourth-highest daily maximum 8-hour average O3 concentrations
(i.e., 0.073333 ppm, truncated to 0.073 ppm) is greater than 0.070 ppm,
even though the annual data completeness is less than 75% in one year
and the 3-year average data completeness is less than 90% (i.e., design
value would not otherwise be considered valid).
[80 FR 65458, Oct. 26, 2015]
PART 51_REQUIREMENTS FOR PREPARATION, ADOPTION, AND SUBMITTAL OF
IMPLEMENTATION PLANS--Table of Contents
Subpart A_Air Emissions Reporting Requirements
General Information For Inventory Preparers
Sec.
51.1 Who is responsible for actions described in this subpart?
51.5 What tools are available to help prepare and report emissions data?
51.10 [Reserved]
Specific Reporting Requirements
51.15 What data does my state need to report to EPA?
51.20 What are the emission thresholds that separate point and nonpoint
sources?
51.25 What geographic area must my state's inventory cover?
51.30 When does my state report which emissions data to EPA?
51.35 How can my state equalize the emission inventory effort from year
to year?
51.40 In what form and format should my state report the data to EPA?
51.45 Where should my state report the data?
51.50 What definitions apply to this subpart?
Appendix A to Subpart A of Part 51--Tables
Appendix B to Subpart A of Part 51 [Reserved]
Subparts B-E [Reserved]
Subpart F_Procedural Requirements
51.100 Definitions.
51.101 Stipulations.
51.102 Public hearings.
51.103 Submission of plans, preliminary review of plans.
51.104 Revisions.
51.105 Approval of plans.
Subpart G_Control Strategy
51.110 Attainment and maintenance of national standards.
51.111 Description of control measures.
51.112 Demonstration of adequacy.
51.113 [Reserved]
51.114 Emissions data and projections.
51.115 Air quality data and projections.
51.116 Data availability.
51.117 Additional provisions for lead.
51.118 Stack height provisions.
51.119 Intermittent control systems.
51.120 Requirements for State Implementation Plan revisions relating to
new motor vehicles.
51.121 Findings and requirements for submission of State implementation
plan revisions relating to emissions of oxides of nitrogen.
51.122 Emissions reporting requirements for SIP revisions relating to
budgets for NOX emissions.
51.123 Findings and requirements for submission of State implementation
plan revisions relating to emissions of oxides of nitrogen
pursuant to the Clean Air Interstate Rule.
51.124 Findings and requirements for submission of State implementation
plan revisions relating to emissions of sulfur dioxide
pursuant to the Clean Air Interstate Rule.
51.125 [Reserved]
51.126 Determination of widespread use of ORVR and waiver of CAA section
182(b)(3) Stage II gasoline vapor recovery requirements.
Subpart H_Prevention of Air Pollution Emergency Episodes
51.150 Classification of regions for episode plans.
51.151 Significant harm levels.
51.152 Contingency plans.
51.153 Reevaluation of episode plans.
Subpart I_Review of New Sources and Modifications
51.160 Legally enforceable procedures.
51.161 Public availability of information.
51.162 Identification of responsible agency.
51.163 Administrative procedures.
51.164 Stack height procedures.
51.165 Permit requirements.
51.166 Prevention of significant deterioration of air quality.
Subpart J_Ambient Air Quality Surveillance
51.190 Ambient air quality monitoring requirements.
[[Page 163]]
Subpart K_Source Survelliance
51.210 General.
51.211 Emission reports and recordkeeping.
51.212 Testing, inspection, enforcement, and complaints.
51.213 Transportation control measures.
51.214 Continuous emission monitoring.
Subpart L_Legal Authority
51.230 Requirements for all plans.
51.231 Identification of legal authority.
51.232 Assignment of legal authority to local agencies.
Subpart M_Intergovernmental Consultation
Agency Designation
51.240 General plan requirements.
51.241 Nonattainment areas for carbon monoxide and ozone.
51.242 [Reserved]
Subpart N_Compliance Schedules
51.260 Legally enforceable compliance schedules.
51.261 Final compliance schedules.
51.262 Extension beyond one year.
Subpart O_Miscellaneous Plan Content Requirements
51.280 Resources.
51.281 Copies of rules and regulations.
51.285 Public notification.
51.286 Electronic reporting.
Subpart P_Protection of Visibility
51.300 Purpose and applicability.
51.301 Definitions.
51.302 Implementation control strategies for reasonably attributable
visibility impairment.
51.303 Exemptions from control.
51.304 Identification of integral vistas.
51.305 Monitoring for reasonably attributable visibility impairment.
51.306 Long-term strategy requirements for reasonably attributable
visibility impairment.
51.307 New source review.
51.308 Regional haze program requirements.
51.309 Requirements related to the Grand Canyon Visibility Transport
Commission.
Subpart Q_Reports
Air Quality Data Reporting
51.320 Annual air quality data report.
Source Emissions and State Action Reporting
51.321 Annual source emissions and State action report.
51.322 Sources subject to emissions reporting.
51.323 Reportable emissions data and information.
51.324 Progress in plan enforcement.
51.326 Reportable revisions.
51.327 Enforcement orders and other State actions.
51.328 [Reserved]
Subpart R_Extensions
51.341 Request for 18-month extension.
Subpart S_Inspection/Maintenance Program Requirements
51.350 Applicability.
51.351 Enhanced I/M performance standard.
51.352 Basic I/M performance standard.
51.353 Network type and program evaluation.
51.354 Adequate tools and resources.
51.355 Test frequency and convenience.
51.356 Vehicle coverage.
51.357 Test procedures and standards.
51.358 Test equipment.
51.359 Quality control.
51.360 Waivers and compliance via diagnostic inspection.
51.361 Motorist compliance enforcement.
51.362 Motorist compliance enforcement program oversight.
51.363 Quality assurance.
51.364 Enforcement against contractors, stations and inspectors.
51.365 Data collection.
51.366 Data analysis and reporting.
51.367 Inspector training and licensing or certification.
51.368 Public information and consumer protection.
51.369 Improving repair effectiveness.
51.370 Compliance with recall notices.
51.371 On-road testing.
51.372 State Implementation Plan submissions.
51.373 Implementation deadlines.
Appendix A to Subpart S of Part 51--Calibrations, Adjustments and
Quality Control
Appendix B to Subpart S of Part 51--Test Procedures
Appendix C to Subpart S of Part 51--Steady-State Short Test Standards
Appendix D to Subpart S of Part 51--Steady-State Short Test Equipment
[[Page 164]]
Appendix E to Subpart S of Part 51--Transient Test Driving Cycle
Subpart T_Conformity to State or Federal Implementation Plans of
Transportation Plans, Programs, and Projects Developed, Funded or
Approved Under Title 23 U.S.C. or the Federal Transit Laws
51.390 Implementation plan revision.
Subpart U_Economic Incentive Programs
51.490 Applicability.
51.491 Definitions.
51.492 State program election and submittal.
51.493 State program requirements.
51.494 Use of program revenues.
Subpart W_Determining Conformity of General Federal Actions to State or
Federal Implementation Plans
51.850 [Reserved]
51.851 State implementation plan (SIP) or Tribal implementation plan
(TIP) revision.
51.852-51.860 [Reserved]
Subpart X_Provisions for Implementation of 8-hour Ozone National Ambient
Air Quality Standard
51.900 Definitions.
51.901 Applicability of part 51.
51.902 Which classification and nonattainment area planning provisions
of the CAA shall apply to areas designated nonattainment for
the 1997 8-hour NAAQS?
51.903 How do the classification and attainment date provisions in
section 181 of subpart 2 of the CAA apply to areas subject to
Sec. 51.902(a)?
51.904 How do the classification and attainment date provisions in
section 172(a) of subpart 1 of the CAA apply to areas subject
to Sec. 51.902(b)?
51.905 How do areas transition from the 1-hour NAAQS to the 1997 8-hour
NAAQS and what are the anti-backsliding provisions?
51.906 Redesignation to nonattainment following initial designations for
the 8-hour NAAQS.
51.907 For an area that fails to attain the 8-hour NAAQS by its
attainment date, how does EPA interpret sections
172(a)(2)(C)(ii) and 181(a)(5)(B) of the CAA?
51.908 What modeling and attainment demonstration requirements apply for
purposes of the 8-hour ozone NAAQS?
51.909 [Reserved]
51.910 What requirements for reasonable further progress (RFP) under
sections 172(c)(2) and 182 apply for areas designated
nonattainment for the 8-hour ozone NAAQS?
51.911 [Reserved]
51.912 What requirements apply for reasonably available control
technology (RACT) and reasonably available control measures
(RACM) under the 8-hour NAAQS?
51.913 How do the section 182(f) NOX exemption provisions
apply for the 8-hour NAAQS?
51.914 What new source review requirements apply for 8-hour ozone
nonattainment areas?
51.915 What emissions inventory requirements apply under the 8-hour
NAAQS?
51.916 What are the requirements for an Ozone Transport Region under the
8-hour NAAQS?
51.917 What is the effective date of designation for the Las Vegas, NV,
8-hour ozone nonattainment area?
51.918 Can any SIP planning requirements be suspended in 8-hour ozone
nonattainment areas that have air quality data that meets the
NAAQS?
51.919 Applicability.
Subpart Y_Mitigation Requirements
51.930 Mitigation of Exceptional Events.
Subpart Z_Provisions for Implementation of PM2.5 National Ambient Air
Quality Standards
51.1000 Definitions.
51.1001 Applicability of part 51.
51.1002 Submittal of State implementation plan.
51.1003 [Reserved]
51.1004 Attainment dates.
51.1005 One-year extensions of the attainment date.
51.1006 Redesignation to nonattainment following initial designations
for the PM2.5 NAAQS.
51.1007 Attainment demonstration and modeling requirements.
51.1008 Emission inventory requirements for the PM2.5 NAAQS.
51.1009 Reasonable further progress (RFP) requirements.
51.1010 Requirements for reasonably available control technology (RACT)
and reasonably available control measures (RACM).
51.1011 Requirements for mid-course review.
51.1012 Requirements for contingency measures.
Subpart AA_Provisions for Implementation of the 2008 Ozone National
Ambient Air Quality Standards
51.1100 Definitions.
51.1101 Applicability of part 51.
[[Page 165]]
51.1102 Classification and nonattainment area planning provisions.
51.1103 Application of classification and attainment date provisions in
CAA section 181 to areas subject to Sec. 51.1102.
51.1104 [Reserved]
51.1105 Transition from the 1997 ozone NAAQS to the 2008 ozone NAAQS and
anti-backsliding.
51.1106 Redesignation to nonattainment following initial designations.
51.1107 Determining eligibility for 1-year attainment date extensions
for the 2008 ozone NAAQS under CAA section 181(a)(5).
51.1108 Modeling and attainment demonstration requirements.
51.1109 [Reserved].
51.1110 Requirements for reasonable further progress (RFP).
51.1111 [Reserved].
51.1112 Requirements for reasonably available control technology (RACT)
and reasonably available control measures (RACM).
51.1113 Section 182(f) NOX exemption provisions.
51.1114 New source review requirements.
51.1115 Emissions inventory requirements.
51.1116 Requirements for an Ozone Transport Region.
51.1117 Fee programs for Severe and Extreme nonattainment areas that
fail to attain.
51.1118 Suspension of SIP planning requirements in nonattainment areas
that have air quality data that meet an ozone NAAQS.
51.1119 Applicability.
Subpart BB_Data Requirements for Characterizing Air Quality for the
Primary SO2 NAAQS
51.1200 Definitions.
51.1201 Purpose.
51.1202 Applicability.
51.1203 Air agency requirements.
51.1204 Enforceable emission limits providing for attainment.
51.1205 Ongoing data requirements.
Appendixes A-K to Part 51 [Reserved]
Appendix L to Part 51--Example Regulations for Prevention of Air
Pollution Emergency Episodes
Appendix M to Part 51--Recommended Test Methods for State Implementation
Plans
Appendixes N-O to Part 51 [Reserved]
Appendix P to Part 51--Minimum Emission Monitoring Requirements
Appendixes Q-R to Part 51 [Reserved]
Appendix S to Part 51--Emission Offset Interpretative Ruling
Appendixes T-U to Part 51 [Reserved]
Appendix V to Part 51--Criteria for Determining the Completeness of Plan
Submissions
Appendix W to Part 51--Guideline on Air Quality Models
Appendix X to Part 51--Examples of Economic Incentive Programs
Appendix Y to Part 51--Guidelines for BART Determinations Under the
Regional Haze Rule
Authority: 23 U.S.C. 101; 42 U.S.C. 7401-7671q.
Source: 36 FR 22398, Nov. 25, 1971, unless otherwise noted.
Subpart A_Air Emissions Reporting Requirements
Source: 73 FR 76552, Dec. 17, 2008, unless otherwise noted.
General Information for Inventory Preparers
Sec. 51.1 Who is responsible for actions described in this subpart?
States must inventory emission sources located on nontribal lands
and report this information to EPA.
Sec. 51.5 What tools are available to help prepare and report emissions data?
(a) We urge your state to use estimation procedures described in
documents from the Emission Inventory Improvement Program (EIIP),
available at the following Internet address: http://www.epa.gov/ttn/
chief/eiip. These procedures are standardized and ranked according to
relative uncertainty for each emission estimating technique. Using this
guidance will enable others to use your state's data and evaluate its
quality and consistency with other data.
(b) Where current EIIP guidance materials have been supplanted by
state-of-the-art emission estimation approaches or are not applicable to
sources or source categories, states are urged to use applicable, state-
of-the-art techniques for estimating emissions.
[[Page 166]]
Sec. 51.10 [Reserved]
Specific Reporting Requirements
Sec. 51.15 What data does my state need to report to EPA?
(a) Pollutants. Report actual emissions of the following (see Sec.
51.50 for precise definitions as required):
(1) Required pollutants for triennial reports of annual (12-month)
emissions for all sources and every-year reports of annual emissions
from Type A sources:
(i) Sulfur dioxide (SO2).
(ii) Volatile organic compounds (VOC).
(iii) Nitrogen oxides (NOX).
(iv) Carbon monoxide (CO).
(v) Lead and lead compounds.
(vi) Primary PM2.5. As applicable, also report filterable
and condensable components.
(vii) Primary PM10. As applicable, also report filterable
and condensable components.
(viii) Ammonia (NH3).
(2) A state may, at its option, choose to report NOX and
VOC summer day emissions (or any other emissions) as required under the
Ozone Implementation Rule or report CO winter work weekday emissions for
CO nonattainment areas or CO attainment areas with maintenance plans to
the Emission Inventory System (EIS) using the data elements described in
this subpart.
(3) A state may, at its option, choose to report ozone season day
emissions of NOX as required under the NOX SIP
Call and summer day emissions of NOX that may be required
under the NOX SIP Call for controlled sources to the EIS
using the data elements described in this subpart.
(4) A state may, at its option, include estimates of emissions for
additional pollutants (such as hazardous air pollutants) in its emission
inventory reports.
(b) Sources. Emissions should be reported from the following sources
in all parts of the state, excluding sources located on tribal lands:
(1) Point.
(2) Nonpoint. States may choose to meet the requirements for some of
their nonpoint sources by accepting the EPA's estimates for the sources
for which the EPA makes calculations. In such instances, states are
encouraged to review and update the activity values or other
calculational inputs used by the EPA for these sources.
(3) Onroad and Nonroad mobile. (i) Emissions for onroad and nonroad
mobile sources must be reported as inputs to the latest EPA-developed
mobile emissions models, such as the Motor Vehicle Emissions Simulator
(MOVES) for onroad sources or the NMIM for nonroad sources. States using
these models may report, at their discretion, emissions values computed
from these models in addition to the model inputs.
(ii) In lieu of submitting model inputs for onroad and nonroad
mobile sources, California must submit emissions values.
(iii) In lieu of submitting any data, states may accept existing EPA
emission estimates.
(4) Emissions for wild and prescribed fires are not required to be
reported by states. If states wish to optionally report these sources,
they must be reported to the events data category. The events data
category is a day-specific accounting of these large-scale but usually
short duration emissions. Submissions must include both daily emissions
estimates as well as daily acres burned values. In lieu of submitting
this information, states may accept the EPA estimates or they may submit
inputs (e.g., acres burned, fuel loads) for us to use in the EPA's
estimation approach.
(c) Supporting information. You must report the data elements in
Tables 2a and 2b in Appendix A of this subpart. We may ask you for other
data on a voluntary basis to meet special purposes.
(d) Confidential data. We do not consider the data in Tables 2a and
2b in Appendix A of this subpart confidential, but some states limit
release of these types of data. Any data that you submit to EPA under
this subpart will be considered in the public domain and cannot be
treated as confidential. If Federal and state requirements are
inconsistent, consult your EPA Regional Office for a final
reconciliation.
[73 FR 76552, Dec. 17, 2008, as amended at 80 FR 8795, Feb. 19, 2015]
[[Page 167]]
Sec. 51.20 What are the emission thresholds that separate point and
nonpoint sources?
(a) All anthropogenic stationary sources must be included in your
inventory as either point or nonpoint sources.
(b) Sources that meet the definition of point source in this subpart
must be reported as point sources. All pollutants specified in Sec.
51.15(a) must be reported for point sources, not just the pollutant(s)
that qualify the source as a point source.
(c) If your state has lower emission reporting thresholds for point
sources than paragraph (b) of this section, then you may use these in
reporting your emissions to EPA.
(d) All stationary source emissions that are not reported as point
sources must be reported as nonpoint sources. Episodic wind-generated
particulate matter (PM) emissions from sources that are not major
sources may be excluded, for example dust lifted by high winds from
natural or tilled soil. Emissions of nonpoint sources should be
aggregated to the resolution required by the EIS as described in the
current National Emission Inventory (NEI) inventory year plan posted at
http://www.epa.gov/ttn/chief/eiinformation.html. In most cases, this is
county level and must be separated and identified by source
classification code (SCC). Nonpoint source categories or emission events
reasonably estimated by the state to represent a de minimis percentage
of total county and state emissions of a given pollutant may be omitted.
(1) The reporting of wild and prescribed fires is encouraged but not
required and should be done via only the ``Events'' data category.
(2) Agricultural fires (also referred to as crop residue burning)
must be reported to the nonpoint data category.
[73 FR 76552, Dec. 17, 2008, as amended at 80 FR 8795, Feb. 19, 2015]
Sec. 51.25 What geographic area must my state's inventory cover?
Because of the regional nature of these pollutants, your state's
inventory must be statewide, regardless of any area's attainment status.
Sec. 51.30 When does my state report which emissions data to EPA?
All states are required to report two basic types of emission
inventories to the EPA: An every-year inventory; and a triennial
inventory.
(a) Every-year inventory. See Tables 2a and 2b of Appendix A of this
subpart for the specific data elements to report every year.
(1) All states are required to report every year the annual (12-
month) emissions data described in Sec. 51.15 from Type A (large) point
sources, as defined in Table 1 of Appendix A of this subpart. The first
every-year cycle inventory will be for the 2009 inventory year and must
be submitted to the EPA within 12 months, i.e., by December 31, 2010.
(2) In inventory years that fall under the triennial inventory
requirements, the reporting required by the triennial inventory
satisfies the every-year reporting requirements of paragraph (a) of this
section.
(b) Triennial inventory. See Tables 2a and 2b to Appendix A of
subpart A for the specific data elements that must be reported for the
triennial inventories.
(1) All states are required to report for every third inventory year
the annual (12-month) emissions data as described in Sec. 51.15. The
first triennial inventory will be for the 2011 inventory and must be
submitted to the EPA within 12 months, i.e., by December 31, 2012.
Subsequent triennial inventories (2014, 2017, etc.) will be due 12
months after the end of the inventory year, i.e., by December 31 of the
following year.
(2) [Reserved]
[80 FR 8796, Feb. 19, 2015]
Sec. 51.35 How can my state equalize the emission inventory effort
from year to year?
(a) Compiling a triennial inventory means more effort every 3 years.
As an option, your state may ease this workload spike by using the
following approach:
(1) Each year, collect and report data for all Type A (large) point
sources (this is required for all Type A point sources).
(2) Each year, collect data for one-third of your sources that are
not Type
[[Page 168]]
A point sources. Collect data for a different third of these sources
each year so that data has been collected for all of the sources that
are not Type A point sources by the end of each 3-year cycle. You must
save 3 years of data and then report all emissions from the sources that
are not Type A point sources on the triennial inventory due date.
(3) Each year, collect data for one-third of the nonpoint, nonroad
mobile, and onroad mobile sources. You must save 3 years of data for
each such source and then report all of these data on the triennial
inventory due date.
(b) For the sources described in paragraph (a) of this section, your
state will have data from 3 successive years at any given time, rather
than from the single year in which it is compiled.
(c) If your state chooses the method of inventorying one-third of
your sources that are not Type A point sources and triennial inventory
nonpoint, nonroad mobile, and onroad mobile sources each year, your
state must compile each year of the 3-year period identically. For
example, if a process has not changed for a source category or
individual plant, your state must use the same emission factors to
calculate emissions for each year of the 3-year period. If your state
has revised emission factors during the 3 years for a process that has
not changed, you must compute previous years' data using the revised
factor. If your state uses models to estimate emissions, you must make
sure that the model is the same for all 3 years.
[80 FR 8796, Feb. 19, 2015]
Sec. 51.40 In what form and format should my state report the data
to EPA?
You must report your emission inventory data to us in electronic
form. We support specific electronic data reporting formats, and you are
required to report your data in a format consistent with these. The term
``format'' encompasses the definition of one or more specific data
fields for each of the data elements listed in Tables 2a and 2b in
Appendix A of this subpart; allowed code values for certain data fields;
transmittal information; and data table relational structure. Because
electronic reporting technology may change, contact the EPA Emission
Inventory and Analysis Group (EIAG) for the latest specific formats. You
can find information on the current formats at the following Internet
address: http://www.epa.gov/ttn/chief/eis/2011nei/xml--data--eis.pdf.
You may also call the air emissions contact in your EPA Regional Office
or our Info CHIEF help desk at (919) 541-1000 or send email to
[email protected].
[80 FR 8796, Feb. 19, 2015]
Sec. 51.45 Where should my state report the data?
(a) Your state submits or reports data by providing it directly to
EPA.
(b) The latest information on data reporting procedures is available
at the following Internet address: http://www.epa.gov/ttn/chief. You may
also call our Info CHIEF help desk at (919) 541-1000 or e-mail to
[email protected].
Sec. 51.50 What definitions apply to this subpart?
Aircraft engine type means a code defining a unique combination of
aircraft and engine used as an input parameter for calculating emissions
from aircraft.
Annual emissions means actual emissions for a plant, point, or
process that are measured or calculated to represent a calendar year.
Control measure means a unique code for the type of control device
or operational measure (e.g., wet scrubber, flaring, process change,
ban) used to reduce emissions.
Emission calculation method means the code describing how the
emissions for a pollutant were calculated, e.g., by stack test,
continuous emissions monitor, EPA emission factor, etc.
Emission factor means the ratio relating emissions of a specific
pollutant to an activity throughput level.
Emission operating type means the operational status of an emissions
unit for the time period for which emissions are being reported, i.e.,
Routine, Startup, Shutdown, or Upset.
Emission process identifier means a unique code for the process
generating the emissions.
Emission type means the type of emissions produced for onroad and
nonroad
[[Page 169]]
sources or the mode of operation for marine vessels.
Emissions year means the calendar year for which the emissions
estimates are reported.
Facility site identifier means the unique code for a plant or
facility treated as a point source, containing one or more pollutant-
emitting units. The EPA's reporting format allows for state submittals
to use either the state's data system identifiers or the EPA's Emission
Inventory System identifiers.
Facility site name means the name of the facility.
Lead (Pb) means lead as defined in 40 CFR 50.12. Emissions of Pb
which occur either as elemental Pb or as a chemical compound containing
Pb should be reported as the mass of the Pb atoms only.
Mobile source means a motor vehicle, nonroad engine or nonroad
vehicle, where:
(1) A motor vehicle is any self-propelled vehicle used to carry
people or property on a street or highway;
(2) A nonroad engine is an internal combustion engine (including
fuel system) that is not used in a motor vehicle or a vehicle used
solely for competition, or that is not affected by sections 111 or 202
of the CAA; and
(3) A nonroad vehicle is a vehicle that is run by a nonroad engine
and that is not a motor vehicle or a vehicle used solely for
competition.
NAICS means North American Industry Classification System code. The
NAICS codes are U.S. Department of Commerce's codes for categorizing
businesses by products or services and have replaced Standard Industrial
Classification codes.
Nitrogen oxides (NOX) means nitrogen oxides (NOX) as
defined in 40 CFR 60.2 as all oxides of nitrogen except N2O.
Nitrogen oxides should be reported on an equivalent molecular weight
basis as nitrogen dioxide (NO2).
Nonpoint sources collectively represent individual sources that have
not been inventoried as specific point or mobile sources. These
individual sources treated collectively as nonpoint sources are
typically too small, numerous, or difficult to inventory using the
methods for the other classes of sources.
Particulate matter (PM) is a criteria air pollutant. For the purpose
of this subpart, the following definitions apply:
(1) Filterable PM2.5 or Filterable PM10: Particles that are directly
emitted by a source as a solid or liquid at stack or release conditions
and captured on the filter of a stack test train. Filterable
PM2.5 is particulate matter with an aerodynamic diameter
equal to or less than 2.5 micrometers. Filterable PM10 is
particulate matter with an aerodynamic diameter equal to or less than 10
micrometers.
(2) Condensable PM: Material that is vapor phase at stack
conditions, but which condenses and/or reacts upon cooling and dilution
in the ambient air to form solid or liquid PM immediately after
discharge from the stack. Note that all condensable PM, if present from
a source, is typically in the PM2.5 size fraction and,
therefore, all of it is a component of both primary PM2.5 and
primary PM10.
(3) Primary PM2.5: The sum of filterable PM2.5 and
condensable PM.
(4) Primary PM10: The sum of filterable PM10
and condensable PM.
(5) Secondary PM: Particles that form or grow in mass through
chemical reactions in the ambient air well after dilution and
condensation have occurred. Secondary PM is usually formed at some
distance downwind from the source. Secondary PM should not be reported
in the emission inventory and is not covered by this subpart.
Percent control approach capture efficiency means the percentage of
an exhaust gas stream actually collected for routing to a set of control
devices.
Percent control approach effectiveness means the percentage of time
or activity throughput that a control approach is operating as designed,
including the capture and reduction devices. This percentage accounts
for the fact that controls typically are not 100 percent effective
because of equipment downtime, upsets and decreases in control
efficiencies.
Percent control approach penetration means the percentage of a
nonpoint source category activity that is covered by the reported
control measures.
[[Page 170]]
Percent control measures reduction efficiency means the net emission
reduction efficiency across all emissions control devices. It does not
account for capture device efficiencies.
Physical address means the location address (street address or other
physical location description), locality name, state, and postal zip
code of a facility. This is the physical location where the emissions
occur; not the corporate headquarters or a mailing address.
Point source means large, stationary (non-mobile), identifiable
sources of emissions that release pollutants into the atmosphere. A
point source is a facility that is a major source under 40 CFR part 70
for one or more of the pollutants for which reporting is required by
Sec. 51.15 (a)(1). This does not include the emissions of hazardous air
pollutants, which are not considered in determining whether a source is
a point source under this subpart. The minimum point source reporting
thresholds are shown in Table 1 of Appendix A.
Pollutant code means a unique code for each reported pollutant
assigned by the reporting format specified by the EPA for each inventory
year.
Release point apportionment percent means the average percentage(s)
of an emissions exhaust stream directed to a given release point.
Release point exit gas flow rate means the numeric value of the flow
rate of a stack gas.
Release point exit gas temperature means the numeric value of the
temperature of an exit gas stream in degrees Fahrenheit.
Release point exit gas velocity means the numeric value of the
velocity of an exit gas stream.
Release point identifier means a unique code for the point where
emissions from one or more processes release into the atmosphere.
Release point stack diameter means the inner physical diameter of a
stack.
Release point stack height means physical height of a stack above
the surrounding terrain.
Release point type code means the code for physical configuration of
the release point.
Reporting period type means the code describing the time period
covered by the emissions reported, i.e., Annual, 5-month ozone season,
summer day, or winter.
Source classification code (SCC) means a process-level code that
describes the equipment and/or operation which is emitting pollutants.
State and county FIPS code means the system of unique identifiers in
the Federal Information Placement System (FIPS) used to identify states,
counties and parishes for the entire United States, Puerto Rico, and
Guam.
Throughput means a measurable factor or parameter that relates
directly or indirectly to the emissions of an air pollution source
during the period for which emissions are reported. Depending on the
type of source category, activity information may refer to the amount of
fuel combusted, raw material processed, product manufactured, or
material handled or processed. It may also refer to population,
employment, or number of units. Activity throughput is typically the
value that is multiplied against an emission factor to generate an
emissions estimate.
Type A source means large point sources with a potential to emit
greater than or equal to any of the thresholds listed in Table 1 of
Appendix A of this subpart. If a source is a Type A source for any
pollutant listed in Table 1, then the emissions for all pollutants
required by Sec. 51.15 must be reported for that source.
Unit design capacity means a measure of the size of a point source,
based on the reported maximum continuous throughput or output capacity
of the unit.
Unit identifier means a unique code for the unit that generates
emissions, typically a physical piece of equipment or a closely related
set of equipment.
VOC means volatile organic compounds. The EPA's regulatory
definition of VOC is in 40 CFR 51.100.
[80 FR 8796, Feb. 19, 2015]
Sec. Appendix A to Subpart A of Part 51--Tables
[[Page 171]]
Table 1 to Appendix A of Subpart A--Emission Thresholds \1\ by Pollutant for Treatment as Point Source Under 40
CFR 51.30
----------------------------------------------------------------------------------------------------------------
Every-year Triennial
Pollutant (Type A ---------------------------------------------------------------
sources) \2\ Type B sources NAA sources \3\
----------------------------------------------------------------------------------------------------------------
(1) SO2......................... =25 =100.......... =100.
00
(2) VOC......................... =25 =100.......... O3 (moderate) >=100.
0
.............. ......................... O3 (serious)>=50.
.............. ......................... O3 (severe) >=25.
.............. ......................... O3 (extreme) =10.
(3) NOX......................... =25 =100.......... =100.
00
(4) CO.......................... =25 =1000......... O3 (all areas) >=100.
00
.............. ......................... CO (all areas) =100.
(5) Lead........................ .............. =0.5 (actual). =0.5 (actual).
(6) Primary PM10................ =25 =100.......... PM10 (moderate) >=100.
0
.............. ......................... PM10 (serious) >=70.
(7) Primary PM2.5............... =25 =100.......... =100.
0
(8) NH3\4\...................... =25 =100.......... =100.
0
----------------------------------------------------------------------------------------------------------------
\1\ Thresholds for point source determination shown in tons per year of potential to emit as defined in 40 CFR
part 70, with the exception of lead. Reported emissions should be in actual tons emitted for the required time
period.
\2\ Type A sources are a subset of the Type B sources and are the larger emitting sources by pollutant.
\3\ NAA = Nonattainment Area. The point source reporting thresholds vary by attainment status for VOC, CO, and
PM10.
\4\ NH3 threshold applies only in areas where ammonia emissions are a factor in determining whether a source is
a major source, i.e., where ammonia is considered a significant precursor of PM2.5.
Table 2a to Appendix A of Subpart A--Facility Inventory \1\ Data
Elements for Reporting Emissions From Point Sources, Where Required by
40 CFR 51.30
------------------------------------------------------------------------
Data elements
-------------------------------------------------------------------------
(1) Emissions Year.
(2) State and County FIPS Code or Tribal Code.
(3) Facility Site Identifier.
(4) Unit Identifier.
(5) Emission Process Identifier.
(6) Release Point Identifier.
(7) Facility Site Name.
(8) Physical Address (Location Address, Locality Name, State and Postal
Code).
(9) Latitude and Longitude at facility level.
(10) Source Classification Code.
(11) Aircraft Engine Type (where applicable).
(12) Facility Site Status and Year.
(13) Release Point Stack Height and Unit of Measure.
(14) Release Point Stack Diameter and Unit of Measure.
(15) Release Point Exit Gas Temperature and Unit of Measure.
(16) Release Point Exit Gas Velocity or Release Point Exit Gas Flow Rate
and Unit of Measure.
(17) Release Point Status and Year.
(18) NAICS at facility level.
(19) Unit Design Capacity and Unit of Measure (for some unit types).
(20) Unit Type.
(21) Unit Status and Year.
(22) Release Point Apportionment Percent.
(23) Release Point Type.
(24) Control Measure and Control Pollutant (where applicable).
(25) Percent Control Approach Capture Efficiency (where applicable).
(26) Percent Control Measures Reduction Efficiency (where applicable).
(27) Percent Control Approach Effectiveness (where applicable).
------------------------------------------------------------------------
\1\ Facility Inventory data elements need only be reported once to the
EIS and then revised if needed. They do not need to be reported for
each triennial or every-year emissions inventory.
Table 2b to Appendix A of Subpart A--Data Elements for Reporting Emissions From Point, Nonpoint, Onroad Mobile
and Nonroad Mobile Sources, Where Required by 40 CFR 51.30
----------------------------------------------------------------------------------------------------------------
Data elements Point Nonpoint Onroad Nonroad
----------------------------------------------------------------------------------------------------------------
(1) Emissions Year...................................... Y Y Y Y
(2) FIPS code........................................... Y Y Y Y
(3) Shape Identifiers (where applicable)................ ............ Y
(4) Source Classification Code.......................... ............ Y Y Y
(5) Emission Type (where applicable).................... ............ Y Y Y
(8) Emission Factor..................................... Y Y
(9) Throughput (Value, Material, Unit of Measure, and Y Y Y
Type)..................................................
(10) Pollutant Code..................................... Y Y Y Y
(11) Annual Emissions and Unit of Measure............... Y Y Y Y
(12) Reporting Period Type (Annual)..................... Y Y Y Y
(13) Emission Operating Type (Routine).................. Y ............
(14) Emission Calculation Method........................ Y Y
(15) Control Measure and Control Pollutant (where ............ Y
applicable)............................................
[[Page 172]]
(16) Percent Control Measures Reduction Efficiency ............ Y
(where applicable).....................................
(17) Percent Control Approach Effectiveness (where ............ Y
applicable)............................................
(18) Percent Control Approach Penetration (where ............ Y ............ ............
applicable)............................................
----------------------------------------------------------------------------------------------------------------
[73 FR 76552, Dec. 17, 2008, as amended at 80 FR 8796, Feb. 19, 2015]
Subparts B-E [Reserved]
Subpart F_Procedural Requirements
Authority: 42 U.S.C. 7401, 7411, 7412, 7413, 7414, 7470-7479, 7501-
7508, 7601, and 7602.
Sec. 51.100 Definitions.
As used in this part, all terms not defined herein will have the
meaning given them in the Act:
(a) Act means the Clean Air Act (42 U.S.C. 7401 et seq., as amended
by Pub. L. 91-604, 84 Stat. 1676 Pub. L. 95-95, 91 Stat., 685 and Pub.
L. 95-190, 91 Stat., 1399.)
(b) Administrator means the Administrator of the Environmental
Protection Agency (EPA) or an authorized representative.
(c) Primary standard means a national primary ambient air quality
standard promulgated pursuant to section 109 of the Act.
(d) Secondary standard means a national secondary ambient air
quality standard promulgated pursuant to section 109 of the Act.
(e) National standard means either a primary or secondary standard.
(f) Owner or operator means any person who owns, leases, operates,
controls, or supervises a facility, building, structure, or installation
which directly or indirectly result or may result in emissions of any
air pollutant for which a national standard is in effect.
(g) Local agency means any local government agency other than the
State agency, which is charged with responsibility for carrying out a
portion of the plan.
(h) Regional Office means one of the ten (10) EPA Regional Offices.
(i) State agency means the air pollution control agency primarily
responsible for development and implementation of a plan under the Act.
(j) Plan means an implementation plan approved or promulgated under
section 110 of 172 of the Act.
(k) Point source means the following:
(1) For particulate matter, sulfur oxides, carbon monoxide, volatile
organic compounds (VOC) and nitrogen dioxide--
(i) Any stationary source the actual emissions of which are in
excess of 90.7 metric tons (100 tons) per year of the pollutant in a
region containing an area whose 1980 urban place population, as defined
by the U.S. Bureau of the Census, was equal to or greater than 1
million.
(ii) Any stationary source the actual emissions of which are in
excess of 22.7 metric tons (25 tons) per year of the pollutant in a
region containing an area whose 1980 urban place population, as defined
by the U.S. Bureau of the Census, was less than 1 million; or
(2) For lead or lead compounds measured as elemental lead, any
stationary source that actually emits a total of 4.5 metric tons (5
tons) per year or more.
(l) Area source means any small residential, governmental,
institutional, commercial, or industrial fuel combustion operations;
onsite solid waste disposal facility; motor vehicles, aircraft vessels,
or other transportation facilities or other miscellaneous sources
identified through inventory techniques similar to those described in
the ``AEROS Manual series, Vol. II AEROS User's Manual,'' EPA-450/2-76-
029 December 1976.
(m) Region means an area designated as an air quality control region
(AQCR) under section 107(c) of the Act.
[[Page 173]]
(n) Control strategy means a combination of measures designated to
achieve the aggregate reduction of emissions necessary for attainment
and maintenance of national standards including, but not limited to,
measures such as:
(1) Emission limitations.
(2) Federal or State emission charges or taxes or other economic
incentives or disincentives.
(3) Closing or relocation of residential, commercial, or industrial
facilities.
(4) Changes in schedules or methods of operation of commercial or
industrial facilities or transportation systems, including, but not
limited to, short-term changes made in accordance with standby plans.
(5) Periodic inspection and testing of motor vehicle emission
control systems, at such time as the Administrator determines that such
programs are feasible and practicable.
(6) Emission control measures applicable to in-use motor vehicles,
including, but not limited to, measures such as mandatory maintenance,
installation of emission control devices, and conversion to gaseous
fuels.
(7) Any transportation control measure including those
transportation measures listed in section 108(f) of the Clean Air Act as
amended.
(8) Any variation of, or alternative to any measure delineated
herein.
(9) Control or prohibition of a fuel or fuel additive used in motor
vehicles, if such control or prohibition is necessary to achieve a
national primary or secondary air quality standard and is approved by
the Administrator under section 211(c)(4)(C) of the Act.
(o) Reasonably available control technology (RACT) means devices,
systems, process modifications, or other apparatus or techniques that
are reasonably available taking into account:
(1) The necessity of imposing such controls in order to attain and
maintain a national ambient air quality standard;
(2) The social, environmental, and economic impact of such controls;
and
(3) Alternative means of providing for attainment and maintenance of
such standard. (This provision defines RACT for the purposes of Sec.
51.341(b) only.)
(p) Compliance schedule means the date or dates by which a source or
category of sources is required to comply with specific emission
limitations contained in an implementation plan and with any increments
of progress toward such compliance.
(q) Increments of progress means steps toward compliance which will
be taken by a specific source, including:
(1) Date of submittal of the source's final control plan to the
appropriate air pollution control agency;
(2) Date by which contracts for emission control systems or process
modifications will be awarded; or date by which orders will be issued
for the purchase of component parts to accomplish emission control or
process modification;
(3) Date of initiation of on-site construction or installation of
emission control equipment or process change;
(4) Date by which on-site construction or installation of emission
control equipment or process modification is to be completed; and
(5) Date by which final compliance is to be achieved.
(r) Transportation control measure means any measure that is
directed toward reducing emissions of air pollutants from transportation
sources. Such measures include, but are not limited to, those listed in
section 108(f) of the Clean Air Act.
(s) Volatile organic compounds (VOC) means any compound of carbon,
excluding carbon monoxide, carbon dioxide, carbonic acid, metallic
carbides or carbonates, and ammonium carbonate, which participates in
atmospheric photochemical reactions.
(1) This includes any such organic compound other than the
following, which have been determined to have negligible photochemical
reactivity: methane; ethane; methylene chloride (dichloromethane);
1,1,1-trichloroethane (methyl chloroform); 1,1,2-trichloro-1,2,2-
trifluoroethane (CFC-113); trichlorofluoromethane (CFC-11);
dichlorodifluoromethane (CFC-12); chlorodifluoromethane (HCFC-22);
trifluoromethane (HFC-23); 1,2-dichloro 1,1,2,2-tetrafluoroethane (CFC-
114); chloropentafluoroethane (CFC-115); 1,1,1-trifluoro 2,2-
dichloroethane (HCFC-123); 1,1,1,2-tetrafluoroethane
[[Page 174]]
(HFC-134a); 1,1-dichloro 1-fluoroethane (HCFC-141b); 1-chloro 1,1-
difluoroethane (HCFC-142b); 2-chloro-1,1,1,2-tetrafluoroethane (HCFC-
124); pentafluoroethane (HFC-125); 1,1,2,2-tetrafluoroethane (HFC-134);
1,1,1-trifluoroethane (HFC-143a); 1,1-difluoroethane (HFC-152a);
parachlorobenzotrifluoride (PCBTF); cyclic, branched, or linear
completely methylated siloxanes; acetone; perchloroethylene
(tetrachloroethylene); 3,3-dichloro-1,1,1,2,2-pentafluoropropane (HCFC-
225ca); 1,3-dichloro-1,1,2,2,3-pentafluoropropane (HCFC-225cb);
1,1,1,2,3,4,4,5,5,5-decafluoropentane (HFC 43-10mee); difluoromethane
(HFC-32); ethylfluoride (HFC-161); 1,1,1,3,3,3-hexafluoropropane (HFC-
236fa); 1,1,2,2,3-pentafluoropropane (HFC-245ca); 1,1,2,3,3-
pentafluoropropane (HFC-245ea); 1,1,1,2,3-pentafluoropropane (HFC-
245eb); 1,1,1,3,3-pentafluoropropane (HFC-245fa); 1,1,1,2,3,3-
hexafluoropropane (HFC-236ea); 1,1,1,3,3-pentafluorobutane (HFC-365mfc);
chlorofluoromethane (HCFC-31); 1 chloro-1-fluoroethane (HCFC-151a); 1,2-
dichloro-1,1,2-trifluoroethane (HCFC-123a); 1,1,1,2,2,3,3,4,4-
nonafluoro-4-methoxy-butane (C4F9OCH3
or HFE-7100); 2-(difluoromethoxymethyl)-1,1,1,2,3,3,3-heptafluoropropane
((CF3)2CFCF2OCH3); 1-ethoxy-
1,1,2,2,3,3,4,4,4-nonafluorobutane
(C4F9OC2H5 or HFE-7200); 2-
(ethoxydifluoromethyl)-1,1,1,2,3,3,3-heptafluoropropane
((CF3)2CFCF2OC2H5)
; methyl acetate; 1,1,1,2,2,3,3-heptafluoro-3-methoxy-propane (n-
C3F7OCH3, HFE-7000); 3-ethoxy-1,1,1,2,3,4,4,5,5,6,6,6-dodecafluoro-2-
(trifluoromethyl) hexane (HFE-7500); 1,1,1,2,3,3,3-heptafluoropropane
(HFC 227ea); methyl formate (HCOOCH3); 1,1,1,2,2,3,4,5,5,5-decafluoro-3-
methoxy-4-trifluoromethyl-pentane (HFE-7300); propylene carbonate;
dimethyl carbonate; trans-1,3,3,3-tetrafluoropropene;
HCF2OCF2H (HFE-134);
HCF2OCF2OCF2H (HFE-236cal2);
HCF2OCF2CF2OCF2H (HFE-
338pcc13);
HCF2OCF2OCF2CF2OCF2
H (H-Galden 1040x or H-Galden ZT 130 (or 150 or 180)); trans 1-chloro-
3,3,3-trifluoroprop-1-ene; 2,3,3,3-tetrafluoropropene; 2-amino-2-methyl-
1-propanol; t-butyl acetate; and perfluorocarbon compounds which fall
into these classes:
(i) Cyclic, branched, or linear, completely fluorinated alkanes;
(ii) Cyclic, branched, or linear, completely fluorinated ethers with
no unsaturations;
(iii) Cyclic, branched, or linear, completely fluorinated tertiary
amines with no unsaturations; and
(iv) Sulfur containing perfluorocarbons with no unsaturations and
with sulfur bonds only to carbon and fluorine.
(2) For purposes of determining compliance with emissions limits,
VOC will be measured by the test methods in the approved State
implementation plan (SIP) or 40 CFR part 60, appendix A, as applicable.
Where such a method also measures compounds with negligible
photochemical reactivity, these negligibility-reactive compounds may be
excluded as VOC if the amount of such compounds is accurately
quantified, and such exclusion is approved by the enforcement authority.
(3) As a precondition to excluding these compounds as VOC or at any
time thereafter, the enforcement authority may require an owner or
operator to provide monitoring or testing methods and results
demonstrating, to the satisfaction of the enforcement authority, the
amount of negligibly-reactive compounds in the source's emissions.
(4) For purposes of Federal enforcement for a specific source, the
EPA shall use the test methods specified in the applicable EPA-approved
SIP, in a permit issued pursuant to a program approved or promulgated
under title V of the Act, or under 40 CFR part 51, subpart I or appendix
S, or under 40 CFR parts 52 or 60. The EPA shall not be bound by any
State determination as to appropriate methods for testing or monitoring
negligibly-reactive compounds if such determination is not reflected in
any of the above provisions.
(5) [Reserved]
(6) For the purposes of determining compliance with California's
aerosol coatings reactivity-based regulation, (as described in the
California Code of
[[Page 175]]
Regulations, Title 17, Division 3, Chapter 1, Subchapter 8.5, Article
3), any organic compound in the volatile portion of an aerosol coating
is counted towards that product's reactivity-based limit. Therefore, the
compounds identified in paragraph (s) of this section as negligibly
reactive and excluded from EPA's definition of VOCs are to be counted
towards a product's reactivity limit for the purposes of determining
compliance with California's aerosol coatings reactivity-based
regulation.
(7) For the purposes of determining compliance with EPA's aerosol
coatings reactivity based regulation (as described in 40 CFR part 59--
National Volatile Organic Compound Emission Standards for Consumer and
Commercial Products) any organic compound in the volatile portion of an
aerosol coating is counted towards the product's reactivity-based limit,
as provided in 40 CFR part 59, subpart E. Therefore, the compounds that
are used in aerosol coating products and that are identified in
paragraphs (s)(1) or (s)(5) of this section as excluded from EPA's
definition of VOC are to be counted towards a product's reactivity limit
for the purposes of determining compliance with EPA's aerosol coatings
reactivity-based national regulation, as provided in 40 CFR part 59,
subpart E.
(t)-(w) [Reserved]
(x) Time period means any period of time designated by hour, month,
season, calendar year, averaging time, or other suitable
characteristics, for which ambient air quality is estimated.
(y) Variance means the temporary deferral of a final compliance date
for an individual source subject to an approved regulation, or a
temporary change to an approved regulation as it applies to an
individual source.
(z) Emission limitation and emission standard mean a requirement
established by a State, local government, or the Administrator which
limits the quantity, rate, or concentration of emissions of air
pollutants on a continuous basis, including any requirements which limit
the level of opacity, prescribe equipment, set fuel specifications, or
prescribe operation or maintenance procedures for a source to assure
continuous emission reduction.
(aa) Capacity factor means the ratio of the average load on a
machine or equipment for the period of time considered to the capacity
rating of the machine or equipment.
(bb) Excess emissions means emissions of an air pollutant in excess
of an emission standard.
(cc) Nitric acid plant means any facility producing nitric acid 30
to 70 percent in strength by either the pressure or atmospheric pressure
process.
(dd) Sulfuric acid plant means any facility producing sulfuric acid
by the contact process by burning elemental sulfur, alkylation acid,
hydrogen sulfide, or acid sludge, but does not include facilities where
conversion to sulfuric acid is utilized primarily as a means of
preventing emissions to the atmosphere of sulfur dioxide or other sulfur
compounds.
(ee) Fossil fuel-fired steam generator means a furnance or bioler
used in the process of burning fossil fuel for the primary purpose of
producing steam by heat transfer.
(ff) Stack means any point in a source designed to emit solids,
liquids, or gases into the air, including a pipe or duct but not
including flares.
(gg) A stack in existence means that the owner or operator had (1)
begun, or caused to begin, a continuous program of physical on-site
construction of the stack or (2) entered into binding agreements or
contractual obligations, which could not be cancelled or modified
without substantial loss to the owner or operator, to undertake a
program of construction of the stack to be completed within a reasonable
time.
(hh)(1) Dispersion technique means any technique which attempts to
affect the concentration of a pollutant in the ambient air by:
(i) Using that portion of a stack which exceeds good engineering
practice stack height:
(ii) Varying the rate of emission of a pollutant according to
atmospheric conditions or ambient concentrations of that pollutant; or
(iii) Increasing final exhaust gas plume rise by manipulating source
process parameters, exhaust gas parameters, stack parameters, or
combining exhaust gases from several existing stacks into one stack; or
other
[[Page 176]]
selective handling of exhaust gas streams so as to increase the exhaust
gas plume rise.
(2) The preceding sentence does not include:
(i) The reheating of a gas stream, following use of a pollution
control system, for the purpose of returning the gas to the temperature
at which it was originally discharged from the facility generating the
gas stream;
(ii) The merging of exhaust gas streams where:
(A) The source owner or operator demonstrates that the facility was
originally designed and constructed with such merged gas streams;
(B) After July 8, 1985 such merging is part of a change in operation
at the facility that includes the installation of pollution controls and
is accompanied by a net reduction in the allowable emissions of a
pollutant. This exclusion from the definition of dispersion techniques
shall apply only to the emission limitation for the pollutant affected
by such change in operation; or
(C) Before July 8, 1985, such merging was part of a change in
operation at the facility that included the installation of emissions
control equipment or was carried out for sound economic or engineering
reasons. Where there was an increase in the emission limitation or, in
the event that no emission limitation was in existence prior to the
merging, an increase in the quantity of pollutants actually emitted
prior to the merging, the reviewing agency shall presume that merging
was significantly motivated by an intent to gain emissions credit for
greater dispersion. Absent a demonstration by the source owner or
operator that merging was not significantly motivated by such intent,
the reviewing agency shall deny credit for the effects of such merging
in calculating the allowable emissions for the source;
(iii) Smoke management in agricultural or silvicultural prescribed
burning programs;
(iv) Episodic restrictions on residential woodburning and open
burning; or
(v) Techniques under Sec. 51.100(hh)(1)(iii) which increase final
exhaust gas plume rise where the resulting allowable emissions of sulfur
dioxide from the facility do not exceed 5,000 tons per year.
(ii) Good engineering practice (GEP) stack height means the greater
of:
(1) 65 meters, measured from the ground-level elevation at the base
of the stack:
(2)(i) For stacks in existence on January 12, 1979, and for which
the owner or operator had obtained all applicable permits or approvals
required under 40 CFR parts 51 and 52.
Hg = 2.5H,
provided the owner or operator produces evidence that this equation was
actually relied on in establishing an emission limitation:
(ii) For all other stacks,
Hg = H + 1.5L
where:
Hg = good engineering practice stack height, measured from
the ground-level elevation at the base of the stack,
H = height of nearby structure(s) measured from the ground-level
elevation at the base of the stack.
L = lesser dimension, height or projected width, of nearby structure(s)
provided that the EPA, State or local control agency may require the use
of a field study or fluid model to verify GEP stack height for the
source; or
(3) The height demonstrated by a fluid model or a field study
approved by the EPA State or local control agency, which ensures that
the emissions from a stack do not result in excessive concentrations of
any air pollutant as a result of atmospheric downwash, wakes, or eddy
effects created by the source itself, nearby structures or nearby
terrain features.
(jj) Nearby as used in Sec. 51.100(ii) of this part is defined for
a specific structure or terrain feature and
(1) For purposes of applying the formulae provided in Sec.
51.100(ii)(2) means that distance up to five times the lesser of the
height or the width dimension of a structure, but not greater than 0.8
km (\1/2\ mile), and
(2) For conducting demonstrations under Sec. 51.100(ii)(3) means
not greater than 0.8 km (\1/2\ mile), except that the portion of a
terrain feature may be considered to be nearby which falls within a
distance of up to 10 times the
[[Page 177]]
maximum height (Ht) of the feature, not to exceed 2 miles if
such feature achieves a height (Ht) 0.8 km from the stack
that is at least 40 percent of the GEP stack height determined by the
formulae provided in Sec. 51.100(ii)(2)(ii) of this part or 26 meters,
whichever is greater, as measured from the ground-level elevation at the
base of the stack. The height of the structure or terrain feature is
measured from the ground-level elevation at the base of the stack.
(kk) Excessive concentration is defined for the purpose of
determining good engineering practice stack height under Sec.
51.100(ii)(3) and means:
(1) For sources seeking credit for stack height exceeding that
established under Sec. 51.100(ii)(2) a maximum ground-level
concentration due to emissions from a stack due in whole or part to
downwash, wakes, and eddy effects produced by nearby structures or
nearby terrain features which individually is at least 40 percent in
excess of the maximum concentration experienced in the absence of such
downwash, wakes, or eddy effects and which contributes to a total
concentration due to emissions from all sources that is greater than an
ambient air quality standard. For sources subject to the prevention of
significant deterioration program (40 CFR 51.166 and 52.21), an
excessive concentration alternatively means a maximum ground-level
concentration due to emissions from a stack due in whole or part to
downwash, wakes, or eddy effects produced by nearby structures or nearby
terrain features which individually is at least 40 percent in excess of
the maximum concentration experienced in the absence of such downwash,
wakes, or eddy effects and greater than a prevention of significant
deterioration increment. The allowable emission rate to be used in
making demonstrations under this part shall be prescribed by the new
source performance standard that is applicable to the source category
unless the owner or operator demonstrates that this emission rate is
infeasible. Where such demonstrations are approved by the authority
administering the State implementation plan, an alternative emission
rate shall be established in consultation with the source owner or
operator.
(2) For sources seeking credit after October 11, 1983, for increases
in existing stack heights up to the heights established under Sec.
51.100(ii)(2), either (i) a maximum ground-level concentration due in
whole or part to downwash, wakes or eddy effects as provided in
paragraph (kk)(1) of this section, except that the emission rate
specified by any applicable State implementation plan (or, in the
absence of such a limit, the actual emission rate) shall be used, or
(ii) the actual presence of a local nuisance caused by the existing
stack, as determined by the authority administering the State
implementation plan; and
(3) For sources seeking credit after January 12, 1979 for a stack
height determined under Sec. 51.100(ii)(2) where the authority
administering the State implementation plan requires the use of a field
study or fluid model to verify GEP stack height, for sources seeking
stack height credit after November 9, 1984 based on the aerodynamic
influence of cooling towers, and for sources seeking stack height credit
after December 31, 1970 based on the aerodynamic influence of structures
not adequately represented by the equations in Sec. 51.100(ii)(2), a
maximum ground-level concentration due in whole or part to downwash,
wakes or eddy effects that is at least 40 percent in excess of the
maximum concentration experienced in the absence of such downwash,
wakes, or eddy effects.
(ll)-(mm) [Reserved]
(nn) Intermittent control system (ICS) means a dispersion technique
which varies the rate at which pollutants are emitted to the atmosphere
according to meteorological conditions and/or ambient concentrations of
the pollutant, in order to prevent ground-level concentrations in excess
of applicable ambient air quality standards. Such a dispersion technique
is an ICS whether used alone, used with other dispersion techniques, or
used as a supplement to continuous emission controls (i.e., used as a
supplemental control system).
[[Page 178]]
(oo) Particulate matter means any airborne finely divided solid or
liquid material with an aerodynamic diameter smaller than 100
micrometers.
(pp) Particulate matter emissions means all finely divided solid or
liquid material, other than uncombined water, emitted to the ambient air
as measured by applicable reference methods, or an equivalent or
alternative method, specified in this chapter, or by a test method
specified in an approved State implementation plan.
(qq) 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.
(rr) PM10 emissions means finely divided solid or liquid
material, with an aerodynamic diameter less than or equal to a nominal
10 micrometers emitted to the ambient air as measured by an applicable
reference method, or an equivalent or alternative method, specified in
this chapter or by a test method specified in an approved State
implementation plan.
(ss) Total suspended particulate means particulate matter as
measured by the method described in appendix B of part 50 of this
chapter.
[51 FR 40661, Nov. 7, 1986]
Editorial Note: For Federal Register citations affecting Sec.
51.100, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
Sec. 51.101 Stipulations.
Nothing in this part will be construed in any manner:
(a) To encourage a State to prepare, adopt, or submit a plan which
does not provide for the protection and enhancement of air quality so as
to promote the public health and welfare and productive capacity.
(b) To encourage a State to adopt any particular control strategy
without taking into consideration the cost-effectiveness of such control
strategy in relation to that of alternative control strategies.
(c) To preclude a State from employing techniques other than those
specified in this part for purposes of estimating air quality or
demonstrating the adequacy of a control strategy, provided that such
other techniques are shown to be adequate and appropriate for such
purposes.
(d) To encourage a State to prepare, adopt, or submit a plan without
taking into consideration the social and economic impact of the control
strategy set forth in such plan, including, but not limited to, impact
on availability of fuels, energy, transportation, and employment.
(e) To preclude a State from preparing, adopting, or submitting a
plan which provides for attainment and maintenance of a national
standard through the application of a control strategy not specifically
identified or described in this part.
(f) To preclude a State or political subdivision thereof from
adopting or enforcing any emission limitations or other measures or
combinations thereof to attain and maintain air quality better than that
required by a national standard.
(g) To encourage a State to adopt a control strategy uniformly
applicable throughout a region unless there is no satisfactory
alternative way of providing for attainment and maintenance of a
national standard throughout such region.
[61 FR 30163, June 14, 1996]
Sec. 51.102 Public hearings.
(a) Except as otherwise provided in paragraph (c) of this section
and within the 30 day notification period as required by paragraph (d)
of this section, States must provide notice, provide the opportunity to
submit written comments and allow the public the opportunity to request
a public hearing. The State must hold a public hearing or provide the
public the opportunity to request a public hearing. The notice
announcing the 30 day notification period must include the date, place
and time of the public hearing. If the State provides the public the
opportunity to request a public hearing and a request is received the
State must hold the scheduled hearing or schedule a public hearing (as
required by paragraph (d) of
[[Page 179]]
this section). The State may cancel the public hearing through a method
it identifies if no request for a public hearing is received during the
30 day notification period and the original notice announcing the 30 day
notification period clearly states: If no request for a public hearing
is received the hearing will be cancelled; identifies the method and
time for announcing that the hearing has been cancelled; and provides a
contact phone number for the public to call to find out if the hearing
has been cancelled. These requirements apply for adoption and submission
to EPA of:
(1) Any plan or revision of it required by Sec. 51.104(a).
(2) Any individual compliance schedule under (Sec. 51.260).
(3) Any revision under Sec. 51.104(d).
(b) Separate hearings may be held for plans to implement primary and
secondary standards.
(c) No hearing will be required for any change to an increment of
progress in an approved individual compliance schedule unless such
change is likely to cause the source to be unable to comply with the
final compliance date in the schedule. The requirements of Sec. Sec.
51.104 and 51.105 will be applicable to such schedules, however.
(d) Any hearing required by paragraph (a) of this section will be
held only after reasonable notice, which will be considered to include,
at least 30 days prior to the date of such hearing(s):
(1) Notice given to the public by prominent advertisement in the
area affected announcing the date(s), time(s), and place(s) of such
hearing(s);
(2) Availability of each proposed plan or revision for public
inspection in at least one location in each region to which it will
apply, and the availability of each compliance schedule for public
inspection in at least one location in the region in which the affected
source is located;
(3) Notification to the Administrator (through the appropriate
Regional Office);
(4) Notification to each local air pollution control agency which
will be significantly impacted by such plan, schedule or revision;
(5) In the case of an interstate region, notification to any other
States included, in whole or in part, in the regions which are
significantly impacted by such plan or schedule or revision.
(e) The State must prepare and retain, for inspection by the
Administrator upon request, a record of each hearing. The record must
contain, as a minimum, a list of witnesses together with the text of
each presentation.
(f) The State must submit with the plan, revision, or schedule, a
certification that the requirements in paragraph (a) and (d) of this
section were met. Such certification will include the date and place of
any public hearing(s) held or that no public hearing was requested
during the 30 day notification period.
(g) Upon written application by a State agency (through the
appropriate Regional Office), the Administrator may approve State
procedures for public hearings. The following criteria apply:
(1) Procedures approved under this section shall be deemed to
satisfy the requirement of this part regarding public hearings.
(2) Procedures different from this part may be approved if they--
(i) Ensure public participation in matters for which hearings are
required; and
(ii) Provide adequate public notification of the opportunity to
participate.
(3) The Administrator may impose any conditions on approval he or
she deems necessary.
[36 FR 22938, Nov. 25, 1971, as amended at 65 FR 8657, Feb. 22, 2000; 72
FR 38792, July 16, 2007]
Sec. 51.103 Submission of plans, preliminary review of plans.
(a) The State makes an official plan submission to EPA only when the
submission conforms to the requirements of appendix V to this part and
the State delivers the submission to EPA through one of the three
following methods: An electronic submission through EPA's eSIP
submission system; one paper submission to the appropriate Regional
Office with an exact duplicate electronic version, preferably in a word
searchable format; or three paper submissions. Any State submission
under this part, whether through the eSIP submission system or in paper
[[Page 180]]
copy form, will serve as the official submission.
(b) Upon request by a State, the Administrator will work with the
State to provide preliminary review of a plan or portion thereof
submitted in advance of the date such plan is due. Such requests must be
made to the appropriate Regional Office, and must indicate changes (such
as redline/strikethrough) to the existing approved plan where
applicable, and be submitted using a format agreed upon by the State and
Regional Office. Requests for preliminary review do not relieve a State
of the responsibility of adopting and submitting plans in accordance
with prescribed due dates.
(c) In addition to conforming to the requirements of appendix V to
this part for complete SIP submissions, the EPA requests that the state
consult with the appropriate Regional Office regarding any additional
guidance for submitting a plan to EPA.
[80 FR 7340, Feb. 10, 2015]
Sec. 51.104 Revisions.
(a) States may revise the plan from time to time consistent with the
requirements applicable to implementation plans under this part.
(b) The States must submit any revision of any regulation or any
compliance schedule under paragraph (c) of this section to the
Administrator no later than 60 days after its adoption.
(c) EPA will approve revisions only after applicable hearing
requirements of Sec. 51.102 have been satisfied.
(d) In order for a variance to be considered for approval as a
revision to the State implementation plan, the State must submit it in
accordance with the requirements of this section.
[51 FR 40661, Nov. 7, 1986, as amended at 61 FR 16060, Apr. 11, 1996]
Sec. 51.105 Approval of plans.
Revisions of a plan, or any portion thereof, will not be considered
part of an applicable plan until such revisions have been approved by
the Administrator in accordance with this part.
[51 FR 40661, Nov. 7, 1986, as amended at 60 FR 33922, June 29, 1995]
Subpart G_Control Strategy
Source: 51 FR 40665, Nov. 7, 1986, unless otherwise noted.
Sec. 51.110 Attainment and maintenance of national standards.
(a) Each plan providing for the attainment of a primary or secondary
standard must specify the projected attainment date.
(b)-(f) [Reserved]
(g) During developing of the plan, EPA encourages States to identify
alternative control strategies, as well as the costs and benefits of
each such alternative for attainment or maintenance of the national
standard.
[51 FR 40661 Nov. 7, 1986, as amended at 61 FR 16060, Apr. 11, 1996; 61
FR 30163, June 14, 1996]
Sec. 51.111 Description of control measures.
Each plan must set forth a control strategy which includes the
following:
(a) A description of enforcement methods including, but not limited
to:
(1) Procedures for monitoring compliance with each of the selected
control measures,
(2) Procedures for handling violations, and
(3) A designation of agency responsibility for enforcement of
implementation.
(b) [Reserved]
[51 FR 40665, Nov. 7, 1986, as amended at 60 FR 33922, June 29, 1995]
Sec. 51.112 Demonstration of adequacy.
(a) Each plan must demonstrate that the measures, rules, and
regulations contained in it are adequate to provide for the timely
attainment and maintenance of the national standard that it implements.
(1) The adequacy of a control strategy shall be demonstrated by
means of applicable air quality models, data bases, and other
requirements specified in appendix W of this part (Guideline on Air
Quality Models).
(2) Where an air quality model specified in appendix W of this part
(Guideline on Air Quality Models) is inappropriate, the model may be
modified or another model substituted. Such a modification or
substitution of a model
[[Page 181]]
may be made on a case-by-case basis or, where appropriate, on a generic
basis for a specific State program. Written approval of the
Administrator must be obtained for any modification or substitution. In
addition, use of a modified or substituted model must be subject to
notice and opportunity for public comment under procedures set forth in
Sec. 51.102.
(b) The demonstration must include the following:
(1) A summary of the computations, assumptions, and judgments used
to determine the degree of reduction of emissions (or reductions in the
growth of emissions) that will result from the implementation of the
control strategy.
(2) A presentation of emission levels expected to result from
implementation of each measure of the control strategy.
(3) A presentation of the air quality levels expected to result from
implementation of the overall control strategy presented either in
tabular form or as an isopleth map showing expected maximum pollutant
concentrations.
(4) A description of the dispersion models used to project air
quality and to evaluate control strategies.
(5) For interstate regions, the analysis from each constituent State
must, where practicable, be based upon the same regional emission
inventory and air quality baseline.
[51 FR 40665, Nov. 7, 1986, as amended at 58 FR 38821, July 20, 1993; 60
FR 40468, Aug. 9, 1995; 61 FR 41840, Aug. 12, 1996]
Sec. 51.113 [Reserved]
Sec. 51.114 Emissions data and projections.
(a) Except for lead, each plan must contain a detailed inventory of
emissions from point and area sources. Lead requirements are specified
in Sec. 51.117. The inventory must be based upon measured emissions or,
where measured emissions are not available, documented emission factors.
(b) Each plan must contain a summary of emission levels projected to
result from application of the new control strategy.
(c) Each plan must identify the sources of the data used in the
projection of emissions.
Sec. 51.115 Air quality data and projections.
(a) Each plan must contain a summary of data showing existing air
quality.
(b) Each plan must:
(1) Contain a summary of air quality concentrations expected to
result from application of the control strategy, and
(2) Identify and describe the dispersion model, other air quality
model, or receptor model used.
(c) Actual measurements of air quality must be used where available
if made by methods specified in appendix C to part 58 of this chapter.
Estimated air quality using appropriate modeling techniques may be used
to supplement measurements.
(d) For purposes of developing a control strategy, background
concentration shall be taken into consideration with respect to
particulate matter. As used in this subpart, background concentration is
that portion of the measured ambient levels that cannot be reduced by
controlling emissions from man-made sources.
(e) In developing an ozone control strategy for a particular area,
background ozone concentrations and ozone transported into an area must
be considered. States may assume that the ozone standard will be
attained in upwind areas.
Sec. 51.116 Data availability.
(a) The State must retain all detailed data and calculations used in
the preparation of each plan or each plan revision, and make them
available for public inspection and submit them to the Administrator at
his request.
(b) The detailed data and calculations used in the preparation of
plan revisions are not considered a part of the plan.
(c) Each plan must provide for public availability of emission data
reported by source owners or operators or otherwise obtained by a State
or local agency. Such emission data must be correlated with applicable
emission limitations or other measures. As used in
[[Page 182]]
this paragraph, correlated means presented in such a manner as to show
the relationship between measured or estimated amounts of emissions and
the amounts of such emissions allowable under the applicable emission
limitations or other measures.
Sec. 51.117 Additional provisions for lead.
In addition to other requirements in Sec. Sec. 51.100 through
51.116 the following requirements apply to lead. To the extent they
conflict, there requirements are controlling over those of the
proceeding sections.
(a) Control strategy demonstration. Each plan must contain a
demonstration showing that the plan will attain and maintain the
standard in the following areas:
(1) Areas in the vicinity of the following point sources of lead:
Primary lead smelters, Secondary lead smelters, Primary copper smelters,
Lead gasoline additive plants, Lead-acid storage battery manufacturing
plants that produce 2,000 or more batteries per day. Any other
stationary source that actually emits 25 or more tons per year of lead
or lead compounds measured as elemental lead.
(2) Any other area that has lead air concentrations in excess of the
national ambient air quality standard concentration for lead, measured
since January 1, 1974.
(b) Time period for demonstration of adequacy. The demonstration of
adequacy of the control strategy required under Sec. 51.112 may cover a
longer period if allowed by the appropriate EPA Regional Administrator.
(c) Special modeling provisions. (1) For urbanized areas with
measured lead concentrations in excess of 4.0 mg/m\3\, quarterly mean
measured since January 1, 1974, the plan must employ the modified
rollback model for the demonstration of attainment as a minimum, but may
use an atmospheric dispersion model if desired, consistent with
requirements contained in Sec. 51.112(a). If a proportional model is
used, the air quality data should be the same year as the emissions
inventory required under the paragraph e.
(2) For each point source listed in Sec. 51.117(a), that plan must
employ an atmospheric dispersion model for demonstration of attainment,
consistent with requirements contained in Sec. 51.112(a).
(3) For each area in the vicinity of an air quality monitor that has
recorded lead concentrations in excess of the lead national standard
concentration, the plan must employ the modified rollback model as a
minimum, but may use an atmospheric dispersion model if desired for the
demonstration of attainment, consistent with requirements contained in
Sec. 51.112(a).
(d) Air quality data and projections. (1) Each State must submit to
the appropriate EPA Regional Office with the plan, but not part of the
plan, all lead air quality data measured since January 1, 1974. This
requirement does not apply if the data has already been submitted.
(2) The data must be submitted in accordance with the procedures and
data forms specified in Chapter 3.4.0 of the ``AEROS User's Manual''
concerning storage and retrieval of aerometric data (SAROAD) except
where the Regional Administrator waives this requirement.
(3) If additional lead air quality data are desired to determine
lead air concentrations in areas suspected of exceeding the lead
national ambient air quality standard, the plan may include data from
any previously collected filters from particulate matter high volume
samplers. In determining the lead content of the filters for control
strategy demonstration purposes, a State may use, in addition to the
reference method, X-ray fluorescence or any other method approved by the
Regional Administrator.
(e) Emissions data. (1) The point source inventory on which the
summary of the baseline for lead emissions inventory is based must
contain all sources that emit 0.5 or more tons of lead per year.
(2) Each State must submit lead emissions data to the appropriate
EPA Regional Office with the original plan. The submission must be made
with the plan, but not as part of the plan, and must include emissions
data and information related to point and area source emissions. The
emission data and information should include the information identified
in the Hazardous
[[Page 183]]
and Trace Emissions System (HATREMS) point source coding forms for all
point sources and the area source coding forms for all sources that are
not point sources, but need not necessarily be in the format of those
forms.
[41 FR 18388, May 3, 1976, as amended at 58 FR 38822, July 20, 1993; 73
FR 67057, Nov. 12, 2008]
Sec. 51.118 Stack height provisions.
(a) The plan must provide that the degree of emission limitation
required of any source for control of any air pollutant must not be
affected by so much of any source's stack height that exceeds good
engineering practice or by any other dispersion technique, except as
provided in Sec. 51.118(b). The plan must provide that before a State
submits to EPA a new or revised emission limitation that is based on a
good engineering practice stack height that exceeds the height allowed
by Sec. 51.100(ii) (1) or (2), the State must notify the public of the
availabilty of the demonstration study and must provide opportunity for
a public hearing on it. This section does not require the plan to
restrict, in any manner, the actual stack height of any source.
(b) The provisions of Sec. 51.118(a) shall not apply to (1) stack
heights in existence, or dispersion techniques implemented on or before
December 31, 1970, except where pollutants are being emitted from such
stacks or using such dispersion techniques by sources, as defined in
section 111(a)(3) of the Clean Air Act, which were constructed, or
reconstructed, or for which major modifications, as defined in
Sec. Sec. 51.165(a)(1)(v)(A), 51.166(b)(2)(i) and 52.21(b)(2)(i), were
carried out after December 31, 1970; or (2) coal-fired steam electric
generating units subject to the provisions of section 118 of the Clean
Air Act, which commenced operation before July 1, 1957, and whose stacks
were construced under a construction contract awarded before February 8,
1974.
Sec. 51.119 Intermittent control systems.
(a) The use of an intermittent control system (ICS) may be taken
into account in establishing an emission limitation for a pollutant
under a State implementation plan, provided:
(1) The ICS was implemented before December 31, 1970, according to
the criteria specified in Sec. 51.119(b).
(2) The extent to which the ICS is taken into account is limited to
reflect emission levels and associated ambient pollutant concentrations
that would result if the ICS was the same as it was before December 31,
1970, and was operated as specified by the operating system of the ICS
before December 31, 1970.
(3) The plan allows the ICS to compensate only for emissions from a
source for which the ICS was implemented before December 31, 1970, and,
in the event the source has been modified, only to the extent the
emissions correspond to the maximum capacity of the source before
December 31, 1970. For purposes of this paragraph, a source for which
the ICS was implemented is any particular structure or equipment the
emissions from which were subject to the ICS operating procedures.
(4) The plan requires the continued operation of any constant
pollution control system which was in use before December 31, 1970, or
the equivalent of that system.
(5) The plan clearly defines the emission limits affected by the ICS
and the manner in which the ICS is taken into account in establishing
those limits.
(6) The plan contains requirements for the operation and maintenance
of the qualifying ICS which, together with the emission limitations and
any other necessary requirements, will assure that the national ambient
air quality standards and any applicable prevention of significant
deterioration increments will be attained and maintained. These
requirements shall include, but not necessarily be limited to, the
following:
(i) Requirements that a source owner or operator continuously
operate and maintain the components of the ICS specified at Sec.
51.119(b)(3) (ii)-(iv) in a manner which assures that the ICS is
[[Page 184]]
at least as effective as it was before December 31, 1970. The air
quality monitors and meteorological instrumentation specified at Sec.
51.119(b) may be operated by a local authority or other entity provided
the source has ready access to the data from the monitors and
instrumentation.
(ii) Requirements which specify the circumstances under which, the
extent to which, and the procedures through which, emissions shall be
curtailed through the activation of ICS.
(iii) Requirements for recordkeeping which require the owner or
operator of the source to keep, for periods of at least 3 years, records
of measured ambient air quality data, meteorological information
acquired, and production data relating to those processes affected by
the ICS.
(iv) Requirements for reporting which require the owner or operator
of the source to notify the State and EPA within 30 days of a NAAQS
violation pertaining to the pollutant affected by the ICS.
(7) Nothing in this paragraph affects the applicability of any new
source review requirements or new source performance standards contained
in the Clean Air Act or 40 CFR subchapter C. Nothing in this paragraph
precludes a State from taking an ICS into account in establishing
emission limitations to any extent less than permitted by this
paragraph.
(b) An intermittent control system (ICS) may be considered
implemented for a pollutant before December 31, 1970, if the following
criteria are met:
(1) The ICS must have been established and operational with respect
to that pollutant prior to December 31, 1970, and reductions in
emissions of that pollutant must have occurred when warranted by
meteorological and ambient monitoring data.
(2) The ICS must have been designed and operated to meet an air
quality objective for that pollutant such as an air quality level or
standard.
(3) The ICS must, at a minimum, have included the following
components prior to December 31, 1970:
(i) Air quality monitors. An array of sampling stations whose
location and type were consistent with the air quality objective and
operation of the system.
(ii) Meteorological instrumentation. A meteorological data
acquisition network (may be limited to a single station) which provided
meteorological prediction capabilities sufficient to determine the need
for, and degree of, emission curtailments necessary to achieve the air
quality design objective.
(iii) Operating system. A system of established procedures for
determining the need for curtailments and for accomplishing such
curtailments. Documentation of this system, as required by paragraph
(n)(4), may consist of a compendium of memoranda or comparable material
which define the criteria and procedures for curtailments and which
identify the type and number of personnel authorized to initiate
curtailments.
(iv) Meteorologist. A person, schooled in meteorology, capable of
interpreting data obtained from the meteorological network and qualified
to forecast meteorological incidents and their effect on ambient air
quality. Sources may have obtained meteorological services through a
consultant. Services of such a consultant could include sufficient
training of source personnel for certain operational procedures, but not
for design, of the ICS.
(4) Documentation sufficient to support the claim that the ICS met
the criteria listed in this paragraph must be provided. Such
documentation may include affidavits or other documentation.
Sec. 51.120 Requirements for State Implementation Plan revisions
relating to new motor vehicles.
(a) The EPA Administrator finds that the State Implementation Plans
(SIPs) for the States of Connecticut, Delaware, Maine, Maryland,
Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode
Island, and Vermont, the portion of Virginia included (as of November
15, 1990) within the Consolidated Metropolitan Statistical Area that
includes the District of Columbia, are substantially inadequate to
comply with the requirements of section 110(a)(2)(D) of the Clean Air
[[Page 185]]
Act, 42 U.S.C. 7410(a)(2)(D), and to mitigate adequately the interstate
pollutant transport described in section 184 of the Clean Air Act, 42
U.S.C. 7511C, to the extent that they do not provide for emission
reductions from new motor vehicles in the amount that would be achieved
by the Ozone Transport Commission low emission vehicle (OTC LEV) program
described in paragraph (c) of this section. This inadequacy will be
deemed cured for each of the aforementioned States (including the
District of Columbia) in the event that EPA determines through
rulemaking that a national LEV-equivalent new motor vehicle emission
control program is an acceptable alternative for OTC LEV and finds that
such program is in effect. In the event no such finding is made, each of
those States must adopt and submit to EPA by February 15, 1996 a SIP
revision meeting the requirements of paragraph (b) of this section in
order to cure the SIP inadequacy.
(b) If a SIP revision is required under paragraph (a) of this
section, it must contain the OTC LEV program described in paragraph (c)
of this section unless the State adopts and submits to EPA, as a SIP
revision, other emission-reduction measures sufficient to meet the
requirements of paragraph (d) of this section. If a State adopts and
submits to EPA, as a SIP revision, other emission-reduction measures
pursuant to paragraph (d) of this section, then for purposes of
determining whether such a SIP revision is complete within the meaning
of section 110(k)(1) (and hence is eligible at least for consideration
to be approved as satisfying paragraph (d) of this section), such a SIP
revision must contain other adopted emission-reduction measures that,
together with the identified potentially broadly practicable measures,
achieve at least the minimum level of emission reductions that could
potentially satisfy the requirements of paragraph (d) of this section.
All such measures must be fully adopted and enforceable.
(c) The OTC LEV program is a program adopted pursuant to section 177
of the Clean Air Act.
(1) The OTC LEV program shall contain the following elements:
(i) It shall apply to all new 1999 and later model year passenger
cars and light-duty trucks (0-5750 pounds loaded vehicle weight), as
defined in Title 13, California Code of Regulations, section 1900(b)(11)
and (b)(8), respectively, that are sold, imported, delivered, purchased,
leased, rented, acquired, received, or registered in any area of the
State that is in the Northeast Ozone Transport Region as of December 19,
1994.
(ii) All vehicles to which the OTC LEV program is applicable shall
be required to have a certificate from the California Air Resources
Board (CARB) affirming compliance with California standards.
(iii) All vehicles to which this LEV program is applicable shall be
required to meet the mass emission standards for Non-Methane Organic
Gases (NMOG), Carbon Monoxide (CO), Oxides of Nitrogen (NOX),
Formaldehyde (HCHO), and particulate matter (PM) as specified in Title
13, California Code of Regulations, section 1960.1(f)(2) (and
formaldehyde standards under section 1960.1(e)(2), as applicable) or as
specified by California for certification as a TLEV (Transitional Low-
Emission Vehicle), LEV (Low-Emission Vehicle), ULEV (Ultra-Low-Emission
Vehicle), or ZEV (Zero-Emission Vehicle) under section 1960.1(g)(1) (and
section 1960.1(e)(3), for formaldehyde standards, as applicable).
(iv) All manufacturers of vehicles subject to the OTC LEV program
shall be required to meet the fleet average NMOG exhaust emission values
for production and delivery for sale of their passenger cars, light-duty
trucks 0-3750 pounds loaded vehicle weight, and light-duty trucks 3751-
5750 pounds loaded vehicle weight specified in Title 13, California Code
of Regulations, section 1960.1(g)(2) for each model year beginning in
1999. A State may determine not to implement the NMOG fleet average in
the first model year of the program if the State begins implementation
of the program late in a calendar year. However, all States must
implement the NMOG fleet average in any full model years of the LEV
program.
(v) All manufacturers shall be allowed to average, bank and trade
credits in the same manner as allowed
[[Page 186]]
under the program specified in Title 13, California Code of Regulations,
section 1960.1(g)(2) footnote 7 for each model year beginning in 1999.
States may account for credits banked by manufacturers in California or
New York in years immediately preceding model year 1999, in a manner
consistent with California banking and discounting procedures.
(vi) The provisions for small volume manufacturers and intermediate
volume manufacturers, as applied by Title 13, California Code of
Regulations to California's LEV program, shall apply. Those
manufacturers defined as small volume manufacturers and intermediate
volume manufacturers in California under California's regulations shall
be considered small volume manufacturers and intermediate volume
manufacturers under this program.
(vii) The provisions for hybrid electric vehicles (HEVs), as defined
in Title 13 California Code of Regulations, section 1960.1, shall apply
for purposes of calculating fleet average NMOG values.
(viii) The provisions for fuel-flexible vehicles and dual-fuel
vehicles specified in Title 13, California Code of Regulations, section
1960.1(g)(1) footnote 4 shall apply.
(ix) The provisions for reactivity adjustment factors, as defined by
Title 13, California Code of Regulations, shall apply.
(x) The aforementioned State OTC LEV standards shall be identical to
the aforementioned California standards as such standards exist on
December 19, 1994.
(xi) All States' OTC LEV programs must contain any other provisions
of California's LEV program specified in Title 13, California Code of
Regulations necessary to comply with section 177 of the Clean Air Act.
(2) States are not required to include the mandate for production of
ZEVs specified in Title 13, California Code of Regulations, section
1960.1(g)(2) footnote 9.
(3) Except as specified elsewhere in this section, States may
implement the OTC LEV program in any manner consistent with the Act that
does not decrease the emissions reductions or jeopardize the
effectiveness of the program.
(d) The SIP revision that paragraph (b) of this section describes as
an alternative to the OTC LEV program described in paragraph (c) of this
section must contain a set of State-adopted measures that provides at
least the following amount of emission reductions in time to bring
serious ozone nonattainment areas into attainment by their 1999
attainment date:
(1) Reductions at least equal to the difference between:
(i) The nitrogen oxides (NOX) emission reductions from
the 1990 statewide emissions inventory achievable through implementation
of all of the Clean Air Act-mandated and potentially broadly practicable
control measures throughout all portions of the State that are within
the Northeast Ozone Transport Region created under section 184(a) of the
Clean Air Act as of December 19, 1994; and
(ii) A reduction in NOX emissions from the 1990 statewide
inventory in such portions of the State of 50% or whatever greater
reduction is necessary to prevent significant contribution to
nonattainment in, or interference with maintenance by, any downwind
State.
(2) Reductions at least equal to the difference between:
(i) The VOC emission reductions from the 1990 statewide emissions
inventory achievable through implementation of all of the Clean Air Act-
mandated and potentially broadly practicable control measures in all
portions of the State in, or near and upwind of, any of the serious or
severe ozone nonattainment areas lying in the series of such areas
running northeast from the Washington, DC, ozone nonattainment area to
and including the Portsmouth, New Hampshire ozone nonattainment area;
and
(ii) A reduction in VOC emissions from the 1990 emissions inventory
in all such areas of 50% or whatever greater reduction is necessary to
prevent significant contribution to nonattainment in, or interference
with maintenance by, any downwind State.
[60 FR 4736, Jan. 24, 1995]
[[Page 187]]
Sec. 51.121 Findings and requirements for submission of State
implementation plan revisions relating to emissions of oxides of
nitrogen.
(a)(1) The Administrator finds that the State implementation plan
(SIP) for each jurisdiction listed in paragraph (c) of this section is
substantially inadequate to comply with the requirements of section
110(a)(2)(D)(i)(I) of the Clean Air Act (CAA), 42 U.S.C.
7410(a)(2)(D)(i)(I), because the SIP does not include adequate
provisions to prohibit sources and other activities from emitting
nitrogen oxides (``NOX'') in amounts that will contribute
significantly to nonattainment in one or more other States with respect
to the 1-hour ozone national ambient air quality standards (NAAQS). Each
of the jurisdictions listed in paragraph (c) of this section must submit
to EPA a SIP revision that cures the inadequacy.
(2) Under section 110(a)(1) of the CAA, 42 U.S.C. 7410(a)(1), the
Administrator determines that each jurisdiction listed in paragraph (c)
of this section must submit a SIP revision to comply with the
requirements of section 110(a)(2)(D)(i)(I), 42 U.S.C.
7410(a)(2)(D)(i)(I), through the adoption of adequate provisions
prohibiting sources and other activities from emitting NOX in
amounts that will contribute significantly to nonattainment in, or
interfere with maintenance by, one or more other States with respect to
the 8-hour ozone NAAQS.
(3)(i) For purposes of this section, the term ``Phase I SIP
Submission'' means those SIP revisions submitted by States on or before
October 30, 2000 in compliance with paragraph (b)(1)(ii) of this
section. A State's Phase I SIP submission may include portions of the
NOX budget, under paragraph (e)(3) of this section, that a
State is required to include in a Phase II SIP submission.
(ii) For purposes of this section, the term ``Phase II SIP
Submission'' means those SIP revisions that must be submitted by a State
in compliance with paragraph (b)(1)(ii) of this section and which
includes portions of the NOX budget under paragraph (e)(3) of
this section.
(b)(1) For each jurisdiction listed in paragraph (c) of this
section, the SIP revision required under paragraph (a) of this section
will contain adequate provisions, for purposes of complying with section
110(a)(2)(D)(i)(I) of the CAA, 42 U.S.C. 7410(a)(2)(D)(i)(I), only if
the SIP revision:
(i) Contains control measures adequate to prohibit emissions of
NOX that would otherwise be projected, in accordance with
paragraph (g) of this section, to cause the jurisdiction's overall
NOX emissions to be in excess of the budget for that
jurisdiction described in paragraph (e) of this section (except as
provided in paragraph (b)(2) of this section),
(ii) Requires full implementation of all such control measures by no
later than May 31, 2004 for the sources covered by a Phase I SIP
submission and May 1, 2007 for the sources covered by a Phase II SIP
submission.
(iii) Meets the other requirements of this section. The SIP
revision's compliance with the requirement of paragraph (b)(1)(i) of
this section shall be considered compliance with the jurisdiction's
budget for purposes of this section.
(2) The requirements of paragraph (b)(1)(i) of this section shall be
deemed satisfied, for the portion of the budget covered by an interstate
trading program, if the SIP revision:
(i) Contains provisions for an interstate trading program that EPA
determines will, in conjunction with interstate trading programs for one
or more other jurisdictions, prohibit NOX emissions in excess
of the sum of the portion of the budgets covered by the trading programs
for those jurisdictions; and
(ii) Conforms to the following criteria:
(A) Emissions reductions used to demonstrate compliance with the
revision must occur during the ozone season.
(B) Emissions reductions occurring prior to the first year in which
any sources covered by Phase I or Phase II SIP submission are subject to
control measures under paragraph (b)(1)(i) of this section may be used
by a source to demonstrate compliance with the SIP revision for the
first and second ozone seasons in which any sources covered
[[Page 188]]
by a Phase I or Phase II SIP submission are subject to such control
measures, provided the SIPs provisions regarding such use comply with
the requirements of paragraph (e)(4) of this section.
(C) Emissions reductions credits or emissions allowances held by a
source or other person following the first ozone season in which any
sources covered by a Phase I or Phase II SIP submission are subject to
control measures under paragraph (b)(1)(i) of this section or any ozone
season thereafter that are not required to demonstrate compliance with
the SIP for the relevant ozone season may be banked and used to
demonstrate compliance with the SIP in a subsequent ozone season.
(D) Early reductions created according to the provisions in
paragraph (b)(2)(ii)(B) of this section and used in the first ozone
season in which any sources covered by Phase I or Phase II submissions
are subject to the control measures under paragraph (b)(1)(i) of this
section are not subject to the flow control provisions set forth in
paragraph (b)(2)(ii)(E) of this section.
(E) Starting with the second ozone season in which any sources
covered by a Phase I or Phase II SIP submission are subject to control
measures under paragraph (b)(1)(i) of this section, the SIP shall
include provisions to limit the use of banked emissions reductions
credits or emissions allowances beyond a predetermined amount as
calculated by one of the following approaches:
(1) Following the determination of compliance after each ozone
season, if the total number of emissions reduction credits or banked
allowances held by sources or other persons subject to the trading
program exceeds 10 percent of the sum of the allowable ozone season
NOX emissions for all sources subject to the trading program,
then all banked allowances used for compliance for the following ozone
season shall be subject to the following:
(i) A ratio will be established according to the following formula:
(0.10) x (the sum of the allowable ozone season NOX emissions
for all sources subject to the trading program) / (the total number of
banked emissions reduction credits or emissions allowances held by all
sources or other persons subject to the trading program).
(ii) The ratio, determined using the formula specified in paragraph
(b)(2)(ii)(E)(1)(i) of this section, will be multiplied by the number of
banked emissions reduction credits or emissions allowances held in each
account at the time of compliance determination. The resulting product
is the number of banked emissions reduction credits or emissions
allowances in the account which can be used in the current year's ozone
season at a rate of 1 credit or allowance for every 1 ton of emissions.
The SIP shall specify that banked emissions reduction credits or
emissions allowances in excess of the resulting product either may not
be used for compliance, or may only be used for compliance at a rate no
less than 2 credits or allowances for every 1 ton of emissions.
(2) At the time of compliance determination for each ozone season,
if the total number of banked emissions reduction credits or emissions
allowances held by a source subject to the trading program exceeds 10
percent of the source's allowable ozone season NOX emissions,
all banked emissions reduction credits or emissions allowances used for
compliance in such ozone season by the source shall be subject to the
following:
(i) The source may use an amount of banked emissions reduction
credits or emissions allowances not greater than 10 percent of the
source's allowable ozone season NOX emissions for compliance
at a rate of 1 credit or allowance for every 1 ton of emissions.
(ii) The SIP shall specify that banked emissions reduction credits
or emissions allowances in excess of 10 percent of the source's
allowable ozone season NOX emissions may not be used for
compliance, or may only be used for compliance at a rate no less than 2
credits or allowances for every 1 ton of emissions.
(c) The following jurisdictions (hereinafter referred to as
``States'') are subject to the requirement of this section:
(1) With respect to the 1-hour ozone NAAQS: Connecticut, Delaware,
Illinois, Indiana, Kentucky, Maryland, Massachusetts, New Jersey, New
York,
[[Page 189]]
North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina,
Tennessee, Virginia, West Virginia, and the District of Columbia.
(2) With respect to the 1-hour ozone NAAQS, the portions of
Missouri, Michigan, and Alabama within the fine grid of the OTAG
modeling domain. The fine grid is the area encompassed by a box with the
following geographic coordinates: Southwest Corner, 92 degrees West
longitude and 32 degrees North latitude; and Northeast Corner, 69.5
degrees West longitude and 44 degrees North latitude.
(d)(1) The SIP submissions required under paragraph (a) of this
section must be submitted to EPA by no later than October 30, 2000 for
Phase I SIP submissions and no later than April 1, 2005 for Phase II SIP
submissions.
(2) The State makes an official submission of its SIP revision to
EPA only when:
(i) The submission conforms to the requirements of appendix V to
this part; and
(ii) The State delivers five copies of the plan to the appropriate
Regional Office, with a letter giving notice of such action.
(e)(1) Except as provided in paragraph (e)(2)(ii) of this section,
the NOX budget for a State listed in paragraph (c) of this
section is defined as the total amount of NOX emissions from
all sources in that State, as indicated in paragraph (e)(2)(i) of this
section with respect to that State, which the State must demonstrate
that it will not exceed in the 2007 ozone season pursuant to paragraph
(g)(1) of this section.
(2)(i) The State-by-State amounts of the NOX budget,
expressed in tons, are as follows:
------------------------------------------------------------------------
State Final budget Budget
------------------------------------------------------------------ --------
Alabama.......................................... 119,827
Connecticut...................................... 42,850
Delaware......................................... 22,862
District of Columbia............................. 6,657
Illinois......................................... 271,091
Indiana.......................................... 230,381
Kentucky......................................... 162,519
Maryland......................................... 81,947
Massachusetts.................................... 84,848
Michigan......................................... 190,908
Missouri......................................... 61,406
New Jersey....................................... 96,876
New York......................................... 240,322
North Carolina................................... 165,306
Ohio............................................. 249,541
Pennsylvania..................................... 257,928
Rhode Island..................................... 9,378
South Carolina................................... 123,496
Tennessee........................................ 198,286
Virginia......................................... 180,521
West Virginia.................................... 83,921
------------------
Total.......................................... $3,031,527
------------------------------------------------------------------------
(ii) (A) For purposes of paragraph (e)(2)(i) of this section, in the
case of each State listed in paragraphs (e)(2)(ii)(B) through (E) of
this section, the NOX budget is defined as the total amount
of NOX emissions from all sources in the specified counties
in that State, as indicated in paragraph (e)(2)(i) of this section with
respect to the State, which the State must demonstrate that it will not
exceed in the 2007 ozone season pursuant to paragraph (g)(1) of this
section.
(B) In the case of Alabama, the counties are: Autauga, Bibb, Blount,
Calhoun, Chambers, Cherokee, Chilton, Clay, Cleburne, Colbert, Coosa,
Cullman, Dallas, De Kalb, Elmore, Etowah, Fayette, Franklin, Greene,
Hale, Jackson, Jefferson, Lamar, Lauderdale, Lawrence, Lee, Limestone,
Macon, Madison, Marion, Marshall, Morgan, Perry, Pickens, Randolph,
Russell, St. Clair, Shelby, Sumter, Talladega, Tallapoosa, Tuscaloosa,
Walker, and Winston.
(C) [Reserved]
(D) In the case of Michigan, the counties are: Allegan, Barry, Bay,
Berrien, Branch, Calhoun, Cass, Clinton, Eaton, Genesee, Gratiot,
Hillsdale, Ingham, Ionia, Isabella, Jackson, Kalamazoo, Kent, Lapeer,
Lenawee, Livingston, Macomb, Mecosta, Midland, Monroe, Montcalm,
Muskegon, Newaygo, Oakland, Oceana, Ottawa, Saginaw, St. Clair, St.
Joseph, Sanilac, Shiawassee, Tuscola, Van Buren, Washtenaw, and Wayne.
(E) In the case of Missouri, the counties are: Bollinger, Butler,
Cape Girardeau, Carter, Clark, Crawford, Dent, Dunklin, Franklin,
Gasconade, Iron, Jefferson, Lewis, Lincoln, Madison, Marion,
Mississippi, Montgomery, New Madrid, Oregon, Pemiscot, Perry, Pike,
Ralls, Reynolds, Ripley, St. Charles, St. Genevieve, St. Francois, St.
Louis, St. Louis City, Scott, Shannon, Stoddard, Warren, Washington, and
Wayne.
[[Page 190]]
(3) The State-by-State amounts of the portion of the NOX
budget provided in paragraph (e)(1) of this section, expressed in tons,
that the States may include in a Phase II SIP submission are as follows:
------------------------------------------------------------------------
Phase II
State incremental
budget
------------------------------------------------------------------------
Alabama................................................ 4,968
Connecticut............................................ 41
Delaware............................................... 660
District of Columbia................................... 1
Illinois............................................... 7,055
Indiana................................................ 4,244
Kentucky............................................... 2,556
Maryland............................................... 780
Massachusetts.......................................... 1,023
Michigan............................................... 1,033
New Jersey............................................. -994
New York............................................... 1,659
North Carolina......................................... 6,026
Ohio................................................... 2,741
Pennsylvania........................................... 10,230
Rhode Island........................................... 192
South Carolina......................................... 4,260
Tennessee.............................................. 2,877
Virginia............................................... 6,168
West Virginia.......................................... 1,124
----------------
Total.............................................. 56,644
------------------------------------------------------------------------
(4)(i) Notwithstanding the State's obligation to comply with the
budgets set forth in paragraph (e)(2) of this section, a SIP revision
may allow sources required by the revision to implement NOX
emission control measures to demonstrate compliance in the first and
second ozone seasons in which any sources covered by a Phase I or Phase
II SIP submission are subject to control measures under paragraph
(b)(1)(i) of this section using credit issued from the State's
compliance supplement pool, as set forth in paragraph (e)(4)(iii) of
this section.
(ii) A source may not use credit from the compliance supplement pool
to demonstrate compliance after the second ozone season in which any
sources are covered by a Phase I or Phase II SIP submission.
(iii) The State-by-State amounts of the compliance supplement pool
are as follows:
------------------------------------------------------------------------
Compliance
State supplement pool
(tons of NOX)
------------------------------------------------------------------------
Alabama................................................ 8,962
Connecticut............................................ 569
Delaware............................................... 168
District of Columbia................................... 0
Illinois............................................... 17,688
Indiana................................................ 19,915
Kentucky............................................... 13,520
Maryland............................................... 3,882
Massachusetts.......................................... 404
Michigan............................................... 9,907
Missouri............................................... 5,630
New Jersey............................................. 1,550
New York............................................... 2,764
North Carolina......................................... 10,737
Ohio................................................... 22,301
Pennsylvania........................................... 15,763
Rhode Island........................................... 15
South Carolina......................................... 5,344
Tennessee.............................................. 10,565
Virginia............................................... 5,504
West Virginia.......................................... 16,709
----------------
Total................................................ 182,625
------------------------------------------------------------------------
(iv) The SIP revision may provide for the distribution of the
compliance supplement pool to sources that are required to implement
control measures using one or both of the following two mechanisms:
(A) The State may issue some or all of the compliance supplement
pool to sources that implement emissions reductions during the ozone
season beyond all applicable requirements in the first ozone season in
which any sources covered by a Phase I or Phase II SIP submission are
subject to control measures under paragraph (b)(1)(i) of this section.
(1) The State shall complete the issuance process by no later than
the commencement of the first ozone season in which any sources covered
by a Phase I or Phase II SIP submission are subject to control measures
under paragraph (b)(1)(i) of this section.
(2) The emissions reduction may not be required by the State's SIP
or be otherwise required by the CAA.
(3) The emissions reductions must be verified by the source as
actually having occurred during an ozone season between September 30,
1999 and the commencement of the first ozone season in which any sources
covered by a Phase I or Phase II SIP submission are subject to control
measures under paragraph (b)(1)(i) of this section.
(4) The emissions reduction must be quantified according to
procedures set forth in the SIP revision and approved by EPA. Emissions
reductions implemented by sources serving electric generators with a
nameplate capacity
[[Page 191]]
greater than 25 MWe, or boilers, combustion turbines or combined cycle
units with a maximum design heat input greater than 250 mmBtu/hr, must
be quantified according to the requirements in paragraph (i)(4) of this
section.
(5) If the SIP revision contains approved provisions for an
emissions trading program, sources that receive credit according to the
requirements of this paragraph may trade the credit to other sources or
persons according to the provisions in the trading program.
(B) The State may issue some or all of the compliance supplement
pool to sources that demonstrate a need for an extension of the earliest
date on which any sources covered by a Phase I or Phase II SIP
submission are subject to control measures under paragraph (b)(1)(i) of
this section according to the following provisions:
(1) The State shall initiate the issuance process by the later date
of September 30 before the first ozone season in which any sources
covered by a Phase I or Phase II SIP submission are subject to control
measures under paragraph (b)(1)(i) of this section or after the State
issues credit according to the procedures in paragraph (e)(4)(iv)(A) of
this section.
(2) The State shall complete the issuance process by no later than
the commencement of the first ozone season in which any sources covered
by a Phase I or Phase II SIP submission are subject to control measures
under paragraph (b)(1)(i) of this section.
(3) The State shall issue credit to a source only if the source
demonstrates the following:
(i) For a source used to generate electricity, compliance with the
SIP revision's applicable control measures by the commencement of the
first ozone season in which any sources covered by a Phase I or Phase II
SIP submission are subject to control measures under paragraph (b)(1)(i)
of this section, would create undue risk for the reliability of the
electricity supply. This demonstration must include a showing that it
would not be feasible to import electricity from other electricity
generation systems during the installation of control technologies
necessary to comply with the SIP revision.
(ii) For a source not used to generate electricity, compliance with
the SIP revision's applicable control measures by the commencement of
the first ozone season in which any sources covered by a Phase I or
Phase II SIP submission are subject to control measures under paragraph
(b)(1)(i) of this section would create undue risk for the source or its
associated industry to a degree that is comparable to the risk described
in paragraph (e)(4)(iv)(B)(3)(i) of this section.
(iii) For a source subject to an approved SIP revision that allows
for early reduction credits in accordance with paragraph (e)(4)(iv)(A)
of this section, it was not possible for the source to comply with
applicable control measures by generating early reduction credits or
acquiring early reduction credits from other sources.
(iv) For a source subject to an approved emissions trading program,
it was not possible to comply with applicable control measures by
acquiring sufficient credit from other sources or persons subject to the
emissions trading program.
(4) The State shall ensure the public an opportunity, through a
public hearing process, to comment on the appropriateness of allocating
compliance supplement pool credits to a source under paragraph
(e)(3)(iv)(B) of this section.
(5) If, no later than February 22, 1999, any member of the public
requests revisions to the source-specific data and vehicle miles
traveled (VMT) and nonroad mobile growth rates, VMT distribution by
vehicle class, average speed by roadway type, inspection and maintenance
program parameters, and other input parameters used to establish the
State budgets set forth in paragraph (e)(2) of this section or the 2007
baseline sub-inventory information set forth in paragraph (g)(2)(ii) of
this section, then EPA will act on that request no later than April 23,
1999 provided:
(i) The request is submitted in electronic format;
(ii) Information is provided to corroborate and justify the need for
the requested modification;
[[Page 192]]
(iii) The request includes the following data information regarding
any electricity-generating source at issue:
(A) Federal Information Placement System (FIPS) State Code;
(B) FIPS County Code;
(C) Plant name;
(D) Plant ID numbers (ORIS code preferred, State agency tracking
number also or otherwise);
(E) Unit ID numbers (a unit is a boiler or other combustion device);
(F) Unit type;
(G) Primary fuel on a heat input basis;
(H) Maximum rated heat input capacity of unit;
(I) Nameplate capacity of the largest generator the unit serves;
(J) Ozone season heat inputs for the years 1995 and 1996;
(K) 1996 (or most recent) average NOX rate for the ozone
season;
(L) Latitude and longitude coordinates;
(M) Stack parameter information ;
(N) Operating parameter information;
(O) Identification of specific change to the inventory; and
(P) Reason for the change;
(iv) The request includes the following data information regarding
any non-electricity generating point source at issue:
(A) FIPS State Code;
(B) FIPS County Code;
(C) Plant name;
(D) Facility primary standard industrial classification code (SIC);
(E) Plant ID numbers (NEDS, AIRS/AFS, and State agency tracking
number also or otherwise);
(F) Unit ID numbers (a unit is a boiler or other combustion device);
(G) Primary source classification code (SCC);
(H) Maximum rated heat input capacity of unit;
(I) 1995 ozone season or typical ozone season daily NOX
emissions;
(J) 1995 existing NOX control efficiency;
(K) Latitude and longitude coordinates;
(L) Stack parameter information;
(M) Operating parameter information;
(N) Identification of specific change to the inventory; and
(O) Reason for the change;
(v) The request includes the following data information regarding
any stationary area source or nonroad mobile source at issue:
(A) FIPS State Code;
(B) FIPS County Code;
(C) Primary source classification code (SCC);
(D) 1995 ozone season or typical ozone season daily NOX
emissions;
(E) 1995 existing NOX control efficiency;
(F) Identification of specific change to the inventory; and
(G) Reason for the change;
(vi) The request includes the following data information regarding
any highway mobile source at issue:
(A) FIPS State Code;
(B) FIPS County Code;
(C) Primary source classification code (SCC) or vehicle type;
(D) 1995 ozone season or typical ozone season daily vehicle miles
traveled (VMT);
(E) 1995 existing NOX control programs;
(F) identification of specific change to the inventory; and
(G) reason for the change.
(f) Each SIP revision must set forth control measures to meet the
NOX budget in accordance with paragraph (b)(1)(i) of this
section, which include the following:
(1) A description of enforcement methods including, but not limited
to:
(i) Procedures for monitoring compliance with each of the selected
control measures;
(ii) Procedures for handling violations; and
(iii) A designation of agency responsibility for enforcement of
implementation.
(2) Should a State elect to impose control measures on fossil fuel-
fired NOX sources serving electric generators with a
nameplate capacity greater than 25 MWe or boilers, combustion turbines
or combined cycle units with a maximum design heat input greater than
250 mmBtu/hr as a means of meeting its NOX budget, then those
measures must:
(i)(A) Impose a NOX mass emissions cap on each source;
[[Page 193]]
(B) Impose a NOX emissions rate limit on each source and
assume maximum operating capacity for every such source for purposes of
estimating mass NOX emissions; or
(C) Impose any other regulatory requirement which the State has
demonstrated to EPA provides equivalent or greater assurance than
options in paragraphs (f)(2)(i)(A) or (f)(2)(i)(B) of this section that
the State will comply with its NOX budget in the 2007 ozone
season; and
(ii) Impose enforceable mechanisms, in accordance with paragraphs
(b)(1) (i) and (ii) of this section, to assure that collectively all
such sources, including new or modified units, will not exceed in the
2007 ozone season the total NOX emissions projected for such
sources by the State pursuant to paragraph (g) of this section.
(3) For purposes of paragraph (f)(2) of this section, the term
``fossil fuel-fired'' means, with regard to a NOX source:
(i) The combustion of fossil fuel, alone or in combination with any
other fuel, where fossil fuel actually combusted comprises more than 50
percent of the annual heat input on a Btu basis during any year starting
in 1995 or, if a NOX source had no heat input starting in
1995, during the last year of operation of the NOX source
prior to 1995; or
(ii) The combustion of fossil fuel, alone or in combination with any
other fuel, where fossil fuel is projected to comprise more than 50
percent of the annual heat input on a Btu basis during any year;
provided that the NOX source shall be ``fossil fuel-fired''
as of the date, during such year, on which the NOX source
begins combusting fossil fuel.
(g)(1) Each SIP revision must demonstrate that the control measures
contained in it are adequate to provide for the timely compliance with
the State's NOX budget during the 2007 ozone season.
(2) The demonstration must include the following:
(i) Each revision must contain a detailed baseline inventory of
NOX mass emissions from the following sources in the year
2007, absent the control measures specified in the SIP submission:
electric generating units (EGU), non-electric generating units (non-
EGU), area, nonroad and highway sources. The State must use the same
baseline emissions inventory that EPA used in calculating the State's
NOX budget, as set forth for the State in paragraph
(g)(2)(ii) of this section, except that EPA may direct the State to use
different baseline inventory information if the State fails to certify
that it has implemented all of the control measures assumed in
developing the baseline inventory.
(ii) The revised NOX emissions sub-inventories for each
State, expressed in tons per ozone season, are as follows:
----------------------------------------------------------------------------------------------------------------
State EGU Non-EGU Area Nonroad Highway Total
----------------------------------------------------------------------------------------------------------------
Alabama....................................... 29,022 43,415 28,762 20,146 51,274 172,619
Connecticut................................... 2,652 5,216 4,821 10,736 19,424 42,849
Delaware...................................... 5,250 2,473 1,129 5,651 8,358 22,861
District of Columbia.......................... 207 282 830 3,135 2,204 6,658
Illinois...................................... 32,372 59,577 9,369 56,724 112,518 270,560
Indiana....................................... 47,731 47,363 29,070 26,494 79,307 229,965
Kentucky...................................... 36,503 25,669 31,807 15,025 53,268 162,272
Maryland...................................... 14,656 12,585 4,448 20,026 30,183 81,898
Massachusetts................................. 15,146 10,298 11,048 20,166 28,190 84,848
Michigan...................................... 32,228 60,055 31,721 26,935 78,763 229,702
Missouri...................................... 24,216 21,602 7,341 20,829 51,615 125,603
New Jersey.................................... 10,250 15,464 12,431 23,565 35,166 96,876
New York...................................... 31,036 25,477 17,423 42,091 124,261 240,288
North Carolina................................ 31,821 26,434 11,067 22,005 73,695 165,022
Ohio.......................................... 48,990 40,194 21,860 43,380 94,850 249,274
Pennsylvania.................................. 47,469 70,132 17,842 30,571 91,578 257,592
Rhode Island.................................. 997 1,635 448 2,455 3,843 9,378
South Carolina................................ 16,772 27,787 9,415 14,637 54,494 123,105
Tennessee..................................... 25,814 39,636 13,333 52,920 66,342 198,045
Virginia...................................... 17,187 35,216 27,738 27,859 72,195 180,195
West Virginia................................. 26,859 20,238 5,459 10,433 20,844 83,833
Wisconsin..................................... 17,381 19,853 11,253 17,965 69,319 135,771
-----------------------------------------------------------------
[[Page 194]]
Total..................................... 544,961 640,317 321,827 540,215 1,310,466 3,357,786
----------------------------------------------------------------------------------------------------------------
Note to paragraph (g)(2)(ii): Totals may not sum due to rounding.
(iii) Each revision must contain a summary of NOX mass
emissions in 2007 projected to result from implementation of each of the
control measures specified in the SIP submission and from all
NOX sources together following implementation of all such
control measures, compared to the baseline 2007 NOX emissions
inventory for the State described in paragraph (g)(2)(i) of this
section. The State must provide EPA with a summary of the computations,
assumptions, and judgments used to determine the degree of reduction in
projected 2007 NOX emissions that will be achieved from the
implementation of the new control measures compared to the baseline
emissions inventory.
(iv) Each revision must identify the sources of the data used in the
projection of emissions.
(h) Each revision must comply with Sec. 51.116 of this part
(regarding data availability).
(i) Each revision must provide for monitoring the status of
compliance with any control measures adopted to meet the NOX
budget. Specifically, the revision must meet the following requirements:
(1) The revision must provide for legally enforceable procedures for
requiring owners or operators of stationary sources to maintain records
of and periodically report to the State:
(i) Information on the amount of NOX emissions from the
stationary sources; and
(ii) Other information as may be necessary to enable the State to
determine whether the sources are in compliance with applicable portions
of the control measures;
(2) The revision must comply with Sec. 51.212 of this part
(regarding testing, inspection, enforcement, and complaints);
(3) If the revision contains any transportation control measures,
then the revision must comply with Sec. 51.213 of this part (regarding
transportation control measures);
(4) If the revision contains measures to control fossil fuel-fired
NOX sources serving electric generators with a nameplate
capacity greater than 25 MWe or boilers, combustion turbines or combined
cycle units with a maximum design heat input greater than 250 mmBtu/hr,
then the revision must require such sources to comply with the
monitoring provisions of part 75, subpart H.
(5) For purposes of paragraph (i)(4) of this section, the term
``fossil fuel-fired'' means, with regard to a NOX source:
(i) The combustion of fossil fuel, alone or in combination with any
other fuel, where fossil fuel actually combusted comprises more than 50
percent of the annual heat input on a Btu basis during any year starting
in 1995 or, if a NOX source had no heat input starting in
1995, during the last year of operation of the NOX source
prior to 1995; or
(ii) The combustion of fossil fuel, alone or in combination with any
other fuel, where fossil fuel is projected to comprise more than 50
percent of the annual heat input on a Btu basis during any year,
provided that the NOX source shall be ``fossil fuel-fired''
as of the date, during such year, on which the NOX source
begins combusting fossil fuel.
(j) Each revision must show that the State has legal authority to
carry out the revision, including authority to:
(1) Adopt emissions standards and limitations and any other measures
necessary for attainment and maintenance of the State's NOX
budget specified in paragraph (e) of this section;
(2) Enforce applicable laws, regulations, and standards, and seek
injunctive relief;
(3) Obtain information necessary to determine whether air pollution
sources are in compliance with applicable laws, regulations, and
standards, including authority to require recordkeeping and to make
inspections and conduct tests of air pollution sources;
[[Page 195]]
(4) Require owners or operators of stationary sources to install,
maintain, and use emissions monitoring devices and to make periodic
reports to the State on the nature and amounts of emissions from such
stationary sources; also authority for the State to make such data
available to the public as reported and as correlated with any
applicable emissions standards or limitations.
(k)(1) The provisions of law or regulation which the State
determines provide the authorities required under this section must be
specifically identified, and copies of such laws or regulations must be
submitted with the SIP revision.
(2) Legal authority adequate to fulfill the requirements of
paragraphs (j)(3) and (4) of this section may be delegated to the State
under section 114 of the CAA.
(l)(1) A revision may assign legal authority to local agencies in
accordance with Sec. 51.232 of this part.
(2) Each revision must comply with Sec. 51.240 of this part
(regarding general plan requirements).
(m) Each revision must comply with Sec. 51.280 of this part
(regarding resources).
(n) For purposes of the SIP revisions required by this section, EPA
may make a finding as applicable under section 179(a)(1)-(4) of the CAA,
42 U.S.C. 7509(a)(1)-(4), starting the sanctions process set forth in
section 179(a) of the CAA. Any such finding will be deemed a finding
under Sec. 52.31(c) of this part and sanctions will be imposed in
accordance with the order of sanctions and the terms for such sanctions
established in Sec. 52.31 of this part.
(o) Each revision must provide for State compliance with the
reporting requirements set forth in Sec. 51.122 of this part.
(p)(1) Notwithstanding any other provision of this section, if a
State adopts regulations substantively identical to 40 CFR part 96 (the
model NOX budget trading program for SIPs), incorporates such
part by reference into its regulations, or adopts regulations that
differ substantively from such part only as set forth in paragraph
(p)(2) of this section, then that portion of the State's SIP revision is
automatically approved as satisfying the same portion of the State's
NOX emission reduction obligations as the State projects such
regulations will satisfy, provided that:
(i) The State has the legal authority to take such action and to
implement its responsibilities under such regulations, and
(ii) The SIP revision accurately reflects the NOX
emissions reductions to be expected from the State's implementation of
such regulations.
(2) If a State adopts an emissions trading program that differs
substantively from 40 CFR part 96 in only the following respects, then
such portion of the State's SIP revision is approved as set forth in
paragraph (p)(1) of this section:
(i) The State may expand the applicability provisions of the trading
program to include units (as defined in 40 CFR 96.2) that are smaller
than the size criteria thresholds set forth in 40 CFR 96.4(a);
(ii) The State may decline to adopt the exemption provisions set
forth in 40 CFR 96.4(b);
(iii) The State may decline to adopt the opt-in provisions set forth
in subpart I of 40 CFR part 96;
(iv) The State may decline to adopt the allocation provisions set
forth in subpart E of 40 CFR part 96 and may instead adopt any
methodology for allocating NOX allowances to individual
sources, provided that:
(A) The State's methodology does not allow the State to allocate
NOX allowances in excess of the total amount of
NOX emissions which the State has assigned to its trading
program; and
(B) The State's methodology conforms with the timing requirements
for submission of allocations to the Administrator set forth in 40 CFR
96.41; and
(v) The State may decline to adopt the early reduction credit
provisions set forth in 40 CFR 96.55(c) and may instead adopt any
methodology for issuing credit from the State's compliance supplement
pool that complies with paragraph (e)(3) of this section.
(3) If a State adopts an emissions trading program that differs
substantively from 40 CFR part 96 other than as set forth in paragraph
(p)(2) of
[[Page 196]]
this section, then such portion of the State's SIP revision is not
automatically approved as set forth in paragraph (p)(1) of this section
but will be reviewed by the Administrator for approvability in
accordance with the other provisions of this section.
(q) Stay of Findings of Significant Contribution with respect to the
8-hour standard. Notwithstanding any other provisions of this subpart,
the effectiveness of paragraph (a)(2) of this section is stayed.
(r)(1) Notwithstanding any provisions of paragraph (p) of this
section, subparts A through I of part 96 of this chapter, and any
State's SIP to the contrary, the Administrator will not carry out any of
the functions set forth for the Administrator in subparts A through I of
part 96 of this chapter, or in any emissions trading program in a
State's SIP approved under paragraph (p) of this section, with regard to
any ozone season that occurs after September 30, 2008.
(2) Except as provided in Sec. 51.123(bb) with regard to an ozone
season that occurs before January 1, 2015, a State whose SIP is approved
as meeting the requirements of this section and that includes an
emissions trading program approved under paragraph (p) of this section
must revise the SIP to adopt control measures that satisfy the same
portion of the State's NOX emission reduction requirements
under this section as the State projected such emissions trading program
would satisfy.
[63 FR 57491, Oct. 27, 1998, as amended at 63 FR 71225, Dec. 24, 1998;
64 FR 26305, May 14, 1999; 65 FR 11230, Mar. 2, 2000; 65 FR 56251, Sept.
18, 2000; 69 FR 21642, Apr. 21, 2004; 70 FR 25317, May 12, 2005; 70 FR
51597, Aug. 31, 2005; 73 FR 21538, Apr. 22, 2008; 76 FR 48353, Aug. 8,
2011; 79 FR 71671, Dec. 3, 2014]
Sec. 51.122 Emissions reporting requirements for SIP revisions relating
to budgets for NOX emissions.
(a) As used in this section, words and terms shall have the meanings
set forth in Sec. 51.50. In addition, the following terms shall apply
to this section:
(1) Ozone season emissions means emissions during the period from
May 1 through September 30 of a year.
(2) Summer day emissions means an average day's emissions for a
typical summer work weekday. The state will select the particular
month(s) in summer and the day(s) in the work week to be represented.
(b) For its transport SIP revision under Sec. 51.121, each state
must submit to EPA NOX emissions data as described in this
section.
(c) Each revision must provide for periodic reporting by the state
of NOX emissions data to demonstrate whether the state's
emissions are consistent with the projections contained in its approved
SIP submission.
(1) For the every-year reporting cycle, each revision must provide
for reporting of NOX emissions data every year as follows:
(i) The state must report to EPA emissions data from all
NOX sources within the state for which the state specified
control measures in its SIP submission under Sec. 51.121(g), including
all sources for which the state has adopted measures that differ from
the measures incorporated into the baseline inventory for the year 2007
that the state developed in accordance with Sec. 51.121(g).The state
must also report to EPA ozone season emissions of NOX and
summer day emissions of NOX from any point, nonpoint, onroad
mobile, or nonroad mobile source for which the state specified control
measures in its SIP submission under Sec. 51.121(g).
(ii) If sources report NOX emissions data to EPA for a
given year pursuant to a trading program approved under Sec. 51.121(p)
or pursuant to the monitoring and reporting requirements of 40 CFR part
75, then the state need not provide an every-year cycle report to EPA
for such sources.
(2) For the 3-year cycle reporting, each plan must provide for
triennial (i.e., every third year) reporting of NOX emissions
data from all sources within the state. The state must also report to
EPA ozone season emissions of NOX and summer day emissions of
NOX from all point sources, nonpoint sources, onroad mobile
sources, and nonroad mobile sources.
(3) The data availability requirements in Sec. 51.116 must be
followed for all data submitted to meet the requirements of paragraphs
(c)(1) and (2) of this section.
(d) [Reserved]
[[Page 197]]
(e) Approval of ozone season calculation by EPA. Each state must
submit for EPA approval an example of the calculation procedure used to
calculate ozone season emissions along with sufficient information to
verify the calculated value of ozone season emissions.
(f) Reporting schedules. Data collection is to begin during the
ozone season 1 year prior to the state's NOX SIP Call
compliance date.
(g) The state shall report emissions as point sources according to
the point source emissions thresholds of the Air Emissions Reporting
Rule (AERR), 40 CFR part 51, subpart A. The detail of the emissions
inventory shall be consistent with the data elements required by 40 CFR
part 51, subpart A. When submitting a formal NOX Budget
Emissions Report and associated data, states shall notify the
appropriate EPA Regional Office.
(g) The state shall report emissions as point sources according to
the point source emissions thresholds of the Air Emissions Reporting
Rule (AERR), 40 CFR part 51, subpart A. The detail of the emissions
inventory shall be consistent with the data elements required by 40 CFR
part 51, subpart A. When submitting a formal NOX Budget
Emissions Report and associated data, states shall notify the
appropriate EPA Regional Office.
[73 FR 76558, Dec. 17, 2008, as amended at 80 FR 8796, Feb. 19, 2015]
Sec. 51.123 Findings and requirements for submission of State
implementation plan revisions relating to emissions of oxides of nitrogen
pursuant to the Clean Air Interstate Rule.
(a)(1) Under section 110(a)(1) of the CAA, 42 U.S.C. 7410(a)(1), the
Administrator determines that each State identified in paragraph (c)(1)
and (2) of this section must submit a SIP revision to comply with the
requirements of section 110(a)(2)(D)(i)(I) of the CAA, 42 U.S.C.
7410(a)(2)(D)(i)(I), through the adoption of adequate provisions
prohibiting sources and other activities from emitting NOX in
amounts that will contribute significantly to nonattainment in, or
interfere with maintenance by, one or more other States with respect to
the fine particles (PM2.5) NAAQS.
(2)(a) Under section 110(a)(1) of the CAA, 42 U.S.C. 7410(a)(1), the
Administrator determines that each State identified in paragraph (c)(1)
and (3) of this section must submit a SIP revision to comply with the
requirements of section 110(a)(2)(D)(i)(I) of the CAA, 42 U.S.C.
7410(a)(2)(D)(i)(I), through the adoption of adequate provisions
prohibiting sources and other activities from emitting NOX in
amounts that will contribute significantly to nonattainment in, or
interfere with maintenance by, one or more other States with respect to
the 8-hour ozone NAAQS.
(3) Notwithstanding the other provisions of this section, such
provisions are not applicable as they relate to the State of Minnesota
as of December 3, 2009.
(b) For each State identified in paragraph (c) of this section, the
SIP revision required under paragraph (a) of this section will contain
adequate provisions, for purposes of complying with section
110(a)(2)(D)(i)(I) of the CAA, 42 U.S.C. 7410(a)(2)(D)(i)(I), only if
the SIP revision contains control measures that assure compliance with
the applicable requirements of this section.
(c) In addition to being subject to the requirements in paragraphs
(b) and (d) of this section:
(1) Alabama, Delaware, Florida, Illinois, Indiana, Iowa, Kentucky,
Louisiana, Maryland, Michigan, Mississippi, Missouri, New Jersey, New
York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee,
Virginia, West Virginia, Wisconsin, and the District of Columbia shall
be subject to the requirements contained in paragraphs (e) through (cc)
of this section;
(2) Georgia, Minnesota, and Texas shall be subject to the
requirements in paragraphs (e) through (o) and (cc) of this section; and
(3) Arkansas, Connecticut, and Massachusetts shall be subject to the
requirements contained in paragraphs (q) through (cc) of this section.
(d)(1) The State's SIP revision under paragraph (a) of this section
must be submitted to EPA by no later than September 11, 2006.
[[Page 198]]
(2) The requirements of appendix V to this part shall apply to the
SIP revision under paragraph (a) of this section.
(3) The State shall deliver 5 copies of the SIP revision under
paragraph (a) of this section to the appropriate Regional Office, with a
letter giving notice of such action.
(e) The State's SIP revision shall contain control measures and
demonstrate that they will result in compliance with the State's Annual
EGU NOX Budget, if applicable, and achieve the State's Annual
Non-EGU NOX Reduction Requirement, if applicable, for the
appropriate periods. The amounts of the State's Annual EGU
NOX Budget and Annual Non-EGU NOX Reduction
Requirement shall be determined as follows:
(1)(i) The Annual EGU NOX Budget for the State is defined
as the total amount of NOX emissions from all EGUs in that
State for a year, if the State meets the requirements of paragraph
(a)(1) of this section by imposing control measures, at least in part,
on EGUs. If the State imposes control measures under this section on
only EGUs, the Annual EGU NOX Budget for the State shall not
exceed the amount, during the indicated periods, specified in paragraph
(e)(2) of this section.
(ii) The Annual Non-EGU NOX Reduction Requirement, if
applicable, is defined as the total amount of NOX emission
reductions that the State demonstrates, in accordance with paragraph (g)
of this section, it will achieve from non-EGUs during the appropriate
period. If the State meets the requirements of paragraph (a)(1) of this
section by imposing control measures on only non-EGUs, then the State's
Annual Non-EGU NOX Reduction Requirement shall equal or
exceed, during the appropriate periods, the amount determined in
accordance with paragraph (e)(3) of this section.
(iii) If a State meets the requirements of paragraph (a)(1) of this
section by imposing control measures on both EGUs and non-EGUs, then:
(A) The Annual Non-EGU NOX Reduction Requirement shall
equal or exceed the difference between the amount specified in paragraph
(e)(2) of this section for the appropriate period and the amount of the
State's Annual EGU NOX Budget specified in the SIP revision
for the appropriate period; and
(B) The Annual EGU NOX Budget shall not exceed, during
the indicated periods, the amount specified in paragraph (e)(2) of this
section plus the amount of the Annual Non-EGU NOX Reduction
Requirement under paragraph (e)(1)(iii)(A) of this section for the
appropriate period.
(2) For a State that complies with the requirements of paragraph
(a)(1) of this section by imposing control measures on only EGUs, the
amount of the Annual EGU NOX Budget, in tons of
NOX per year, shall be as follows, for the indicated State
for the indicated period:
------------------------------------------------------------------------
Annual EGU NOX
Annual EGU NOX budget for
State budget for 2015 and
2009-2014 thereafter
(tons) (tons)
------------------------------------------------------------------------
Alabama................................. 69,020 57,517
Delaware................................ 4,166 3,472
District of Columbia.................... 144 120
Florida................................. 99,445 82,871
Georgia................................. 66,321 55,268
Illinois................................ 76,230 63,525
Indiana................................. 108,935 90,779
Iowa.................................... 32,692 27,243
Kentucky................................ 83,205 69,337
Louisiana............................... 35,512 29,593
Maryland................................ 27,724 23,104
Michigan................................ 65,304 54,420
Minnesota............................... 31,443 26,203
Mississippi............................. 17,807 14,839
Missouri................................ 59,871 49,892
New Jersey.............................. 12,670 10,558
New York................................ 45,617 38,014
North Carolina.......................... 62,183 51,819
Ohio.................................... 108,667 90,556
Pennsylvania............................ 99,049 82,541
South Carolina.......................... 32,662 27,219
Tennessee............................... 50,973 42,478
Texas................................... 181,014 150,845
Virginia................................ 36,074 30,062
West Virginia........................... 74,220 61,850
Wisconsin............................... 40,759 33,966
------------------------------------------------------------------------
(3) For a State that complies with the requirements of paragraph
(a)(1) of this section by imposing control measures on only non-EGUs,
the amount of the Annual Non-EGU NOX Reduction Requirement,
in tons of NOX per year, shall be determined, for the State
for 2009 and thereafter, by subtracting the amount of the State's Annual
EGU NOX Budget for the appropriate year, specified in
paragraph (e)(2) of this section from the amount of the State's
NOX
[[Page 199]]
baseline EGU emissions inventory projected for the appropriate year,
specified in Table 5 of ``Regional and State SO2 and
NOX Budgets'', March 2005 (available at http://www.epa.gov/
cleanairinterstaterule).
(4)(i) Notwithstanding the State's obligation to comply with
paragraph (e)(2) or (3) of this section, the State's SIP revision may
allow sources required by the revision to implement control measures to
demonstrate compliance using credit issued from the State's compliance
supplement pool, as set forth in paragraph (e)(4)(ii) of this section.
(ii) The State-by-State amounts of the compliance supplement pool
are as follows:
------------------------------------------------------------------------
Compliance
State supplement
pool
------------------------------------------------------------------------
Alabama................................................. 10,166
Delaware................................................ 843
District of Columbia.................................... 0
Florida................................................. 8,335
Georgia................................................. 12,397
Illinois................................................ 11,299
Indiana................................................. 20,155
Iowa.................................................... 6,978
Kentucky................................................ 14,935
Louisiana............................................... 2,251
Maryland................................................ 4,670
Michigan................................................ 8,347
Minnesota............................................... 6,528
Mississippi............................................. 3,066
Missouri................................................ 9,044
New Jersey.............................................. 660
New York................................................ 0
North Carolina.......................................... 0
Ohio.................................................... 25,037
Pennsylvania............................................ 16,009
South Carolina.......................................... 2,600
Tennessee............................................... 8,944
Texas................................................... 772
Virginia................................................ 5,134
West Virginia........................................... 16,929
Wisconsin............................................... 4,898
------------------------------------------------------------------------
(iii) The SIP revision may provide for the distribution of credits
from the compliance supplement pool to sources that are required to
implement control measures using one or both of the following two
mechanisms:
(A) The State may issue credit from compliance supplement pool to
sources that are required by the SIP revision to implement
NOX emission control measures and that implement
NOX emission reductions in 2007 and 2008 that are not
necessary to comply with any State or federal emissions limitation
applicable at any time during such years. Such a source may be issued
one credit from the compliance supplement pool for each ton of such
emission reductions in 2007 and 2008.
(1) The State shall complete the issuance process by January 1,
2010.
(2) The emissions reductions for which credits are issued must have
been demonstrated by the owners and operators of the source to have
occurred during 2007 and 2008 and not to be necessary to comply with any
applicable State or federal emissions limitation.
(3) The emissions reductions for which credits are issued must have
been quantified by the owners and operators of the source:
(i) For EGUs and for fossil-fuel-fired non-EGUs that are boilers or
combustion turbines with a maximum design heat input greater than 250
mmBut/hr, using emissions data determined in accordance with subpart H
of part 75 of this chapter; and
(ii) For non-EGUs not described in paragraph (e)(4)(iii)(A)(3)(i) of
this section, using emissions data determined in accordance with subpart
H of part 75 of this chapter or, if the State demonstrates that
compliance with subpart H of part 75 of this chapter is not practicable,
determined, to the extent practicable, with the same degree of assurance
with which emissions data are determined for sources subject to subpart
H of part 75.
(4) If the SIP revision contains approved provisions for an
emissions trading program, the owners and operators of sources that
receive credit according to the requirements of this paragraph may
transfer the credit to other sources or persons according to the
provisions in the emissions trading program.
(B) The State may issue credit from the compliance supplement pool
to sources that are required by the SIP revision to implement
NOX emission control measures and whose owners and operators
demonstrate a need for an extension, beyond 2009, of the deadline for
the source for implementing such emission controls.
(1) The State shall complete the issuance process by January 1,
2010.
(2) The State shall issue credit to a source only if the owners and
operators of the source demonstrate that:
[[Page 200]]
(i) For a source used to generate electricity, implementation of the
SIP revision's applicable control measures by 2009 would create undue
risk for the reliability of the electricity supply. This demonstration
must include a showing that it would not be feasible for the owners and
operators of the source to obtain a sufficient amount of electricity, to
prevent such undue risk, from other electricity generation facilities
during the installation of control technology at the source necessary to
comply with the SIP revision.
(ii) For a source not used to generate electricity, compliance with
the SIP revision's applicable control measures by 2009 would create
undue risk for the source or its associated industry to a degree that is
comparable to the risk described in paragraph (e)(4)(iii)(B)(2)(i) of
this section.
(iii) This demonstration must include a showing that it would not be
possible for the source to comply with applicable control measures by
obtaining sufficient credits under paragraph (e)(4)(iii)(A) of this
section, or by acquiring sufficient credits from other sources or
persons, to prevent undue risk.
(f) Each SIP revision must set forth control measures to meet the
amounts specified in paragraph (e) of this section, as applicable,
including the following:
(1) A description of enforcement methods including, but not limited
to:
(i) Procedures for monitoring compliance with each of the selected
control measures;
(ii) Procedures for handling violations; and
(iii) A designation of agency responsibility for enforcement of
implementation.
(2)(i) If a State elects to impose control measures on EGUs, then
those measures must impose an annual NOX mass emissions cap
on all such sources in the State.
(ii) If a State elects to impose control measures on fossil fuel-
fired non-EGUs that are boilers or combustion turbines with a maximum
design heat input greater than 250 mmBtu/hr, then those measures must
impose an annual NOX mass emissions cap on all such sources
in the State.
(iii) If a State elects to impose control measures on non-EGUs other
than those described in paragraph (f)(2)(ii) of this section, then those
measures must impose an annual NOX mass emissions cap on all
such sources in the State or the State must demonstrate why such
emissions cap is not practicable and adopt alternative requirements that
ensure that the State will comply with its requirements under paragraph
(e) of this section, as applicable, in 2009 and subsequent years.
(g)(1) Each SIP revision that contains control measures covering
non-EGUs as part or all of a State's obligation in meeting its
requirement under paragraph (a)(1) of this section must demonstrate that
such control measures are adequate to provide for the timely compliance
with the State's Annual Non-EGU NOX Reduction Requirement
under paragraph (e) of this section and are not adopted or implemented
by the State, as of May 12, 2005, and are not adopted or implemented by
the Federal government, as of the date of submission of the SIP revision
by the State to EPA.
(2) The demonstration under paragraph (g)(1) of this section must
include the following, with respect to each source category of non-EGUs
for which the SIP revision requires control measures:
(i) A detailed historical baseline inventory of NOX mass
emissions from the source category in a representative year consisting,
at the State's election, of 2002, 2003, 2004, or 2005, or an average of
2 or more of those years, absent the control measures specified in the
SIP revision.
(A) This inventory must represent estimates of actual emissions
based on monitoring data in accordance with subpart H of part 75 of this
chapter, if the source category is subject to monitoring requirements in
accordance with subpart H of part 75 of this chapter.
(B) In the absence of monitoring data in accordance with subpart H
of part 75 of this chapter, actual emissions must be quantified, to the
maximum extent practicable, with the same degree of assurance with which
emissions are quantified for sources subject to subpart H of part 75 of
this chapter and
[[Page 201]]
using source-specific or source-category-specific assumptions that
ensure a source's or source category's actual emissions are not
overestimated. If a State uses factors to estimate emissions, production
or utilization, or effectiveness of controls or rules for a source
category, such factors must be chosen to ensure that emissions are not
overestimated.
(C) For measures to reduce emissions from motor vehicles, emission
estimates must be based on an emissions model that has been approved by
EPA for use in SIP development and must be consistent with the planning
assumptions regarding vehicle miles traveled and other factors current
at the time of the SIP development.
(D) For measures to reduce emissions from nonroad engines or
vehicles, emission estimates methodologies must be approved by EPA.
(ii) A detailed baseline inventory of NOX mass emissions
from the source category in the years 2009 and 2015, absent the control
measures specified in the SIP revision and reflecting changes in these
emissions from the historical baseline year to the years 2009 and 2015,
based on projected changes in the production input or output,
population, vehicle miles traveled, economic activity, or other factors
as applicable to this source category.
(A) These inventories must account for implementation of any control
measures that are otherwise required by final rules already promulgated,
as of May 12, 2005, or adopted or implemented by any federal agency, as
of the date of submission of the SIP revision by the State to EPA, and
must exclude any control measures specified in the SIP revision to meet
the NOX emissions reduction requirements of this section.
(B) Economic and population forecasts must be as specific as
possible to the applicable industry, State, and county of the source or
source category and must be consistent with both national projections
and relevant official planning assumptions, including estimates of
population and vehicle miles traveled developed through consultation
between State and local transportation and air quality agencies.
However, if these official planning assumptions are inconsistent with
official U.S. Census projections of population or with energy
consumption projections contained in the U.S. Department of Energy's
most recent Annual Energy Outlook, then the SIP revision must make
adjustments to correct the inconsistency or must demonstrate how the
official planning assumptions are more accurate.
(C) These inventories must account for any changes in production
method, materials, fuels, or efficiency that are expected to occur
between the historical baseline year and 2009 or 2015, as appropriate.
(iii) A projection of NOX mass emissions in 2009 and 2015
from the source category assuming the same projected changes as under
paragraph (g)(2)(ii) of this section and resulting from implementation
of each of the control measures specified in the SIP revision.
(A) These inventories must address the possibility that the State's
new control measures may cause production or utilization, and emissions,
to shift to unregulated or less stringently regulated sources in the
source category in the same or another State, and these inventories must
include any such amounts of emissions that may shift to such other
sources.
(B) The State must provide EPA with a summary of the computations,
assumptions, and judgments used to determine the degree of reduction in
projected 2009 and 2015 NOX emissions that will be achieved
from the implementation of the new control measures compared to the
relevant baseline emissions inventory.
(iv) The result of subtracting the amounts in paragraph (g)(2)(iii)
of this section for 2009 and 2015, respectively, from the lower of the
amounts in paragraph (g)(2)(i) or (g)(2)(ii) of this section for 2009
and 2015, respectively, may be credited towards the State's Annual Non-
EGU NOX Reduction Requirement in paragraph (e)(3) of this
section for the appropriate period.
(v) Each SIP revision must identify the sources of the data used in
each estimate and each projection of emissions.
(h) Each SIP revision must comply with Sec. 51.116 (regarding data
availability).
[[Page 202]]
(i) Each SIP revision must provide for monitoring the status of
compliance with any control measures adopted to meet the State's
requirements under paragraph (e) of this section as follows:
(1) The SIP revision must provide for legally enforceable procedures
for requiring owners or operators of stationary sources to maintain
records of, and periodically report to the State:
(i) Information on the amount of NOX emissions from the
stationary sources; and
(ii) Other information as may be necessary to enable the State to
determine whether the sources are in compliance with applicable portions
of the control measures;
(2) The SIP revision must comply with Sec. 51.212 (regarding
testing, inspection, enforcement, and complaints);
(3) If the SIP revision contains any transportation control
measures, then the SIP revision must comply with Sec. 51.213 (regarding
transportation control measures);
(4)(i) If the SIP revision contains measures to control EGUs, then
the SIP revision must require such sources to comply with the
monitoring, recordkeeping, and reporting provisions of subpart H of part
75 of this chapter.
(ii) If the SIP revision contains measures to control fossil fuel-
fired non-EGUs that are boilers or combustion turbines with a maximum
design heat input greater than 250 mmBtu/hr, then the SIP revision must
require such sources to comply with the monitoring, recordkeeping, and
reporting provisions of subpart H of part 75 of this chapter.
(iii) If the SIP revision contains measures to control any other
non-EGUs that are not described in paragraph (i)(4)(ii) of this section,
then the SIP revision must require such sources to comply with the
monitoring, recordkeeping, and reporting provisions of subpart H of part
75 of this chapter, or the State must demonstrate why such requirements
are not practicable and adopt alternative requirements that ensure that
the required emissions reductions will be quantified, to the maximum
extent practicable, with the same degree of assurance with which
emissions are quantified for sources subject to subpart H of part 75 of
this chapter.
(j) Each SIP revision must show that the State has legal authority
to carry out the SIP revision, including authority to:
(1) Adopt emissions standards and limitations and any other measures
necessary for attainment and maintenance of the State's relevant Annual
EGU NOX Budget or the Annual Non-EGU NOX Reduction
Requirement, as applicable, under paragraph (e) of this section;
(2) Enforce applicable laws, regulations, and standards and seek
injunctive relief;
(3) Obtain information necessary to determine whether air pollution
sources are in compliance with applicable laws, regulations, and
standards, including authority to require recordkeeping and to make
inspections and conduct tests of air pollution sources; and
(4)(i) Require owners or operators of stationary sources to install,
maintain, and use emissions monitoring devices and to make periodic
reports to the State on the nature and amounts of emissions from such
stationary sources; and
(ii) Make the data described in paragraph (j)(4)(i) of this section
available to the public within a reasonable time after being reported
and as correlated with any applicable emissions standards or
limitations.
(k)(1) The provisions of law or regulation that the State determines
provide the authorities required under this section must be specifically
identified, and copies of such laws or regulations must be submitted
with the SIP revision.
(2) Legal authority adequate to fulfill the requirements of
paragraphs (j)(3) and (4) of this section may be delegated to the State
under section 114 of the CAA.
(l)(1) A SIP revision may assign legal authority to local agencies
in accordance with Sec. 51.232.
(2) Each SIP revision must comply with Sec. 51.240 (regarding
general plan requirements).
(m) Each SIP revision must comply with Sec. 51.280 (regarding
resources).
[[Page 203]]
(n) Each SIP revision must provide for State compliance with the
reporting requirements in Sec. 51.125.
(o)(1) Notwithstanding any other provision of this section, if a
State adopts regulations substantively identical to subparts AA through
II of part 96 of this chapter (CAIR NOX Annual Trading
Program), incorporates such subparts by reference into its regulations,
or adopts regulations that differ substantively from such subparts only
as set forth in paragraph (o)(2) of this section, then such emissions
trading program in the State's SIP revision is automatically approved as
meeting the requirements of paragraph (e) of this section, provided that
the State has the legal authority to take such action and to implement
its responsibilities under such regulations. Before January 1, 2009, a
State's regulations shall be considered to be substantively identical to
subparts AA through II of part 96 of this chapter, or differing
substantively only as set forth in paragraph (o)(2) of this section,
regardless of whether the State's regulations include the definition of
``Biomass'', paragraph (3) of the definition of ``Cogeneration unit'',
and the second sentence of the definition of ``Total energy input'' in
Sec. 96.102 of this chapter promulgated on October 19, 2007, provided
that the State timely submits to the Administrator a SIP revision that
revises the State's regulations to include such provisions. Submission
to the Administrator of a SIP revision that revises the State's
regulations to include such provisions shall be considered timely if the
submission is made by January 1, 2009.
(2) If a State adopts an emissions trading program that differs
substantively from subparts AA through II of part 96 of this chapter
only as follows, then the emissions trading program is approved as set
forth in paragraph (o)(1) of this section.
(i) The State may decline to adopt the CAIR NOX opt-in
provisions of:
(A) Subpart II of this part and the provisions applicable only to
CAIR NOX opt-in units in subparts AA through HH of this part;
(B) Section 96.188(b) of this chapter and the provisions of subpart
II of this part applicable only to CAIR NOX opt-in units
under Sec. 96.188(b); or
(C) Section 96.188(c) of this chapter and the provisions of subpart
II of this part applicable only to CAIR NOX opt-in units
under Sec. 96.188(c).
(ii) The State may decline to adopt the allocation provisions set
forth in subpart EE of part 96 of this chapter and may instead adopt any
methodology for allocating CAIR NOX allowances to individual
sources, as follows:
(A) The State's methodology must not allow the State to allocate
CAIR NOX allowances for a year in excess of the amount in the
State's Annual EGU NOX Budget for such year;
(B) The State's methodology must require that, for EGUs commencing
operation before January 1, 2001, the State will determine, and notify
the Administrator of, each unit's allocation of CAIR NOX
allowances by October 31, 2006 for 2009, 2010, and 2011 and by October
31, 2008 and October 31 of each year thereafter for 4th the year after
the year of the notification deadline;
(C) The State's methodology must require that, for EGUs commencing
operation on or after January 1, 2001, the State will determine, and
notify the Administrator of, each unit's allocation of CAIR
NOX allowances by October 31 of the year for which the CAIR
NOX allowances are allocated; and
(D) The State's methodology for allocating the compliance supplement
pool must be substantively identical to Sec. 97.143 (except that the
permitting authority makes the allocations and the Administrator records
the allocations made by the permitting authority) or otherwise in
accordance with paragraph (e)(4) of this section.
(3) A State that adopts an emissions trading program in accordance
with paragraph (o)(1) or (2) of this section is not required to adopt an
emissions trading program in accordance with paragraph (aa)(1) or (2) of
this section or Sec. 96.124(o)(1) or (2).
(4) If a State adopts an emissions trading program that differs
substantively from subparts AA through HH of part 96 of this chapter,
other than as set forth in paragraph (o)(2) of this section, then such
emissions trading program is not automatically approved as set forth in
paragraph (o)(1)
[[Page 204]]
or (2) of this section and will be reviewed by the Administrator for
approvability in accordance with the other provisions of this section,
provided that the NOX allowances issued under such emissions
trading program shall not, and the SIP revision shall state that such
NOX allowances shall not, qualify as CAIR NOX
allowances or CAIR NOX Ozone Season allowances under any
emissions trading program approved under paragraphs (o)(1) or (2) or
(aa)(1) or (2) of this section.
(p) Notwithstanding any other provision of this section, a State may
adopt, and include in a SIP revision submitted by March 31, 2007,
regulations relating to the Federal CAIR NOX Annual Trading
Program under subparts AA through HH of part 97 of this chapter as
follows:
(1) The State may adopt, as CAIR NOX allowance allocation
provisions replacing the provisions in subpart EE of part 97 of this
chapter:
(i) Allocation provisions substantively identical to subpart EE of
part 96 of this chapter, under which the permitting authority makes the
allocations; or
(ii) Any methodology for allocating CAIR NOX allowances
to individual sources under which the permitting authority makes the
allocations, provided that:
(A) The State's methodology must not allow the permitting authority
to allocate CAIR NOX allowances for a year in excess of the
amount in the State's Annual EGU NOX budget for such year.
(B) The State's methodology must require that, for EGUs commencing
operation before January 1, 2001, the permitting authority will
determine, and notify the Administrator of, each unit's allocation of
CAIR NOX allowances by April 30, 2007 for 2009, 2010, and
2011 and by October 31, 2008 and October 31 of each year thereafter for
the 4th year after the year of the notification deadline.
(C) The State's methodology must require that, for EGUs commencing
operation on or after January 1, 2001, the permitting authority will
determine, and notify the Administrator of, each unit's allocation of
CAIR NOX allowances by October 31 of the year for which the
CAIR NOX allowances are allocated.
(2) The State may adopt, as compliance supplement pool provisions
replacing the provisions in Sec. 97.143 of this chapter:
(i) Provisions for allocating the State's compliance supplement pool
that are substantively identical to Sec. 97.143 of this chapter, except
that the permitting authority makes the allocations and the
Administrator records the allocations made by the permitting authority;
(ii) Provisions for allocating the State's compliance supplement
pool that are substantively identical to Sec. 96.143 of this chapter;
or
(iii) Other provisions for allocating the State's compliance
supplement pool that are in accordance with paragraph (e)(4) of this
section.
(3) The State may adopt CAIR opt-in unit provisions as follows:
(i) Provisions for CAIR opt-in units, including provisions for
applications for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR NOX allowances for CAIR opt-in units, that are
substantively identical to subpart II of part 96 of this chapter and the
provisions of subparts AA through HH that are applicable to CAIR opt-in
units or units for which a CAIR opt-in permit application is submitted
and not withdrawn and a CAIR opt-in permit is not yet issued or denied;
(ii) Provisions for CAIR opt-in units, including provisions for
applications for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR NOX allowances for CAIR opt-in units, that are
substantively identical to subpart II of part 96 of this chapter and the
provisions of subparts AA through HH that are applicable to CAIR opt-in
units or units for which a CAIR opt-in permit application is submitted
and not withdrawn and a CAIR opt-in permit is not yet issued or denied,
except that the provisions exclude Sec. 96.188(b) of this chapter and
the provisions of subpart II of part 96 of this chapter that apply only
to units covered by Sec. 96.188(b) of this chapter; or
[[Page 205]]
(iii) Provisions for applications for CAIR opt-in units, including
provisions for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR NOX allowances for CAIR opt-in units, that are
substantively identical to subpart II of part 96 of this chapter and the
provisions of subparts AA through HH that are applicable to CAIR opt-in
units or units for which a CAIR opt-in permit application is submitted
and not withdrawn and a CAIR opt-in permit is not yet issued or denied,
except that the provisions exclude Sec. 96.188(c) of this chapter and
the provisions of subpart II of part 96 of this chapter that apply only
to units covered by Sec. 96.188(c) of this chapter.
(q) The State's SIP revision shall contain control measures and
demonstrate that they will result in compliance with the State's Ozone
Season EGU NOX Budget, if applicable, and achieve the State's
Ozone Season Non-EGU NOX Reduction Requirement, if
applicable, for the appropriate periods. The amounts of the State's
Ozone Season EGU NOX Budget and Ozone Season Non-EGU
NOX Reduction Requirement shall be determined as follows:
(1)(i) The Ozone Season EGU NOX Budget for the State is
defined as the total amount of NOX emissions from all EGUs in
that State for an ozone season, if the State meets the requirements of
paragraph (a)(2) of this section by imposing control measures, at least
in part, on EGUs. If the State imposes control measures under this
section on only EGUs, the Ozone Season EGU NOX Budget for the
State shall not exceed the amount, during the indicated periods,
specified in paragraph (q)(2) of this section.
(ii) The Ozone Season Non-EGU NOX Reduction Requirement,
if applicable, is defined as the total amount of NOX emission
reductions that the State demonstrates, in accordance with paragraph (s)
of this section, it will achieve from non-EGUs during the appropriate
period. If the State meets the requirements of paragraph (a)(2) of this
section by imposing control measures on only non-EGUs, then the State's
Ozone Season Non-EGU NOX Reduction Requirement shall equal or
exceed, during the appropriate periods, the amount determined in
accordance with paragraph (q)(3) of this section.
(iii) If a State meets the requirements of paragraph (a)(2) of this
section by imposing control measures on both EGUs and non-EGUs, then:
(A) The Ozone Season Non-EGU NOX Reduction Requirement
shall equal or exceed the difference between the amount specified in
paragraph (q)(2) of this section for the appropriate period and the
amount of the State's Ozone Season EGU NOX Budget specified
in the SIP revision for the appropriate period; and
(B) The Ozone Season EGU NOX Budget shall not exceed,
during the indicated periods, the amount specified in paragraph (q)(2)
of this section plus the amount of the Ozone Season Non-EGU
NOX Reduction Requirement under paragraph (q)(1)(iii)(A) of
this section for the appropriate period.
(2) For a State that complies with the requirements of paragraph
(a)(2) of this section by imposing control measures on only EGUs, the
amount of the Ozone Season EGU NOX Budget, in tons of
NOX per ozone season, shall be as follows, for the indicated
State for the indicated period:
------------------------------------------------------------------------
Ozone season
Ozone season EGU NOX budget
State EGU NOX budget for 2015 and
for 2009-2014 thereafter
(tons) (tons)
------------------------------------------------------------------------
Alabama................................. 32,182 26,818
Arkansas................................ 11,515 9,596
Connecticut............................. 2,559 2,559
Delaware................................ 2,226 1,855
District of Columbia.................... 112 94
Florida................................. 47,912 39,926
Illinois................................ 30,701 28,981
Indiana................................. 45,952 39,273
Iowa.................................... 14,263 11,886
Kentucky................................ 36,045 30,587
Louisiana............................... 17,085 14,238
Maryland................................ 12,834 10,695
Massachusetts........................... 7,551 6,293
Michigan................................ 28,971 24,142
Mississippi............................. 8,714 7,262
Missouri................................ 26,678 22,231
New Jersey.............................. 6,654 5,545
New York................................ 20,632 17,193
North Carolina.......................... 28,392 23,660
Ohio.................................... 45,664 39,945
Pennsylvania............................ 42,171 35,143
South Carolina.......................... 15,249 12,707
Tennessee............................... 22,842 19,035
Virginia................................ 15,994 13,328
West Virginia........................... 26,859 26,525
Wisconsin............................... 17,987 14,989
------------------------------------------------------------------------
[[Page 206]]
(3) For a State that complies with the requirements of paragraph
(a)(2) of this section by imposing control measures on only non-EGUs,
the amount of the Ozone Season Non-EGU NOX Reduction
Requirement, in tons of NOX per ozone season, shall be
determined, for the State for 2009 and thereafter, by subtracting the
amount of the State's Ozone Season EGU NOX Budget for the
appropriate year, specified in paragraph (q)(2) of this section, from
the amount of the State's NOX baseline EGU emissions
inventory projected for the ozone season in the appropriate year,
specified in Table 7 of ``Regional and State SO2 and
NOX Budgets'', March 2005 (available at: http://www.epa.gov/
cleanairinterstaterule).
(4) Notwithstanding the State's obligation to comply with paragraph
(q)(2) or (3) of this section, the State's SIP revision may allow
sources required by the revision to implement NOX emission
control measures to demonstrate compliance using NOX SIP Call
allowances allocated under the NOX Budget Trading Program for
any ozone season during 2003 through 2008 that have not been deducted by
the Administrator under the NOX Budget Trading Program, if
the SIP revision ensures that such allowances will not be available for
such deduction under the NOX Budget Trading Program.
(r) Each SIP revision must set forth control measures to meet the
amounts specified in paragraph (q) of this section, as applicable,
including the following:
(1) A description of enforcement methods including, but not limited
to:
(i) Procedures for monitoring compliance with each of the selected
control measures;
(ii) Procedures for handling violations; and
(iii) A designation of agency responsibility for enforcement of
implementation.
(2)(i) If a State elects to impose control measures on EGUs, then
those measures must impose an ozone season NOX mass emissions
cap on all such sources in the State.
(ii) If a State elects to impose control measures on fossil fuel-
fired non-EGUs that are boilers or combustion turbines with a maximum
design heat input greater than 250 mmBtu/hr, then those measures must
impose an ozone season NOX mass emissions cap on all such
sources in the State.
(iii) If a State elects to impose control measures on non-EGUs other
than those described in paragraph (r)(2)(ii) of this section, then those
measures must impose an ozone season NOX mass emissions cap
on all such sources in the State or the State must demonstrate why such
emissions cap is not practicable and adopt alternative requirements that
ensure that the State will comply with its requirements under paragraph
(q) of this section, as applicable, in 2009 and subsequent years.
(s)(1) Each SIP revision that contains control measures covering
non-EGUs as part or all of a State's obligation in meeting its
requirement under paragraph (a)(2) of this section must demonstrate that
such control measures are adequate to provide for the timely compliance
with the State's Ozone Season Non-EGU NOX Reduction
Requirement under paragraph (q) of this section and are not adopted or
implemented by the State, as of May 12, 2005, and are not adopted or
implemented by the federal government, as of the date of submission of
the SIP revision by the State to EPA.
(2) The demonstration under paragraph (s)(1) of this section must
include the following, with respect to each source category of non-EGUs
for which the SIP revision requires control measures:
(i) A detailed historical baseline inventory of NOX mass
emissions from the source category in a representative ozone season
consisting, at the State's election, of the ozone season in 2002, 2003,
2004, or 2005, or an average of 2 or more of those ozone seasons, absent
the control measures specified in the SIP revision.
(A) This inventory must represent estimates of actual emissions
based on monitoring data in accordance with subpart H of part 75 of this
chapter, if the source category is subject to monitoring requirements in
accordance with subpart H of part 75 of this chapter.
(B) In the absence of monitoring data in accordance with subpart H
of part 75 of this chapter, actual emissions must
[[Page 207]]
be quantified, to the maximum extent practicable, with the same degree
of assurance with which emissions are quantified for sources subject to
subpart H of part 75 of this chapter and using source-specific or
source-category-specific assumptions that ensure a source's or source
category's actual emissions are not overestimated. If a State uses
factors to estimate emissions, production or utilization, or
effectiveness of controls or rules for a source category, such factors
must be chosen to ensure that emissions are not overestimated.
(C) For measures to reduce emissions from motor vehicles, emission
estimates must be based on an emissions model that has been approved by
EPA for use in SIP development and must be consistent with the planning
assumptions regarding vehicle miles traveled and other factors current
at the time of the SIP development.
(D) For measures to reduce emissions from nonroad engines or
vehicles, emission estimates methodologies must be approved by EPA.
(ii) A detailed baseline inventory of NOX mass emissions
from the source category in ozone seasons 2009 and 2015, absent the
control measures specified in the SIP revision and reflecting changes in
these emissions from the historical baseline ozone season to the ozone
seasons 2009 and 2015, based on projected changes in the production
input or output, population, vehicle miles traveled, economic activity,
or other factors as applicable to this source category.
(A) These inventories must account for implementation of any control
measures that are adopted or implemented by the State, as of May 12,
2005, or adopted or implemented by the federal government, as of the
date of submission of the SIP revision by the State to EPA, and must
exclude any control measures specified in the SIP revision to meet the
NOX emissions reduction requirements of this section.
(B) Economic and population forecasts must be as specific as
possible to the applicable industry, State, and county of the source or
source category and must be consistent with both national projections
and relevant official planning assumptions including estimates of
population and vehicle miles traveled developed through consultation
between State and local transportation and air quality agencies.
However, if these official planning assumptions are inconsistent with
official U.S. Census projections of population or with energy
consumption projections contained in the U.S. Department of Energy's
most recent Annual Energy Outlook, then the SIP revision must make
adjustments to correct the inconsistency or must demonstrate how the
official planning assumptions are more accurate.
(C) These inventories must account for any changes in production
method, materials, fuels, or efficiency that are expected to occur
between the historical baseline ozone season and ozone season 2009 or
ozone season 2015, as appropriate.
(iii) A projection of NOX mass emissions in ozone season
2009 and ozone season 2015 from the source category assuming the same
projected changes as under paragraph (s)(2)(ii) of this section and
resulting from implementation of each of the control measures specified
in the SIP revision.
(A) These inventories must address the possibility that the State's
new control measures may cause production or utilization, and emissions,
to shift to unregulated or less stringently regulated sources in the
source category in the same or another State, and these inventories must
include any such amounts of emissions that may shift to such other
sources.
(B) The State must provide EPA with a summary of the computations,
assumptions, and judgments used to determine the degree of reduction in
projected ozone season 2009 and ozone season 2015 NOX
emissions that will be achieved from the implementation of the new
control measures compared to the relevant baseline emissions inventory.
(iv) The result of subtracting the amounts in paragraph (s)(2)(iii)
of this section for ozone season 2009 and ozone season 2015,
respectively, from the lower of the amounts in paragraph (s)(2)(i) or
(s)(2)(ii) of this section for ozone season 2009 and ozone season 2015,
respectively, may be credited towards the State's Ozone Season Non-
[[Page 208]]
EGU NOX Reduction Requirement in paragraph (q)(3) of this
section for the appropriate period.
(v) Each SIP revision must identify the sources of the data used in
each estimate and each projection of emissions.
(t) Each SIP revision must comply with Sec. 51.116 (regarding data
availability).
(u) Each SIP revision must provide for monitoring the status of
compliance with any control measures adopted to meet the State's
requirements under paragraph (q) of this section as follows:
(1) The SIP revision must provide for legally enforceable procedures
for requiring owners or operators of stationary sources to maintain
records of, and periodically report to the State:
(i) Information on the amount of NOX emissions from the
stationary sources; and
(ii) Other information as may be necessary to enable the State to
determine whether the sources are in compliance with applicable portions
of the control measures;
(2) The SIP revision must comply with Sec. 51.212 (regarding
testing, inspection, enforcement, and complaints);
(3) If the SIP revision contains any transportation control
measures, then the SIP revision must comply with Sec. 51.213 (regarding
transportation control measures);
(4)(i) If the SIP revision contains measures to control EGUs, then
the SIP revision must require such sources to comply with the
monitoring, recordkeeping, and reporting provisions of subpart H of part
75 of this chapter.
(ii) If the SIP revision contains measures to control fossil fuel-
fired non-EGUs that are boilers or combustion turbines with a maximum
design heat input greater than 250 mmBtu/hr, then the SIP revision must
require such sources to comply with the monitoring, recordkeeping, and
reporting provisions of subpart H of part 75 of this chapter.
(iii) If the SIP revision contains measures to control any other
non-EGUs that are not described in paragraph (u)(4)(ii) of this section,
then the SIP revision must require such sources to comply with the
monitoring, recordkeeping, and reporting provisions of subpart H of part
75 of this chapter, or the State must demonstrate why such requirements
are not practicable and adopt alternative requirements that ensure that
the required emissions reductions will be quantified, to the maximum
extent practicable, with the same degree of assurance with which
emissions are quantified for sources subject to subpart H of part 75 of
this chapter.
(v) Each SIP revision must show that the State has legal authority
to carry out the SIP revision, including authority to:
(1) Adopt emissions standards and limitations and any other measures
necessary for attainment and maintenance of the State's relevant Ozone
Season EGU NOX Budget or the Ozone Season Non-EGU
NOX Reduction Requirement, as applicable, under paragraph (q)
of this section;
(2) Enforce applicable laws, regulations, and standards and seek
injunctive relief;
(3) Obtain information necessary to determine whether air pollution
sources are in compliance with applicable laws, regulations, and
standards, including authority to require recordkeeping and to make
inspections and conduct tests of air pollution sources; and
(4)(i) Require owners or operators of stationary sources to install,
maintain, and use emissions monitoring devices and to make periodic
reports to the State on the nature and amounts of emissions from such
stationary sources; and
(ii) Make the data described in paragraph (v)(4)(i) of this section
available to the public within a reasonable time after being reported
and as correlated with any applicable emissions standards or
limitations.
(w)(1) The provisions of law or regulation that the State determines
provide the authorities required under this section must be specifically
identified, and copies of such laws or regulations must be submitted
with the SIP revision.
(2) Legal authority adequate to fulfill the requirements of
paragraphs (v)(3) and (4) of this section may be delegated
[[Page 209]]
to the State under section 114 of the CAA.
(x)(1) A SIP revision may assign legal authority to local agencies
in accordance with Sec. 51.232.
(2) Each SIP revision must comply with Sec. 51.240 (regarding
general plan requirements).
(y) Each SIP revision must comply with Sec. 51.280 (regarding
resources).
(z) Each SIP revision must provide for State compliance with the
reporting requirements in Sec. 51.125.
(aa)(1) Notwithstanding any other provision of this section, if a
State adopts regulations substantively identical to subparts AAAA
through IIII of part 96 of this chapter (CAIR Ozone Season
NOX Trading Program), incorporates such subparts by reference
into its regulations, or adopts regulations that differ substantively
from such subparts only as set forth in paragraph (aa)(2) of this
section, then such emissions trading program in the State's SIP revision
is automatically approved as meeting the requirements of paragraph (q)
of this section, provided that the State has the legal authority to take
such action and to implement its responsibilities under such
regulations. Before January 1, 2009, a State's regulations shall be
considered to be substantively identical to subparts AAAA through IIII
of part 96 of the chapter, or differing substantively only as set forth
in paragraph (o)(2) of this section, regardless of whether the State's
regulations include the definition of ``Biomass'', paragraph (3) of the
definition of ``Cogeneration unit'', and the second sentence of the
definition of ``Total energy input'' in Sec. 96.302 of this chapter
promulgated on October 19, 2007, provided that the State timely submits
to the Administrator a SIP revision that revises the State's regulations
to include such provisions. Submission to the Administrator of a SIP
revision that revises the State's regulations to include such provisions
shall be considered timely if the submission is made by January 1, 2009.
(2) If a State adopts an emissions trading program that differs
substantively from subparts AAAA through IIII of part 96 of this chapter
only as follows, then the emissions trading program is approved as set
forth in paragraph (aa)(1) of this section.
(i) The State may expand the applicability provisions in Sec.
96.304 to include all non-EGUs subject to the State's emissions trading
program approved under Sec. 51.121(p).
(ii) The State may decline to adopt the CAIR NOX Ozone
Season opt-in provisions of:
(A) Subpart IIII of this part and the provisions applicable only to
CAIR NOX Ozone Season opt-in units in subparts AAAA through
HHHH of this part;
(B) Section 96.388(b) of this chapter and the provisions of subpart
IIII of this part applicable only to CAIR NOX Ozone Season
opt-in units under Sec. 96.388(b); or
(C) Section 96.388(c) of this chapter and the provisions of subpart
IIII of this part applicable only to CAIR NOX Ozone Season
opt-in units under Sec. 96.388(c).
(iii) The State may decline to adopt the allocation provisions set
forth in subpart EEEE of part 96 of this chapter and may instead adopt
any methodology for allocating CAIR NOX Ozone Season
allowances to individual sources, as follows:
(A) The State may provide for issuance of an amount of CAIR Ozone
Season NOX allowances for an ozone season, in addition to the
amount in the State's Ozone Season EGU NOX Budget for such
ozone season, not exceeding the amount of NOX SIP Call
allowances allocated for the ozone season under the NOX
Budget Trading Program to non-EGUs that the applicability provisions in
Sec. 96.304 are expanded to include under paragraph (aa)(2)(i) of this
section;
(B) The State's methodology must not allow the State to allocate
CAIR Ozone Season NOX allowances for an ozone season in
excess of the amount in the State's Ozone Season EGU NOX
Budget for such ozone season plus any additional amount of CAIR Ozone
Season NOX allowances issued under paragraph (aa)(2)(iii)(A)
of this section for such ozone season;
(C) The State's methodology must require that, for EGUs commencing
operation before January 1, 2001, the State will determine, and notify
the Administrator of, each unit's allocation of
[[Page 210]]
CAIR NOX allowances by October 31, 2006 for the ozone seasons
2009, 2010, and 2011 and by October 31, 2008 and October 31 of each year
thereafter for the ozone season in the 4th year after the year of the
notification deadline; and
(D) The State's methodology must require that, for EGUs commencing
operation on or after January 1, 2001, the State will determine, and
notify the Administrator of, each unit's allocation of CAIR Ozone Season
NOX allowances by July 31 of the calendar year of the ozone
season for which the CAIR Ozone Season NOX allowances are
allocated.
(3) A State that adopts an emissions trading program in accordance
with paragraph (aa)(1) or (2) of this section is not required to adopt
an emissions trading program in accordance with paragraph (o)(1) or (2)
of this section or Sec. 51.153(o)(1) or (2).
(4) If a State adopts an emissions trading program that differs
substantively from subparts AAAA through IIII of part 96 of this
chapter, other than as set forth in paragraph (aa)(2) of this section,
then such emissions trading program is not automatically approved as set
forth in paragraph (aa)(1) or (2) of this section and will be reviewed
by the Administrator for approvability in accordance with the other
provisions of this section, provided that the NOX allowances
issued under such emissions trading program shall not, and the SIP
revision shall state that such NOX allowances shall not,
qualify as CAIR NOX allowances or CAIR Ozone Season
NOX allowances under any emissions trading program approved
under paragraphs (o)(1) or (2) or (aa)(1) or (2) of this section.
(bb)(1)(i) The State may revise its SIP to provide that, for each
ozone season during which a State implements control measures on EGUs or
non-EGUs through an emissions trading program approved under paragraph
(aa)(1) or (2) of this section, such EGUs and non-EGUs shall not be
subject to the requirements of the State's SIP meeting the requirements
of Sec. 51.121, if the State meets the requirement in paragraph
(bb)(1)(ii) of this section.
(ii) For a State under paragraph (bb)(1)(i) of this section, if the
State's amount of tons specified in paragraph (q)(2) of this section
exceeds the State's amount of NOX SIP Call allowances
allocated for the ozone season in 2009 or in any year thereafter for the
same types and sizes of units as those covered by the amount of tons
specified in paragraph (q)(2) of this section, then the State must
replace the former amount for such ozone season by the latter amount for
such ozone season in applying paragraph (q) of this section.
(2) Rhode Island may revise its SIP to provide that, for each ozone
season during which Rhode Island implements control measures on EGUs and
non-EGUs through an emissions trading program adopted in regulations
that differ substantively from subparts AAAA through IIII of part 96 of
this chapter as set forth in this paragraph, such EGUs and non-EGUs
shall not be subject to the requirements of the State's SIP meeting the
requirements of Sec. 51.121.
(i) Rhode Island must expand the applicability provisions in Sec.
96.304 to include all non-EGUs subject to Rhode Island's emissions
trading program approved under Sec. 51.121(p).
(ii) Rhode Island may decline to adopt the CAIR NOX Ozone
Season opt-in provisions of:
(A) Subpart IIII of this part and the provisions applicable only to
CAIR NOX Ozone Season opt-in units in subparts AAAA through
HHHH of this part;
(B) Section 96.388(b) of this chapter and the provisions of subpart
IIII of this part applicable only to CAIR NOX Ozone Season
opt-in units under Sec. 96.388(b); or
(C) Section 96.388(c) of this chapter and the provisions of subpart
IIII of this part applicable only to CAIR NOX Ozone Season
opt-in units under Sec. 96.388(c).
(iii) Rhode Island may adopt the allocation provisions set forth in
subpart EEEE of part 96 of this chapter, provided that Rhode Island must
provide for issuance of an amount of CAIR Ozone Season NOX
allowances for an ozone season not exceeding 936 tons for 2009 and
thereafter;
(iv) Rhode Island may adopt any methodology for allocating CAIR
NOX Ozone Season allowances to individual sources, as
follows:
[[Page 211]]
(A) Rhode Island's methodology must not allow Rhode Island to
allocate CAIR Ozone Season NOX allowances for an ozone season
in excess of 936 tons for 2009 and thereafter;
(B) Rhode Island's methodology must require that, for EGUs
commencing operation before January 1, 2001, Rhode Island will
determine, and notify the Administrator of, each unit's allocation of
CAIR NOX allowances by October 31, 2006 for the ozone seasons
2009, 2010, and 2011 and by October 31, 2008 and October 31 of each year
thereafter for the ozone season in the 4th year after the year of the
notification deadline; and
(C) Rhode Island's methodology must require that, for EGUs
commencing operation on or after January 1, 2001, Rhode Island will
determine, and notify the Administrator of, each unit's allocation of
CAIR Ozone Season NOX allowances by July 31 of the calendar
year of the ozone season for which the CAIR Ozone Season NOX
allowances are allocated.
(3) Notwithstanding a SIP revision by a State authorized under
paragraph (bb)(1) of this section or by Rhode Island under paragraph
(bb)(2) of this section, if the State's or Rhode Island's SIP that,
without such SIP revision, imposes control measures on EGUs or non-EGUs
under Sec. 51.121 is determined by the Administrator to meet the
requirements of Sec. 51.121, such SIP shall be deemed to continue to
meet the requirements of Sec. 51.121.
(cc) The terms used in this section shall have the following
meanings:
Administrator means the Administrator of the United States
Environmental Protection Agency or the Administrator's duly authorized
representative.
Allocate or allocation means, with regard to allowances, the
determination of the amount of allowances to be initially credited to a
source or other entity.
Biomass means--
(1) Any organic material grown for the purpose of being converted to
energy;
(2) Any organic byproduct of agriculture that can be converted into
energy; or
(3) Any material that can be converted into energy and is
nonmerchantable for other purposes, that is segregated from other
nonmerchantable material, and that is;
(i) A forest-related organic resource, including mill residues,
precommercial thinnings, slash, brush, or byproduct from conversion of
trees to merchantable material; or
(ii) A wood material, including pallets, crates, dunnage,
manufacturing and construction materials (other than pressure-treated,
chemically-treated, or painted wood products), and landscape or right-
of-way tree trimmings.
Boiler means an enclosed fossil- or other-fuel-fired combustion
device used to produce heat and to transfer heat to recirculating water,
steam, or other medium.
Bottoming-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful thermal
energy and at least some of the reject heat from the useful thermal
energy application or process is then used for electricity production.
Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et
seq.
Cogeneration unit means a stationary, fossil-fuel-fired boiler or
stationary, fossil-fuel-fired combustion turbine:
(1) Having equipment used to produce electricity and useful thermal
energy for industrial, commercial, heating, or cooling purposes through
the sequential use of energy; and
(2) Producing during the 12-month period starting on the date the
unit first produces electricity and during any calendar year after the
calendar year in which the unit first produces electricity--
(i) For a topping-cycle cogeneration unit,
(A) Useful thermal energy not less than 5 percent of total energy
output; and
(B) Useful power that, when added to one-half of useful thermal
energy produced, is not less then 42.5 percent of total energy input, if
useful thermal energy produced is 15 percent or more of total energy
output, or not less than 45 percent of total energy input, if useful
thermal energy produced is less than 15 percent of total energy output.
[[Page 212]]
(ii) For a bottoming-cycle cogeneration unit, useful power not less
than 45 percent of total energy input;
(3) Provided that the total energy input under paragraphs (2)(i)(B)
and (2)(ii) of this definition shall equal the unit's total energy input
from all fuel except biomass if the unit is a boiler.
Combustion turbine means:
(1) An enclosed device comprising a compressor, a combustor, and a
turbine and in which the flue gas resulting from the combustion of fuel
in the combustor passes through the turbine, rotating the turbine; and
(2) If the enclosed device under paragraph (1) of this definition is
combined cycle, any associated duct burner, heat recovery steam
generator, and steam turbine.
Commence operation means to have begun any mechanical, chemical, or
electronic process, including, with regard to a unit, start-up of a
unit's combustion chamber.
Electric generating unit or EGU means:
(1)(i) Except as provided in paragraph (2) of this definition, a
stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired
combustion turbine serving at any time, since the later of November 15,
1990 or the start-up of the unit's combustion chamber, a generator with
nameplate capacity of more than 25 MWe producing electricity for sale.
(ii) If a stationary boiler or stationary combustion turbine that,
under paragraph (1)(i) of this section, is not an electric generating
unit begins to combust fossil fuel or to serve a generator with
nameplate capacity of more than 25 MWe producing electricity for sale,
the unit shall become an electric generating unit as provided in
paragraph (1)(i) of this section on the first date on which it both
combusts fossil fuel and serves such generator.
(2) A unit that meets the requirements set forth in paragraphs
(2)(i)(A), (2)(ii)(A), or (2)(ii)(B) of this definition paragraph shall
not be an electric generating unit:
(i)(A) Any unit that is an electric generating unit under paragraph
(1)(i) or (ii) of this definition:
(1) Qualifying as a cogeneration unit during the 12-month period
starting on the date the unit first produces electricity and continuing
to qualify as a cogeneration unit; and
(2) Not serving at any time, since the later of November 15, 1990 or
the start-up of the unit's combustion chamber, a generator with
nameplate capacity of more than 25 MWe supplying in any calendar year
more than one-third of the unit's potential electric output capacity or
219,000 MWh, whichever is greater, to any utility power distribution
system for sale.
(B) If a unit qualifies as a cogeneration unit during the 12-month
period starting on the date the unit first produces electricity and
meets the requirements of paragraphs (2)(i)(A) of this section for at
least one calendar year, but subsequently no longer meets all such
requirements, the unit shall become an electric generating unit starting
on the earlier of January 1 after the first calendar year during which
the unit first no longer qualifies as a cogeneration unit or January 1
after the first calendar year during which the unit no longer meets the
requirements of paragraph (2)(i)(A)(2) of this section.
(ii)(A) Any unit that is an electric generating unit under paragraph
(1)(i) or (ii) of this definition commencing operation before January 1,
1985:
(1) Qualifying as a solid waste incineration unit; and
(2) With an average annual fuel consumption of non-fossil fuel for
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual
fuel consumption of non-fossil fuel for any 3 consecutive calendar years
after 1990 exceeding 80 percent (on a Btu basis).
(B) Any unit that is an electric generating unit under paragraph
(1)(i) or (ii) of this definition commencing operation on or after
January 1, 1985:
(1) Qualifying as a solid waste incineration unit; and
(2) With an average annual fuel consumption of non-fossil fuel for
the first 3 calendar years of operation exceeding 80 percent (on a Btu
basis) and an average annual fuel consumption of non-fossil fuel for any
3 consecutive calendar years after 1990 exceeding 80 percent (on a Btu
basis).
(C) If a unit qualifies as a solid waste incineration unit and meets
the requirements of paragraph (2)(ii)(A) or
[[Page 213]]
(B) of this section for at least 3 consecutive calendar years, but
subsequently no longer meets all such requirements, the unit shall
become an electric generating unit starting on the earlier of January 1
after the first calendar year during which the unit first no longer
qualifies as a solid waste incineration unit or January 1 after the
first 3 consecutive calendar years after 1990 for which the unit has an
average annual fuel consumption of fossil fuel of 20 percent or more.
Fossil fuel means natural gas, petroleum, coal, or any form of
solid, liquid, or gaseous fuel derived from such material.
Fossil-fuel-fired means, with regard to a unit, combusting any
amount of fossil fuel in any calendar year.
Generator means a device that produces electricity.
Maximum design heat input means the maximum amount of fuel per hour
(in Btu/hr) that a unit is capable of combusting on a steady state basis
as of the initial installation of the unit as specified by the
manufacturer of the unit.
NAAQS means National Ambient Air Quality Standard.
Nameplate capacity means, starting from the initial installation of
a generator, the maximum electrical generating output (in MWe) that the
generator is capable of producing on a steady state basis and during
continuous operation (when not restricted by seasonal or other
deratings) as of such installation as specified by the manufacturer of
the generator or, starting from the completion of any subsequent
physical change in the generator resulting in an increase in the maximum
electrical generating output (in MWe) that the generator is capable of
producing on a steady state basis and during continuous operation (when
not restricted by seasonal or other deratings), such increased maximum
amount as of such completion as specified by the person conducting the
physical change.
Non-EGU means a source of NOX emissions that is not an
EGU.
NOX Budget Trading Program means a multi-state nitrogen
oxides air pollution control and emission reduction program approved and
administered by the Administrator in accordance with subparts A through
I of this part and Sec. 51.121, as a means of mitigating interstate
transport of ozone and nitrogen oxides.
NOX SIP Call allowance means a limited authorization
issued by the Administrator under the NOX Budget Trading
Program to emit up to one ton of nitrogen oxides during the ozone season
of the specified year or any year thereafter, provided that the
provision in Sec. 51.121(b)(2)(ii)(E) shall not be used in applying
this definition.
Ozone season means the period, which begins May 1 and ends September
30 of any year.
Potential electrical output capacity means 33 percent of a unit's
maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000
kWh/MWh, and multiplied by 8,760 hr/yr.
Sequential use of energy means:
(1) For a topping-cycle cogeneration unit, the use of reject heat
from electricity production in a useful thermal energy application or
process; or
(2) For a bottoming-cycle cogeneration unit, the use of reject heat
from useful thermal energy application or process in electricity
production.
Solid waste incineration unit means a stationary, fossil-fuel-fired
boiler or stationary, fossil-fuel-fired combustion turbine that is a
``solid waste incineration unit'' as defined in section 129(g)(1) of the
Clean Air Act.
Topping-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful power,
including electricity, and at least some of the reject heat from the
electricity production is then used to provide useful thermal energy.
Total energy input means, with regard to a cogeneration unit, total
energy of all forms supplied to the cogeneration unit, excluding energy
produced by the cogeneration unit itself. Each form of energy supplied
shall be measured by the lower heating value of that form of energy
calculated as follows:
LHV = HHV - 10.55(W + 9H)
Where:
LHV = lower heating value of fuel in Btu/lb,
HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.
[[Page 214]]
Total energy output means, with regard to a cogeneration unit, the
sum of useful power and useful thermal energy produced by the
cogeneration unit.
Unit means a stationary, fossil-fuel-fired boiler or a stationary,
fossil-fuel-fired combustion turbine.
Useful power means, with regard to a cogeneration unit, electricity
or mechanical energy made available for use, excluding any such energy
used in the power production process (which process includes, but is not
limited to, any on-site processing or treatment of fuel combusted at the
unit and any on-site emission controls).
Useful thermal energy means, with regard to a cogeneration unit,
thermal energy that is:
(1) Made available to an industrial or commercial process, excluding
any heat contained in condensate return or makeup water;
(2) Used in a heating application (e.g., space heating or domestic
hot water heating); or
(3) Used in a space cooling application (i.e., thermal energy used
by an absorption chiller).
Utility power distribution system means the portion of an
electricity grid owned or operated by a utility and dedicated to
delivering electricity to customers.
(dd) New Hampshire may revise its SIP to implements control measures
on EGUs and non-EGUs through an emissions trading program adopted in
regulations that differ substantively from subparts AAAA through IIII of
part 96 of this chapter as set forth in this paragraph.
(1) New Hampshire must expand the applicability provisions in Sec.
96.304 of this chapter to include all non-EGUs subject to New
Hampshire's emissions trading program at New Hampshire Code of
Administrative Rules, chapter Env-A 3200 (2004).
(2) New Hampshire may decline to adopt the CAIR NOX Ozone
Season opt-in provisions of:
(i) Subpart IIII of this part and the provisions applicable only to
CAIR NOX Ozone Season opt-in units in subparts AAAA through
HHHH of this part;
(ii) Section 96.388(b) of this chapter and the provisions of subpart
IIII of this part applicable only to CAIR NOX Ozone Season
opt-in units under Sec. 96.388(b); or
(iii) Section 96.388(c) of this chapter and the provisions of
subpart IIII of this part applicable only to CAIR NOX Ozone
Season opt-in units under Sec. 96.388(c).
(3) New Hampshire may adopt the allocation provisions set forth in
subpart EEEE of part 96 of this chapter, provided that New Hampshire
must provide for issuance of an amount of CAIR Ozone Season
NOX allowances for an ozone season not exceeding 3,000 tons
for 2009 and thereafter;
(4) New Hampshire may adopt any methodology for allocating CAIR
NOX Ozone Season allowances to individual sources, as
follows:
(i) New Hampshire's methodology must not allow New Hampshire to
allocate CAIR Ozone Season NOX allowances for an ozone season
in excess of 3,000 tons for 2009 and thereafter;
(ii) New Hampshire's methodology must require that, for EGUs
commencing operation before January 1, 2001, New Hampshire will
determine, and notify the Administrator of, each unit's allocation of
CAIR NOX allowances by October 31, 2006 for the ozone seasons
2009, 2010, and 2011 and by October 31, 2008 and October 31 of each year
thereafter for the ozone season in the 4th year after the year of the
notification deadline; and
(iii) New Hampshire's methodology must require that, for EGUs
commencing operation on or after January 1, 2001, New Hampshire will
determine, and notify the Administrator of, each unit's allocation of
CAIR Ozone Season NOX allowances by July 31 of the calendar
year of the ozone season for which the CAIR Ozone Season NOX
allowances are allocated.
(ee) Notwithstanding any other provision of this section, a State
may adopt, and include in a SIP revision submitted by March 31, 2007,
regulations relating to the Federal CAIR NOX Ozone Season
Trading Program under subparts AAAA through HHHH of part 97 of this
chapter as follows:
(1) The State may adopt, as applicability provisions replacing the
provisions in Sec. 97.304 of this chapter, provisions for applicability
that are substantively identical to the provisions
[[Page 215]]
in Sec. 96.304 of this chapter expanded to include all non-EGUs subject
to the State's emissions trading program approved under Sec. 51.121(p).
Before January 1, 2009, a State's applicability provisions shall be
considered to be substantively identical to Sec. 96.304 of this chapter
(with the expansion allowed under this paragraph) regardless of whether
the State's regulations include the definition of ``Biomass'', paragraph
(3) of the definition of ``Cogeneration unit'', and the second sentence
of the definition of ``Total energy input'' in Sec. 97.102 of this
chapter promulgated on October 19, 2007, provided that the State timely
submits to the Administrator a SIP revision that revises the State's
regulations to include such provisions. Submission to the Administrator
of a SIP revision that revises the State's regulations to include such
provisions shall be considered timely if the submission is made by
January 1, 2009.
(2) The State may adopt, as CAIR NOX Ozone Season
allowance allocation provisions replacing the provisions in subpart EEEE
of part 97 of this chapter:
(i) Allocation provisions substantively identical to subpart EEEE of
part 96 of this chapter, under which the permitting authority makes the
allocations; or
(ii) Any methodology for allocating CAIR NOX Ozone Season
allowances to individual sources under which the permitting authority
makes the allocations, provided that:
(A) The State may provide for issuance of an amount of CAIR Ozone
Season NOX allowances for an ozone season, in addition to the
amount in the State's Ozone Season EGU NOX Budget for such
ozone season, not exceeding the portion of the State's trading program
budget, under the State's emissions trading program approved under Sec.
51.121(p), attributed to the non-EGUs that the applicability provisions
in Sec. 96.304 of this chapter are expanded to include under paragraph
(ee)(1) of this section.
(B) The State's methodology must not allow the State to allocate
CAIR Ozone Season NOX allowances for an ozone season in
excess of the amount in the State's Ozone Season EGU NOX
Budget for such ozone season plus any additional amount of CAIR Ozone
Season NOX allowances issued under paragraph (ee)(2)(ii)(A)
of this section for such ozone season.
(C) The State's methodology must require that, for EGUs commencing
operation before January 1, 2001, the permitting authority will
determine, and notify the Administrator of, each unit's allocation of
CAIR NOX Ozone Season allowances by April 30, 2007 for 2009,
2010, and 2011 and by October 31, 2008 and October 31 of each year
thereafter for the 4th year after the year of the notification deadline.
(D) The State's methodology must require that, for EGUs commencing
operation on or after January 1, 2001, the permitting authority will
determine, and notify the Administrator of, each unit's allocation of
CAIR NOX Ozone Season allowances by July 31 of the year for
which the CAIR NOX Ozone Season allowances are allocated.
(3) The State may adopt CAIR opt-in unit provisions as follows:
(i) Provisions for CAIR opt-in units, including provisions for
applications for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR NOX Ozone Season allowances for CAIR opt-in units,
that are substantively identical to subpart IIII of part 96 of this
chapter and the provisions of subparts AAAA through HHHH that are
applicable to CAIR opt-in units or units for which a CAIR opt-in permit
application is submitted and not withdrawn and a CAIR opt-in permit is
not yet issued or denied;
(ii) Provisions for CAIR opt-in units, including provisions for
applications for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR NOX Ozone Season allowances for CAIR opt-in units,
that are substantively identical to subpart IIII of part 96 of this
chapter and the provisions of subparts AAAA through HHHH that are
applicable to CAIR opt-in units or units for which a CAIR opt-in permit
application is submitted and not withdrawn and a CAIR opt-in permit is
not yet issued or
[[Page 216]]
denied, except that the provisions exclude Sec. 96.388(b) of this
chapter and the provisions of subpart IIII of part 96 of this chapter
that apply only to units covered by Sec. 96.388(b) of this chapter; or
(iii) Provisions for applications for CAIR opt-in units, including
provisions for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR NOX allowances for CAIR opt-in units, that are
substantively identical to subpart IIII of part 96 of this chapter and
the provisions of subparts AAAA through HHHH that are applicable to CAIR
opt-in units or units for which a CAIR opt-in permit application is
submitted and not withdrawn and a CAIR opt-in permit is not yet issued
or denied, except that the provisions exclude Sec. 96.388(c) of this
chapter and the provisions of subpart IIII of part 96 of this chapter
that apply only to units covered by Sec. 96.388(c) of this chapter.
(ff) Notwithstanding any provisions of paragraphs (a) through (ee)
of this section, subparts AA through II and AAAA through IIII of part 96
of this chapter, subparts AA through II and AAAA through IIII of part 97
of this chapter, and any State's SIP to the contrary:
(1) With regard to any control period that begins after December 31,
2014, the Administrator:
(i) Rescinds the determination in paragraph (a) of this section that
the States identified in paragraph (c) of this section must submit a SIP
revision with respect to the fine particles (PM2.5) NAAQS and
the 8-hour ozone NAAQS meeting the requirements of paragraphs (b)
through (ee) of this section; and
(ii) Will not carry out any of the functions set forth for the
Administrator in subparts AA through II and AAAA through IIII of part 96
of this chapter, subparts AA through II and AAAA through IIII of part 97
of this chapter, or in any emissions trading program provisions in a
State's SIP approved under this section;
(2) The Administrator will not deduct for excess emissions any CAIR
NOX allowances or CAIR NOX Ozone Season allowances
allocated for 2015 or any year thereafter;
(3) By March 3, 2015, the Administrator will remove from the CAIR
NOX Allowance Tracking System accounts all CAIR
NOX allowances allocated for a control period in 2015 and any
subsequent year, and, thereafter, no holding or surrender of CAIR
NOX allowances will be required with regard to emissions or
excess emissions for such control periods; and
(4) By March 3, 2015, the Administrator will remove from the CAIR
NOX Ozone Season Allowance Tracking System accounts all CAIR
NOX Ozone Season allowances allocated for a control period in
2015 and any subsequent year, and, thereafter, no holding or surrender
of CAIR NOX Ozone Season allowances will be required with
regard to emissions or excess emissions for such control periods.
[70 FR 25319, May 12, 2005, as amended at 71 FR 25301, 25370, Apr. 28,
2006; 71 FR 74793, Dec. 13, 2006; 72 FR 59203, Oct. 19, 2007; 74 FR
56726, Nov. 3, 2009; 76 FR 48353, Aug. 8, 2011; 79 FR 71671, Dec. 3,
2014]
Sec. 51.124 Findings and requirements for submission of State
implementation plan revisions relating to emissions of sulfur dioxide
pursuant to the Clean Air Interstate Rule.
(a)(1) Under section 110(a)(1) of the CAA, 42 U.S.C. 7410(a)(1), the
Administrator determines that each State identified in paragraph (c) of
this section must submit a SIP revision to comply with the requirements
of section 110(a)(2)(D)(i)(I) of the CAA, 42 U.S.C. 7410(a)(2)(D)(i)(I),
through the adoption of adequate provisions prohibiting sources and
other activities from emitting SO2 in amounts that will
contribute significantly to nonattainment in, or interfere with
maintenance by, one or more other States with respect to the fine
particles (PM2.5) NAAQS.
(2) Notwithstanding the other provisions of this section, such
provisions are not applicable as they relate to the State of Minnesota
as of December 3, 2009.
(b) For each State identified in paragraph (c) of this section, the
SIP revision required under paragraph (a) of this section will contain
adequate provisions, for purposes of complying with section
110(a)(2)(D)(i)(I) of the CAA, 42 U.S.C. 7410(a)(2)(D)(i)(I), only if
the SIP revision contains control measures
[[Page 217]]
that assure compliance with the applicable requirements of this section.
(c) The following States are subject to the requirements of this
section: Alabama, Delaware, Florida, Georgia, Illinois, Indiana, Iowa,
Kentucky, Louisiana, Maryland, Michigan, Minnesota, Mississippi,
Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania,
South Carolina, Tennessee, Texas, Virginia, West Virginia, Wisconsin,
and the District of Columbia.
(d)(1) The SIP revision under paragraph (a) of this section must be
submitted to EPA by no later than September 11, 2006.
(2) The requirements of appendix V to this part shall apply to the
SIP revision under paragraph (a) of this section.
(3) The State shall deliver 5 copies of the SIP revision under
paragraph (a) of this section to the appropriate Regional Office, with a
letter giving notice of such action.
(e) The State's SIP revision shall contain control measures and
demonstrate that they will result in compliance with the State's Annual
EGU SO2 Budget, if applicable, and achieve the State's Annual
Non-EGU SO2 Reduction Requirement, if applicable, for the
appropriate periods. The amounts of the State's Annual EGU
SO2 Budget and Annual Non-EGU SO2 Reduction
Requirement shall be determined as follows:
(1)(i) The Annual EGU SO2 Budget for the State is defined
as the total amount of SO2 emissions from all EGUs in that
State for a year, if the State meets the requirements of paragraph (a)
of this section by imposing control measures, at least in part, on EGUs.
If the State imposes control measures under this section on only EGUs,
the Annual EGU SO2 Budget for the State shall not exceed the
amount, during the indicated periods, specified in paragraph (e)(2) of
this section.
(ii) The Annual Non-EGU SO2 Reduction Requirement, if
applicable, is defined as the total amount of SO2 emission
reductions that the State demonstrates, in accordance with paragraph (g)
of this section, it will achieve from non-EGUs during the appropriate
period. If the State meets the requirements of paragraph (a) of this
section by imposing control measures on only non-EGUs, then the State's
Annual Non-EGU SO2 Reduction Requirement shall equal or
exceed, during the appropriate periods, the amount determined in
accordance with paragraph (e)(3) of this section.
(iii) If a State meets the requirements of paragraph (a) of this
section by imposing control measures on both EGUs and non-EGUs, then:
(A) The Annual Non-EGU SO2 Reduction Requirement shall
equal or exceed the difference between the amount specified in paragraph
(e)(2) of this section for the appropriate period and the amount of the
State's Annual EGU SO2 Budget specified in the SIP revision
for the appropriate period; and
(B) The Annual EGU SO2 Budget shall not exceed, during
the indicated periods, the amount specified in paragraph (e)(2) of this
section plus the amount of the Annual Non-EGU SO2 Reduction
Requirement under paragraph (e)(1)(iii)(A) of this section for the
appropriate period.
(2) For a State that complies with the requirements of paragraph (a)
of this section by imposing control measures on only EGUs, the amount of
the Annual EGU SO2 Budget, in tons of SO2 per
year, shall be as follows, for the indicated State for the indicated
period:
------------------------------------------------------------------------
Annual EGU SO2 Annual EGU SO2
State budget for 2010-2014 budget for 2015 and
(tons) thereafter (tons)
------------------------------------------------------------------------
Alabama..................... 157,582 110,307
Delaware.................... 22,411 15,687
District of Columbia........ 708 495
Florida..................... 253,450 177,415
Georgia..................... 213,057 149,140
Illinois.................... 192,671 134,869
Indiana..................... 254,599 178,219
Iowa........................ 64,095 44,866
Kentucky.................... 188,773 132,141
Louisiana................... 59,948 41,963
Maryland.................... 70,697 49,488
[[Page 218]]
Michigan.................... 178,605 125,024
Minnesota................... 49,987 34,991
Mississippi................. 33,763 23,634
Missouri.................... 137,214 96,050
New Jersey.................. 32,392 22,674
New York.................... 135,139 94,597
North Carolina.............. 137,342 96,139
Ohio........................ 333,520 233,464
Pennsylvania................ 275,990 193,193
South Carolina.............. 57,271 40,089
Tennessee................... 137,216 96,051
Texas....................... 320,946 224,662
Virginia.................... 63,478 44,435
West Virginia............... 215,881 151,117
Wisconsin................... 87,264 61,085
------------------------------------------------------------------------
(3) For a State that complies with the requirements of paragraph (a)
of this section by imposing control measures on only non-EGUs, the
amount of the Annual Non-EGU SO2 Reduction Requirement, in
tons of SO2 per year, shall be determined, for the State for
2010 and thereafter, by subtracting the amount of the State's Annual EGU
SO2 Budget for the appropriate year, specified in paragraph
(e)(2) of this section, from an amount equal to 2 times the State's
Annual EGU SO2 Budget for 2010 through 2014, specified in
paragraph (e)(2) of this section.
(f) Each SIP revision must set forth control measures to meet the
amounts specified in paragraph (e) of this section, as applicable,
including the following:
(1) A description of enforcement methods including, but not limited
to:
(i) Procedures for monitoring compliance with each of the selected
control measures;
(ii) Procedures for handling violations; and
(iii) A designation of agency responsibility for enforcement of
implementation.
(2)(i) If a State elects to impose control measures on EGUs, then
those measures must impose an annual SO2 mass emissions cap
on all such sources in the State.
(ii) If a State elects to impose control measures on fossil fuel-
fired non-EGUs that are boilers or combustion turbines with a maximum
design heat input greater than 250 mmBtu/hr, then those measures must
impose an annual SO2 mass emissions cap on all such sources
in the State.
(iii) If a State elects to impose control measures on non-EGUs other
than those described in paragraph (f)(2)(ii) of this section, then those
measures must impose an annual SO2 mass emissions cap on all
such sources in the State, or the State must demonstrate why such
emissions cap is not practicable, and adopt alternative requirements
that ensure that the State will comply with its requirements under
paragraph (e) of this section, as applicable, in 2010 and subsequent
years.
(g)(1) Each SIP revision that contains control measures covering
non-EGUs as part or all of a State's obligation in meeting its
requirement under paragraph (a) of this section must demonstrate that
such control measures are adequate to provide for the timely compliance
with the State's Annual Non-EGU SO2 Reduction Requirement
under paragraph (e) of this section and are not adopted or implemented
by the State, as of May 12, 2005, and are not adopted or implemented by
the federal government, as of the date of submission of the SIP revision
by the State to EPA.
(2) The demonstration under paragraph (g)(1) of this section must
include the following, with respect to each source category of non-EGUs
for which the SIP revision requires control measures:
(i) A detailed historical baseline inventory of SO2 mass
emissions from the source category in a representative year consisting,
at the State's election, of 2002, 2003, 2004, or 2005, or an average
[[Page 219]]
of 2 or more of those years, absent the control measures specified in
the SIP revision.
(A) This inventory must represent estimates of actual emissions
based on monitoring data in accordance with part 75 of this chapter, if
the source category is subject to part 75 monitoring requirements in
accordance with part 75 of this chapter.
(B) In the absence of monitoring data in accordance with part 75 of
this chapter, actual emissions must be quantified, to the maximum extent
practicable, with the same degree of assurance with which emissions are
quantified for sources subject to part 75 of this chapter and using
source-specific or source-category-specific assumptions that ensure a
source's or source category's actual emissions are not overestimated. If
a State uses factors to estimate emissions, production or utilization,
or effectiveness of controls or rules for a source category, such
factors must be chosen to ensure that emissions are not overestimated.
(C) For measures to reduce emissions from motor vehicles, emission
estimates must be based on an emissions model that has been approved by
EPA for use in SIP development and must be consistent with the planning
assumptions regarding vehicle miles traveled and other factors current
at the time of the SIP development.
(D) For measures to reduce emissions from nonroad engines or
vehicles, emission estimates methodologies must be approved by EPA.
(ii) A detailed baseline inventory of SO2 mass emissions
from the source category in the years 2010 and 2015, absent the control
measures specified in the SIP revision and reflecting changes in these
emissions from the historical baseline year to the years 2010 and 2015,
based on projected changes in the production input or output,
population, vehicle miles traveled, economic activity, or other factors
as applicable to this source category.
(A) These inventories must account for implementation of any control
measures that are adopted or implemented by the State, as of May 12,
2005, or adopted or implemented by the federal government, as of the
date of submission of the SIP revision by the State to EPA, and must
exclude any control measures specified in the SIP revision to meet the
SO2 emissions reduction requirements of this section.
(B) Economic and population forecasts must be as specific as
possible to the applicable industry, State, and county of the source or
source category and must be consistent with both national projections
and relevant official planning assumptions, including estimates of
population and vehicle miles traveled developed through consultation
between State and local transportation and air quality agencies.
However, if these official planning assumptions are inconsistent with
official U.S. Census projections of population or with energy
consumption projections contained in the U.S. Department of Energy's
most recent Annual Energy Outlook, then the SIP revision must make
adjustments to correct the inconsistency or must demonstrate how the
official planning assumptions are more accurate.
(C) These inventories must account for any changes in production
method, materials, fuels, or efficiency that are expected to occur
between the historical baseline year and 2010 or 2015, as appropriate.
(iii) A projection of SO2 mass emissions in 2010 and 2015
from the source category assuming the same projected changes as under
paragraph (g)(2)(ii) of this section and resulting from implementation
of each of the control measures specified in the SIP revision.
(A) These inventories must address the possibility that the State's
new control measures may cause production or utilization, and emissions,
to shift to unregulated or less stringently regulated sources in the
source category in the same or another State, and these inventories must
include any such amounts of emissions that may shift to such other
sources.
(B) The State must provide EPA with a summary of the computations,
assumptions, and judgments used to determine the degree of reduction in
projected 2010 and 2015 SO2 emissions that will be achieved
from the implementation of the new control measures compared to the
relevant baseline emissions inventory.
[[Page 220]]
(iv) The result of subtracting the amounts in paragraph (g)(2)(iii)
of this section for 2010 and 2015, respectively, from the lower of the
amounts in paragraph (g)(2)(i) or (g)(2)(ii) of this section for 2010
and 2015, respectively, may be credited towards the State's Annual Non-
EGU SO2 Reduction Requirement in paragraph (e)(3) of this
section for the appropriate period.
(v) Each SIP revision must identify the sources of the data used in
each estimate and each projection of emissions.
(h) Each SIP revision must comply with Sec. 51.116 (regarding data
availability).
(i) Each SIP revision must provide for monitoring the status of
compliance with any control measures adopted to meet the State's
requirements under paragraph (e) of this section, as follows:
(1) The SIP revision must provide for legally enforceable procedures
for requiring owners or operators of stationary sources to maintain
records of, and periodically report to the State:
(i) Information on the amount of SO2 emissions from the
stationary sources; and
(ii) Other information as may be necessary to enable the State to
determine whether the sources are in compliance with applicable portions
of the control measures;
(2) The SIP revision must comply with Sec. 51.212 (regarding
testing, inspection, enforcement, and complaints);
(3) If the SIP revision contains any transportation control
measures, then the SIP revision must comply with Sec. 51.213 (regarding
transportation control measures);
(4)(i) If the SIP revision contains measures to control EGUs, then
the SIP revision must require such sources to comply with the
monitoring, recordkeeping, and reporting provisions of part 75 of this
chapter.
(ii) If the SIP revision contains measures to control fossil fuel-
fired non-EGUs that are boilers or combustion turbines with a maximum
design heat input greater than 250 mmBtu/hr, then the SIP revision must
require such sources to comply with the monitoring, recordkeeping, and
reporting provisions of part 75 of this chapter.
(iii) If the SIP revision contains measures to control any other
non-EGUs that are not described in paragraph (i)(4)(ii) of this section,
then the SIP revision must require such sources to comply with the
monitoring, recordkeeping, and reporting provisions of part 75 of this
chapter, or the State must demonstrate why such requirements are not
practicable and adopt alternative requirements that ensure that the
required emissions reductions will be quantified, to the maximum extent
practicable, with the same degree of assurance with which emissions are
quantified for sources subject to part 75 of this chapter.
(j) Each SIP revision must show that the State has legal authority
to carry out the SIP revision, including authority to:
(1) Adopt emissions standards and limitations and any other measures
necessary for attainment and maintenance of the State's relevant Annual
EGU SO2 Budget or the Annual Non-EGU SO2 Reduction
Requirement, as applicable, under paragraph (e) of this section;
(2) Enforce applicable laws, regulations, and standards and seek
injunctive relief;
(3) Obtain information necessary to determine whether air pollution
sources are in compliance with applicable laws, regulations, and
standards, including authority to require recordkeeping and to make
inspections and conduct tests of air pollution sources; and
(4)(i) Require owners or operators of stationary sources to install,
maintain, and use emissions monitoring devices and to make periodic
reports to the State on the nature and amounts of emissions from such
stationary sources; and
(ii) Make the data described in paragraph (j)(4)(i) of this section
available to the public within a reasonable time after being reported
and as correlated with any applicable emissions standards or
limitations.
(k)(1) The provisions of law or regulation that the State determines
provide the authorities required under this section must be specifically
identified, and copies of such laws or regulations
[[Page 221]]
must be submitted with the SIP revision.
(2) Legal authority adequate to fulfill the requirements of
paragraphs (j)(3) and (4) of this section may be delegated to the State
under section 114 of the CAA.
(l)(1) A SIP revision may assign legal authority to local agencies
in accordance with Sec. 51.232.
(2) Each SIP revision must comply with Sec. 51.240 (regarding
general plan requirements).
(m) Each SIP revision must comply with Sec. 51.280 (regarding
resources).
(n) Each SIP revision must provide for State compliance with the
reporting requirements in Sec. 51.125.
(o)(1) Notwithstanding any other provision of this section, if a
State adopts regulations substantively identical to subparts AAA through
III of part 96 of this chapter (CAIR SO2 Trading Program),
incorporates such subparts by reference into its regulations, or adopts
regulations that differ substantively from such subparts only as set
forth in paragraph (o)(2) of this section, then such emissions trading
program in the State's SIP revision is automatically approved as meeting
the requirements of paragraph (e) of this section, provided that the
State has the legal authority to take such action and to implement its
responsibilities under such regulations. Before January 1, 2009, a
State's regulations shall be considered to be substantively identical to
subparts AAA through III of part 96 of the chapter, or differing
substantively only as set forth in paragraph (o)(2) of this section,
regardless of whether the State's regulations include the definition of
``Biomass'', paragraph (3) of the definition of ``Cogeneration unit'',
and the second sentence of the definition of ``Total energy input'' in
Sec. 96.202 of this chapter promulgated on October 19, 2007, provided
that the State timely submits to the Administrator a SIP revision that
revises the State's regulations to include such provisions. Submission
to the Administrator of a SIP revision that revises the State's
regulations to include such provisions shall be considered timely if the
submission is made by January 1, 2009.
(2) If a State adopts an emissions trading program that differs
substantively from subparts AAA through III of part 96 of this chapter
only as follows, then the emissions trading program is approved as set
forth in paragraph (o)(1) of this section.
(i) The State may decline to adopt the CAIR SO2 opt-in
provisions of subpart III of this part and the provisions applicable
only to CAIR SO2 opt-in units in subparts AAA through HHH of
this part.
(ii) The State may decline to adopt the CAIR SO2 opt-in
provisions of Sec. 96.288(b) of this chapter and the provisions of
subpart III of this part applicable only to CAIR SO2 opt-in
units under Sec. 96.288(b).
(iii) The State may decline to adopt the CAIR SO2 opt-in
provisions of Sec. 96.288(c) of this chapter and the provisions of
subpart II of this part applicable only to CAIR SO2 opt-in
units under Sec. 96.288(c).
(3) A State that adopts an emissions trading program in accordance
with paragraph (o)(1) or (2) of this section is not required to adopt an
emissions trading program in accordance with Sec. 96.123 (o)(1) or (2)
or (aa)(1) or (2) of this chapter.
(4) If a State adopts an emissions trading program that differs
substantively from subparts AAA through III of part 96 of this chapter,
other than as set forth in paragraph (o)(2) of this section, then such
emissions trading program is not automatically approved as set forth in
paragraph (o)(1) or (2) of this section and will be reviewed by the
Administrator for approvability in accordance with the other provisions
of this section, provided that the SO2 allowances issued
under such emissions trading program shall not, and the SIP revision
shall state that such SO2 allowances shall not, qualify as
CAIR SO2 allowances under any emissions trading program
approved under paragraph (o)(1) or (2) of this section.
(p) If a State's SIP revision does not contain an emissions trading
program approved under paragraph (o)(1) or (2) of this section but
contains control measures on EGUs as part or all of a State's obligation
in meeting its requirement under paragraph (a) of this section:
[[Page 222]]
(1) The SIP revision shall provide, for each year that the State has
such obligation, for the permanent retirement of an amount of Acid Rain
allowances allocated to sources in the State for that year and not
deducted by the Administrator under the Acid Rain Program and any
emissions trading program approved under paragraph (o)(1) or (2) of this
section, equal to the difference between--
(A) The total amount of Acid Rain allowances allocated under the
Acid Rain Program to the sources in the State for that year; and
(B) If the State's SIP revision contains only control measures on
EGUs, the State's Annual EGU SO2 Budget for the appropriate
period as specified in paragraph (e)(2) of this section or, if the
State's SIP revision contains control measures on EGUs and non-EGUs, the
State's Annual EGU SO2 Budget for the appropriate period as
specified in the SIP revision.
(2) The SIP revision providing for permanent retirement of Acid Rain
allowances under paragraph (p)(1) of this section must ensure that such
allowances are not available for deduction by the Administrator under
the Acid Rain Program and any emissions trading program approved under
paragraph (o)(1) or (2) of this section.
(q) The terms used in this section shall have the following
meanings:
Acid Rain allowance means a limited authorization issued by the
Administrator under the Acid Rain Program to emit up to one ton of
sulfur dioxide during the specified year or any year thereafter, except
as otherwise provided by the Administrator.
Acid Rain Program means a multi-State sulfur dioxide and nitrogen
oxides air pollution control and emissions reduction program established
by the Administrator under title IV of the CAA and parts 72 through 78
of this chapter.
Administrator means the Administrator of the United States
Environmental Protection Agency or the Administrator's duly authorized
representative.
Allocate or allocation means, with regard to allowances, the
determination of the amount of allowances to be initially credited to a
source or other entity.
Biomass means--
(1) Any organic material grown for the purpose of being converted to
energy;
(2) Any organic byproduct of agriculture that can be converted into
energy; or
(3) Any material that can be converted into energy and is
nonmerchantable for other purposes, that is segregated from other
nonmerchantable material, and that is;
(i) A forest-related organic resource, including mill residues,
precommercial thinnings, slash, brush, or byproduct from conversion of
trees to merchantable material; or
(ii) A wood material, including pallets, crates, dunnage,
manufacturing and construction materials (other than pressure-treated,
chemically-treated, or painted wood products), and landscape or right-
of-way tree trimmings.
Boiler means an enclosed fossil- or other-fuel-fired combustion
device used to produce heat and to transfer heat to recirculating water,
steam, or other medium.
Bottoming-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful thermal
energy and at least some of the reject heat from the useful thermal
energy application or process is then used for electricity production.
Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et
seq.
Cogeneration unit means a stationary, fossil-fuel-fired boiler or
stationary, fossil-fuel-fired combustion turbine:
(1) Having equipment used to produce electricity and useful thermal
energy for industrial, commercial, heating, or cooling purposes through
the sequential use of energy; and
(2) Producing during the 12-month period starting on the date the
unit first produces electricity and during any calendar year after the
calendar year in which the unit first produces electricity--
(i) For a topping-cycle cogeneration unit,
(A) Useful thermal energy not less than 5 percent of total energy
output; and
[[Page 223]]
(B) Useful power that, when added to one-half of useful thermal
energy produced, is not less then 42.5 percent of total energy input, if
useful thermal energy produced is 15 percent or more of total energy
output, or not less than 45 percent of total energy input, if useful
thermal energy produced is less than 15 percent of total energy output.
(ii) For a bottoming-cycle cogeneration unit, useful power not less
than 45 percent of total energy input;
(3) Provided that the total energy input under paragraphs (2)(i)(B)
and (2)(ii) of this definition shall equal the unit's total energy input
from all fuel except biomass if the unit is a boiler.
Combustion turbine means:
(1) An enclosed device comprising a compressor, a combustor, and a
turbine and in which the flue gas resulting from the combustion of fuel
in the combustor passes through the turbine, rotating the turbine; and
(2) If the enclosed device under paragraph (1) of this definition is
combined cycle, any associated duct burner, heat recovery steam
generator, and steam turbine.
Commence operation means to have begun any mechanical, chemical, or
electronic process, including, with regard to a unit, start-up of a
unit's combustion chamber.
Electric generating unit or EGU means:
(1)(i) Except as provided in paragraph (2) of this definition, a
stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired
combustion turbine serving at any time, since the later of November 15,
1990 or the start-up of the unit's combustion chamber, a generator with
nameplate capacity of more than 25 MWe producing electricity for sale.
(ii) If a stationary boiler or stationary combustion turbine that,
under paragraph (1)(i) of this section, is not an electric generating
unit begins to combust fossil fuel or to serve a generator with
nameplate capacity of more than 25 MWe producing electricity for sale,
the unit shall become an electric generating unit as provided in
paragraph (1)(i) of this section on the first date on which it both
combusts fossil fuel and serves such generator.
(2) A unit that meets the requirements set forth in paragraphs
(2)(i)(A), (2)(ii)(A), or (2)(ii)(B) of this definition paragraph shall
not be an electric generating unit:
(i)(A) Any unit that is an electric generating unit under paragraph
(1)(i) or (ii) of this definition:
(1) Qualifying as a cogeneration unit during the 12-month period
starting on the date the unit first produces electricity and continuing
to qualify as a cogeneration unit; and
(2) Not serving at any time, since the later of November 15, 1990 or
the start-up of the unit's combustion chamber, a generator with
nameplate capacity of more than 25 MWe supplying in any calendar year
more than one-third of the unit's potential electric output capacity or
219,000 MWh, whichever is greater, to any utility power distribution
system for sale.
(B) If a unit qualifies as a cogeneration unit during the 12-month
period starting on the date the unit first produces electricity and
meets the requirements of paragraphs (2)(i)(A) of this section for at
least one calendar year, but subsequently no longer meets all such
requirements, the unit shall become an electric generating unit starting
on the earlier of January 1 after the first calendar year during which
the unit first no longer qualifies as a cogeneration unit or January 1
after the first calendar year during which the unit no longer meets the
requirements of paragraph (2)(i)(A)(2) of this section.
(ii)(A) Any unit that is an electric generating unit under paragraph
(1)(i) or (ii) of this definition commencing operation before January 1,
1985:
(1) Qualifying as a solid waste incineration unit; and
(2) With an average annual fuel consumption of non-fossil fuel for
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual
fuel consumption of non-fossil fuel for any 3 consecutive calendar years
after 1990 exceeding 80 percent (on a Btu basis).
(B) Any unit that is an electric generating unit under paragraph
(1)(i) or (ii) of this definition commencing operation on or after
January 1, 1985:
(1) Qualifying as a solid waste incineration unit; and
(2) With an average annual fuel consumption of non-fossil fuel for
the first
[[Page 224]]
3 calendar years of operation exceeding 80 percent (on a Btu basis) and
an average annual fuel consumption of non-fossil fuel for any 3
consecutive calendar years after 1990 exceeding 80 percent (on a Btu
basis).
(C) If a unit qualifies as a solid waste incineration unit and meets
the requirements of paragraph (2)(ii)(A) or (B) of this section for at
least 3 consecutive calendar years, but subsequently no longer meets all
such requirements, the unit shall become an electric generating unit
starting on the earlier of January 1 after the first calendar year
during which the unit first no longer qualifies as a solid waste
incineration unit or January 1 after the first 3 consecutive calendar
years after 1990 for which the unit has an average annual fuel
consumption of fossil fuel of 20 percent or more.
Fossil fuel means natural gas, petroleum, coal, or any form of
solid, liquid, or gaseous fuel derived from such material.
Fossil-fuel-fired means, with regard to a unit, combusting any
amount of fossil fuel in any calendar year.
Generator means a device that produces electricity.
Maximum design heat input means the maximum amount of fuel per hour
(in Btu/hr) that a unit is capable of combusting on a steady state basis
as of the initial installation of the unit as specified by the
manufacturer of the unit.
NAAQS means National Ambient Air Quality Standard.
Nameplate capacity means, starting from the initial installation of
a generator, the maximum electrical generating output (in MWe) that the
generator is capable of producing on a steady state basis and during
continuous operation (when not restricted by seasonal or other deratings
as of such installation as specified by the manufacturer of the
generator or, starting from the completion of any subsequent physical
change in the generator resulting in an increase in the maximum
electrical generating output (in MWe) that the generator is capable of
producing on a steady state basis and during continuous operation (when
not restricted by seasonal or other deratings), such increased maximum
amount as of such completion as specified by the person conducting the
physical change.
Non-EGU means a source of SO2 emissions that is not an
EGU.
Potential electrical output capacity means 33 percent of a unit's
maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000
kWh/MWh, and multiplied by 8,760 hr/yr.
Sequential use of energy means:
(1) For a topping-cycle cogeneration unit, the use of reject heat
from electricity production in a useful thermal energy application or
process; or
(2) For a bottoming-cycle cogeneration unit, the use of reject heat
from useful thermal energy application or process in electricity
production.
Solid waste incineration unit means a stationary, fossil-fuel-fired
boiler or stationary, fossil-fuel-fired combustion turbine that is a
``solid waste incineration unit'' as defined in section 129(g)(1) of the
Clean Air Act.
Topping-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful power,
including electricity, and at least some of the reject heat from the
electricity production is then used to provide useful thermal energy.
Total energy input means, with regard to a cogeneration unit, total
energy of all forms supplied to the cogeneration unit, excluding energy
produced by the cogeneration unit itself.
Total energy output means, with regard to a cogeneration unit, the
sum of useful power and useful thermal energy produced by the
cogeneration unit. Each form of energy supplied shall be measured by the
lower heating value of that form of energy calculated as follows:
LHV = HHV - 10.55(W + 9H)
Where:
LHV = lower heating value of fuel in Btu/lb,
HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.
Unit means a stationary, fossil-fuel-fired boiler or a stationary,
fossil-fuel fired combustion turbine.
Useful power means, with regard to a cogeneration unit, electricity
or mechanical energy made available for use,
[[Page 225]]
excluding any such energy used in the power production process (which
process includes, but is not limited to, any on-site processing or
treatment of fuel combusted at the unit and any on-site emission
controls).
Useful thermal energy means, with regard to a cogeneration unit,
thermal energy that is:
(1) Made available to an industrial or commercial process, excluding
any heat contained in condensate return or makeup water;
(2) Used in a heating application (e.g., space heating or domestic
hot water heating); or
(3) Used in a space cooling application (i.e., thermal energy used
by an absorption chiller).
Utility power distribution system means the portion of an
electricity grid owned or operated by a utility and dedicated to
delivering electricity to customers.
(r) Notwithstanding any other provision of this section, a State may
adopt, and include in a SIP revision submitted by March 31, 2007,
regulations relating to the Federal CAIR SO2 Trading Program
under subparts AAA through HHH of part 97 of this chapter as follows.
The State may adopt the following CAIR opt-in unit provisions:
(1) Provisions for CAIR opt-in units, including provisions for
applications for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR SO2 allowances for CAIR opt-in units, that are
substantively identical to subpart III of part 96 of this chapter and
the provisions of subparts AAA through HHH that are applicable to CAIR
opt-in units or units for which a CAIR opt-in permit application is
submitted and not withdrawn and a CAIR opt-in permit is not yet issued
or denied;
(2) Provisions for CAIR opt-in units, including provisions for
applications for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR SO2 allowances for CAIR opt-in units, that are
substantively identical to subpart III of part 96 of this chapter and
the provisions of subparts AAA through HHH that are applicable to CAIR
opt-in units or units for which a CAIR opt-in permit application is
submitted and not withdrawn and a CAIR opt-in permit is not yet issued
or denied, except that the provisions exclude Sec. 96.288(b) of this
chapter and the provisions of subpart III of part 96 of this chapter
that apply only to units covered by Sec. 96.288(b) of this chapter; or
(3) Provisions for applications for CAIR opt-in units, including
provisions for CAIR opt-in permits, approval of CAIR opt-in permits,
treatment of units as CAIR opt-in units, and allocation and recordation
of CAIR SO2 allowances for CAIR opt-in units, that are
substantively identical to subpart III of part 96 of this chapter and
the provisions of subparts AAA through HHH that are applicable to CAIR
opt-in units or units for which a CAIR opt-in permit application is
submitted and not withdrawn and a CAIR opt-in permit is not yet issued
or denied, except that the provisions exclude Sec. 96.288(c) of this
chapter and the provisions of subpart III of part 96 of this chapter
that apply only to units covered by Sec. 96.288(c) of this chapter.
(s) Notwithstanding any provisions of paragraphs (a) through (r) of
this section, subparts AAA through III of part 96 of this chapter,
subparts AAA through III of part 97 of this chapter, and any State's SIP
to the contrary:
(1) With regard to any control period that begins after December 31,
2014, the Administrator:
(i) Rescinds the determination in paragraph (a) of this section that
the States identified in paragraph (c) of this section must submit a SIP
revision with respect to the fine particles (PM2.5) NAAQS
meeting the requirements of paragraphs (b) through (r) of this section;
and
(ii) Will not carry out any of the functions set forth for the
Administrator in subparts AAA through III of part 96 of this chapter,
subparts AAA through III of part 97 of this chapter, or in any emissions
trading program in a State's SIP approved under this section; and
[[Page 226]]
(2) The Administrator will not deduct for excess emissions any CAIR
SO2 allowances allocated for 2015 or any year thereafter.
[70 FR 25328, May 12, 2005, as amended at 71 FR 25302, 25372, Apr. 28,
2006; 71 FR 74793, Dec. 13, 2006; 72 FR 59204, Oct. 19, 2007; 74 FR
56726, Nov. 3, 2009; 76 FR 48353, Aug. 8, 2011; 79 FR 71671, Dec. 3,
2014]
Sec. 51.125 [Reserved]
Sec. 51.126 Determination of widespread use of ORVR and waiver of
CAA section 182(b)(3) Stage II gasoline vapor recovery requirements.
(a) Pursuant to section 202(a)(6) of the Clean Air Act, the
Administrator has determined that, effective May 16, 2012, onboard
refueling vapor recovery (ORVR) systems are in widespread use in the
motor vehicle fleet within the United States.
(b) Effective May 16, 2012, the Administrator waives the requirement
of Clean Air Act section 182(b)(3) for Stage II vapor recovery systems
in ozone nonattainment areas regardless of classification. States must
submit and receive EPA approval of a revision to their approved State
Implementation Plans before removing Stage II requirements that are
contained therein.
[77 FR 28782, May 16, 2012]
Subpart H_Prevention of Air Pollution Emergency Episodes
Source: 51 FR 40668, Nov. 7, 1986, unless otherwise noted.
Sec. 51.150 Classification of regions for episode plans.
(a) This section continues the classification system for episode
plans. Each region is classified separately with respect to each of the
following pollutants: Sulfur oxides, particulate matter, carbon
monoxide, nitrogen dioxide, and ozone.
(b) Priority I Regions means any area with greater ambient
concentrations than the following:
(1) Sulfur dioxide--100 mg/m\3\ (0.04 ppm) annual arithmetic mean;
455 mg/m\3\ (0.17 ppm) 24-hour maximum.
(2) Particulate matter--95 mg/m\3\ annual geometric mean; 325 mg/
m\3\ 24-hour maximum.
(3) Carbon monoxide--55 mg/m\3\ (48 ppm) 1-hour maximum; 14 mg/m\3\
(12 ppm) 8-hour maximum.
(4) Nitrogen dioxide--100 mg/m\3\ (0.06 ppm) annual arithmetic mean.
(5) Ozone--195 mg/m\3\ (0.10 ppm) 1-hour maximum.
(c) Priority IA Region means any area which is Priority I primarily
because of emissions from a single point source.
(d) Priority II Region means any area which is not a Priority I
region and has ambient concentrations between the following:
(1) Sulfur Dioxides--60-100 mg/m\3\ (0.02-0.04 ppm) annual
arithmetic mean; 260-445 mg/m\3\ (0.10-0.17 ppm) 24-hour maximum; any
concentration above 1,300 mg/m\3\ (0.50 ppm) three-hour average.
(2) Particulate matter--60-95 mg/m\3\ annual geometric mean; 150-325
mg/m\3\ 24-hour maximum.
(e) In the absence of adequate monitoring data, appropriate models
must be used to classify an area under paragraph (b) of this section,
consistent with the requirements contained in Sec. 51.112(a).
(f) Areas which do not meet the above criteria are classified
Priority III.
[51 FR 40668, Nov. 7, 1986, as amended at 58 FR 38822, July 20, 1993]
Sec. 51.151 Significant harm levels.
Each plan for a Priority I region must include a contingency plan
which must, as a mimimum, provide for taking action necessary to prevent
ambient pollutant concentrations at any location in such region from
reaching the following levels:
Sulfur dioxide--2.620 mg/m\3\ (1.0 ppm) 24-hour average.
PM10--600 micrograms/cubic meter; 24-hour average.
Carbon monoxide--57.5 mg/m\3\ (50 ppm) 8-hour average; 86.3 mg/m\3\ (75
ppm) 4-hour average; 144 mg/m\3\ (125 ppm) 1-hour average.
Ozone--1,200 ug/m\3\ (0.6 ppm) 2-hour average.
Nitrogen dioxide--3.750 ug/m\3\ (2.0 ppm) 1-hour average; 938 ug/m\3\
(0.5 ppm) 24-hour average.
[51 FR 40668, Nov. 7, 1986, as amended at 52 FR 24713, July 1, 1987]
Sec. 51.152 Contingency plans.
(a) Each contingency plan must--
[[Page 227]]
(1) Specify two or more stages of episode criteria such as those set
forth in appendix L to this part, or their equivalent;
(2) Provide for public announcement whenever any episode stage has
been determined to exist; and
(3) Specify adequate emission control actions to be taken at each
episode stage. (Examples of emission control actions are set forth in
appendix L.)
(b) Each contingency plan for a Priority I region must provide for
the following:
(1) Prompt acquisition of forecasts of atmospheric stagnation
conditions and of updates of such forecasts as frequently as they are
issued by the National Weather Service.
(2) Inspection of sources to ascertain compliance with applicable
emission control action requirements.
(3) Communications procedures for transmitting status reports and
orders as to emission control actions to be taken during an episode
stage, including procedures for contact with public officials, major
emission sources, public health, safety, and emergency agencies and news
media.
(c) Each plan for a Priority IA and II region must include a
contingency plan that meets, as a minimum, the requirements of
paragraphs (b)(1) and (b)(2) of this section. Areas classified Priority
III do not need to develop episode plans.
(d) Notwithstanding the requirements of paragraphs (b) and (c) of
this section, the Administrator may, at his discretion--
(1) Exempt from the requirements of this section those portions of
Priority I, IA, or II regions which have been designated as attainment
or unclassifiable for national primary and secondary standards under
section 107 of the Act; or
(2) Limit the requirements pertaining to emission control actions in
Priority I regions to--
(i) Urbanized areas as identified in the most recent United States
Census, and
(ii) Major emitting facilities, as defined by section 169(1) of the
Act, outside the urbanized areas.
Sec. 51.153 Reevaluation of episode plans.
(a) States should periodically reevaluate priority classifications
of all Regions or portion of Regions within their borders. The
reevaluation must consider the three most recent years of air quality
data. If the evaluation indicates a change to a higher priority
classification, appropriate changes in the episode plan must be made as
expeditiously as practicable.
(b) [Reserved]
Subpart I_Review of New Sources and Modifications
Source: 51 FR 40669, Nov. 7, 1986, unless otherwise noted.
Sec. 51.160 Legally enforceable procedures.
(a) Each plan must set forth legally enforceable procedures that
enable the State or local agency to determine whether the construction
or modification of a facility, building, structure or installation, or
combination of these will result in--
(1) A violation of applicable portions of the control strategy; or
(2) Interference with attainment or maintenance of a national
standard in the State in which the proposed source (or modification) is
located or in a neighboring State.
(b) Such procedures must include means by which the State or local
agency responsible for final decisionmaking on an application for
approval to construct or modify will prevent such construction or
modification if--
(1) It will result in a violation of applicable portions of the
control strategy; or
(2) It will interfere with the attainment or maintenance of a
national standard.
(c) The procedures must provide for the submission, by the owner or
operator of the building, facility, structure, or installation to be
constructed or modified, of such information on--
(1) The nature and amounts of emissions to be emitted by it or
emitted by associated mobile sources;
(2) The location, design, construction, and operation of such
facility, building, structure, or installation as
[[Page 228]]
may be necessary to permit the State or local agency to make the
determination referred to in paragraph (a) of this section.
(d) The procedures must provide that approval of any construction or
modification must not affect the responsibility to the owner or operator
to comply with applicable portions of the control strategy.
(e) The procedures must identify types and sizes of facilities,
buildings, structures, or installations which will be subject to review
under this section. The plan must discuss the basis for determining
which facilities will be subject to review.
(f) The procedures must discuss the air quality data and the
dispersion or other air quality modeling used to meet the requirements
of this subpart.
(1) All applications of air quality modeling involved in this
subpart shall be based on the applicable models, data bases, and other
requirements specified in appendix W of this part (Guideline on Air
Quality Models).
(2) Where an air quality model specified in appendix W of this part
(Guideline on Air Quality Models) is inappropriate, the model may be
modified or another model substituted. Such a modification or
substitution of a model may be made on a case-by-case basis or, where
appropriate, on a generic basis for a specific State program. Written
approval of the Administrator must be obtained for any modification or
substitution. In addition, use of a modified or substituted model must
be subject to notice and opportunity for public comment under procedures
set forth in Sec. 51.102.
[51 FR 40669, Nov. 7, 1986, as amended at 58 FR 38822, July 20, 1993; 60
FR 40468, Aug. 9, 1995; 61 FR 41840, Aug. 12, 1996]
Sec. 51.161 Public availability of information.
(a) The legally enforceable procedures in Sec. 51.160 must also
require the State or local agency to provide opportunity for public
comment on information submitted by owners and operators. The public
information must include the agency's analysis of the effect of
construction or modification on ambient air quality, including the
agency's proposed approval or disapproval.
(b) For purposes of paragraph (a) of this section, opportunity for
public comment shall include, as a minimum--
(1) Availability for public inspection in at least one location in
the area affected of the information submitted by the owner or operator
and of the State or local agency's analysis of the effect on air
quality;
(2) A 30-day period for submittal of public comment; and
(3) A notice by prominent advertisement in the area affected of the
location of the source information and analysis specified in paragraph
(b)(1) of this section.
(c) Where the 30-day comment period required in paragraph (b) of
this section would conflict with existing requirements for acting on
requests for permission to construct or modify, the State may submit for
approval a comment period which is consistent with such existing
requirements.
(d) A copy of the notice required by paragraph (b) of this section
must also be sent to the Administrator through the appropriate Regional
Office, and to all other State and local air pollution control agencies
having jurisdiction in the region in which such new or modified
installation will be located. The notice also must be sent to any other
agency in the region having responsibility for implementing the
procedures required under this subpart. For lead, a copy of the notice
is required for all point sources. The definition of point for lead is
given in Sec. 51.100(k)(2).
Sec. 51.162 Identification of responsible agency.
Each plan must identify the State or local agency which will be
responsible for meeting the requirements of this subpart in each area of
the State. Where such responsibility rests with an agency other than an
air pollution control agency, such agency will consult with the
appropriate State or local air pollution control agency in carrying out
the provisions of this subpart.
[[Page 229]]
Sec. 51.163 Administrative procedures.
The plan must include the administrative procedures, which will be
followed in making the determination specified in paragraph (a) of Sec.
51.160.
Sec. 51.164 Stack height procedures.
Such procedures must provide that the degree of emission limitation
required of any source for control of any air pollutant must not be
affected by so much of any source's stack height that exceeds good
engineering practice or by any other dispersion technique, except as
provided in Sec. 51.118(b). Such procedures must provide that before a
State issues a permit to a source based on a good engineering practice
stack height that exceeds the height allowed by Sec. 51.100(ii) (1) or
(2), the State must notify the public of the availability of the
demonstration study and must provide opportunity for public hearing on
it. This section does not require such procedures to restrict in any
manner the actual stack height of any source.
Sec. 51.165 Permit requirements.
(a) State Implementation Plan and Tribal Implementation Plan
provisions satisfying sections 172(c)(5) and 173 of the Act shall meet
the following conditions:
(1) All such plans shall use the specific definitions. Deviations
from the following wording will be approved only if the State
specifically demonstrates that the submitted definition is more
stringent, or at least as stringent, in all respects as the
corresponding definition below:
(i) Stationary source means any building, structure, facility, or
installation which emits or may emit a regulated NSR pollutant.
(ii) Building, structure, facility, or installation means all of the
pollutant-emitting activities which belong to the same industrial
grouping, are located on one or more contiguous or adjacent properties,
and are under the control of the same person (or persons under common
control) except the activities of any vessel. Pollutant-emitting
activities shall be considered as part of the same industrial grouping
if they belong to the same Major Group (i.e., which have the same two-
digit code) as described in the Standard Industrial Classification
Manual, 1972, as amended by the 1977 Supplement (U.S. Government
Printing Office stock numbers 4101-0065 and 003-005-00176-0,
respectively).
(iii) Potential to emit means the maximum capacity of a stationary
source to emit a pollutant under its physical and operational design.
Any physical or operational limitation on the capacity of the 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 part of its design
only if the limitation or the effect it would have on emissions is
federally enforceable. Secondary emissions do not count in determining
the potential to emit of a stationary source.
(iv)(A) Major stationary source means:
(1) Any stationary source of air pollutants that emits, or has the
potential to emit, 100 tons per year or more of any regulated NSR
pollutant, except that lower emissions thresholds shall apply in areas
subject to subpart 2, subpart 3, or subpart 4 of part D, title I of the
Act, according to paragraphs (a)(1)(iv)(A)(1)(i) through (vi) of this
section.
(i) 50 tons per year of volatile organic compounds in any serious
ozone nonattainment area.
(ii) 50 tons per year of volatile organic compounds in an area
within an ozone transport region, except for any severe or extreme ozone
nonattainment area.
(iii) 25 tons per year of volatile organic compounds in any severe
ozone nonattainment area.
(iv) 10 tons per year of volatile organic compounds in any extreme
ozone nonattainment area.
(v) 50 tons per year of carbon monoxide in any serious nonattainment
area for carbon monoxide, where stationary sources contribute
significantly to carbon monoxide levels in the area (as determined under
rules issued by the Administrator).
(vi) 70 tons per year of PM-10 in any serious nonattainment area for
PM-10;
(2) For the purposes of applying the requirements of paragraph
(a)(8) of this
[[Page 230]]
section to stationary sources of nitrogen oxides located in an ozone
nonattainment area or in an ozone transport region, any stationary
source which emits, or has the potential to emit, 100 tons per year or
more of nitrogen oxides emissions, except that the emission thresholds
in paragraphs (a)(1)(iv)(A)(2)(i) through (vi) of this section shall
apply in areas subject to subpart 2 of part D, title I of the Act.
(i) 100 tons per year or more of nitrogen oxides in any ozone
nonattainment area classified as marginal or moderate.
(ii) 100 tons per year or more of nitrogen oxides in any ozone
nonattainment area classified as a transitional, submarginal, or
incomplete or no data area, when such area is located in an ozone
transport region.
(iii) 100 tons per year or more of nitrogen oxides in any area
designated under section 107(d) of the Act as attainment or
unclassifiable for ozone that is located in an ozone transport region.
(iv) 50 tons per year or more of nitrogen oxides in any serious
nonattainment area for ozone.
(v) 25 tons per year or more of nitrogen oxides in any severe
nonattainment area for ozone.
(vi) 10 tons per year or more of nitrogen oxides in any extreme
nonattainment area for ozone; or
(3) Any physical change that would occur at a stationary source not
qualifying under paragraphs (a)(1)(iv)(A)(1) or (2) of this section as a
major stationary source, if the change would constitute a major
stationary source by itself.
(B) A major stationary source that is major for volatile organic
compounds shall be considered major for ozone
(C) The fugitive emissions of a stationary source shall not be
included in determining for any of the purposes of this paragraph
whether it is a major stationary source, unless the source belongs to
one of the following categories of stationary sources:
(1) Coal cleaning plants (with thermal dryers);
(2) Kraft pulp mills;
(3) Portland cement plants;
(4) Primary zinc smelters;
(5) Iron and steel mills;
(6) Primary aluminum ore reduction plants;
(7) Primary copper smelters;
(8) Municipal incinerators capable of charging more than 250 tons of
refuse per day;
(9) Hydrofluoric, sulfuric, or nitric acid plants;
(10) Petroleum refineries;
(11) Lime plants;
(12) Phosphate rock processing plants;
(13) Coke oven batteries;
(14) Sulfur recovery plants;
(15) Carbon black plants (furnace process);
(16) Primary lead smelters;
(17) Fuel conversion plants;
(18) Sintering plants;
(19) Secondary metal production plants;
(20) Chemical process plants--The term chemical processing plant
shall not include ethanol production facilities that produce ethanol by
natural fermentation included in NAICS codes 325193 or 312140;
(21) Fossil-fuel boilers (or combination thereof) totaling more than
250 million British thermal units per hour heat input;
(22) Petroleum storage and transfer units with a total storage
capacity exceeding 300,000 barrels;
(23) Taconite ore processing plants;
(24) Glass fiber processing plants;
(25) Charcoal production plants;
(26) Fossil fuel-fired steam electric plants of more than 250
million British thermal units per hour heat input; and
(27) Any other stationary source category which, as of August 7,
1980, is being regulated under section 111 or 112 of the Act.
(v)(A) Major modification means any physical change in or change in
the method of operation of a major stationary source that would result
in:
(1) A significant emissions increase of a regulated NSR pollutant
(as defined in paragraph (a)(1)(xxxvii) of this section); and
(2) A significant net emissions increase of that pollutant from the
major stationary source.
(B) Any significant emissions increase (as defined in paragraph
(a)(1)(xxvii) of this section) from any
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emissions units or net emissions increase (as defined in paragraph
(a)(1)(vi) of this section) at a major stationary source that is
significant for volatile organic compounds shall be considered
significant for ozone.
(C) A physical change or change in the method of operation shall not
include:
(1) Routine maintenance, repair and replacement. Routine
maintenance, repair and replacement shall include, but not be limited
to, any activity(s) that meets the requirements of the equipment
replacement provisions contained in paragraph (h) of this section;
Note to paragraph (a)(1)(v)(C)(1):
On December 24, 2003, the second sentence of this paragraph
(a)(1)(v)(C)(1) is stayed indefinitely by court order. The stayed
provisions will become effective immediately if the court terminates the
stay. At that time, EPA will publish a document in the Federal Register
advising the public of the termination of the stay.
(2) Use of an alternative fuel or raw material by reason of an order
under sections 2 (a) and (b) of the Energy Supply and Environmental
Coordination Act of 1974 (or any superseding legislation) or by reason
of a natural gas curtailment plan pursuant to the Federal Power Act;
(3) Use of an alternative fuel by reason of an order or rule section
125 of the Act;
(4) Use of an alternative fuel at a steam generating unit to the
extent that the fuel is generated from municipal solid waste;
(5) Use of an alternative fuel or raw material by a stationary
source which;
(i) The source was capable of accommodating before December 21,
1976, unless such change would be prohibited under any federally
enforceable permit condition which was established after December 12,
1976 pursuant to 40 CFR 52.21 or under regulations approved pursuant to
40 CFR subpart I or Sec. 51.166, or
(ii) The source is approved to use under any permit issued under
regulations approved pursuant to this section;
(6) An increase in the hours of operation or in the production rate,
unless such change is prohibited under any federally enforceable permit
condition which was established after December 21, 1976 pursuant to 40
CFR 52.21 or regulations approved pursuant to 40 CFR part 51 subpart I
or 40 CFR 51.166.
(7) Any change in ownership at a stationary source.
(8) [Reserved]
(9) The installation, operation, cessation, or removal of a
temporary clean coal technology demonstration project, provided that the
project complies with:
(i) The State Implementation Plan for the State in which the project
is located, and
(ii) Other requirements necessary to attain and maintain the
national ambient air quality standard during the project and after it is
terminated.
(D) This definition shall not apply with respect to a particular
regulated NSR pollutant when the major stationary source is complying
with the requirements under paragraph (f) of this section for a PAL for
that pollutant. Instead, the definition at paragraph (f)(2)(viii) of
this section shall apply.
(E) For the purpose of applying the requirements of (a)(8) of this
section to modifications at major stationary sources of nitrogen oxides
located in ozone nonattainment areas or in ozone transport regions,
whether or not subject to subpart 2, part D, title I of the Act, any
significant net emissions increase of nitrogen oxides is considered
significant for ozone.
(F) Any physical change in, or change in the method of operation of,
a major stationary source of volatile organic compounds that results in
any increase in emissions of volatile organic compounds from any
discrete operation, emissions unit, or other pollutant emitting activity
at the source shall be considered a significant net emissions increase
and a major modification for ozone, if the major stationary source is
located in an extreme ozone nonattainment area that is subject to
subpart 2, part D, title I of the Act.
(G) Fugitive emissions shall not be included in determining for any
of the purposes of this section whether a physical change in or change
in the method of operation of a major stationary source is a major
modification,
[[Page 232]]
unless the source belongs to one of the source categories listed in
paragraph (a)(1)(iv)(C) of this section.
(vi)(A) Net emissions increase means, with respect to any regulated
NSR pollutant emitted by a major stationary source, the amount by which
the sum of the following exceeds zero:
(1) The increase in emissions from a particular physical change or
change in the method of operation at a stationary source as calculated
pursuant to paragraph (a)(2)(ii) of this section; and
(2) Any other increases and decreases in actual emissions at the
major stationary source that are contemporaneous with the particular
change and are otherwise creditable. Baseline actual emissions for
calculating increases and decreases under this paragraph
(a)(1)(vi)(A)(2) shall be determined as provided in paragraph
(a)(1)(xxxv) of this section, except that paragraphs (a)(1)(xxxv)(A)(3)
and (a)(1)(xxxv)(B)(4) of this section shall not apply.
(B) An increase or decrease in actual emissions is contemporaneous
with the increase from the particular change only if it occurs before
the date that the increase from the particular change occurs;
(C) An increase or decrease in actual emissions is creditable only
if:
(1) It occurs within a reasonable period to be specified by the
reviewing authority; and
(2) The reviewing authority has not relied on it in issuing a permit
for the source under regulations approved pursuant to this section,
which permit is in effect when the increase in actual emissions from the
particular change occurs; and
(3) As it pertains to an increase or decrease in fugitive emissions
(to the extent quantifiable), it occurs at an emissions unit that is
part of one of the source categories listed in paragraph (a)(1)(iv)(C)
of this section or it occurs at an emissions unit that is located at a
major stationary source that belongs to one of the listed source
categories. Fugitive emission increases or decreases are not creditable
for those emissions units located at a facility whose primary activity
is not represented by one of the source categories listed in paragraph
(a)(1)(iv)(C) of this section and that are not, by themselves, part of a
listed source category.
(D) An increase in actual emissions is creditable only to the extent
that the new level of actual emissions exceeds the old level.
(E) A decrease in actual emissions is creditable only to the extent
that:
(1) The old level of actual emission or the old level of allowable
emissions whichever is lower, exceeds the new level of actual emissions;
(2) It is enforceable as a practical matter at and after the time
that actual construction on the particular change begins; and
(3) The reviewing authority has not relied on it in issuing any
permit under regulations approved pursuant to 40 CFR part 51 subpart I
or the State has not relied on it in demonstrating attainment or
reasonable further progress;
(4) It has approximately the same qualitative significance for
public health and welfare as that attributed to the increase from the
particular change; and
(F) An increase that results from a physical change at a source
occurs when the emissions unit on which construction occurred becomes
operational and begins to emit a particular pollutant. Any replacement
unit that requires shakedown becomes operational only after a reasonable
shakedown period, not to exceed 180 days.
(G) Paragraph (a)(1)(xii)(B) of this section shall not apply for
determining creditable increases and decreases or after a change.
(vii) Emissions unit means any part of a stationary source that
emits or would have the potential to emit any regulated NSR pollutant
and includes an electric steam generating unit as defined in paragraph
(a)(1)(xx) of this section. For purposes of this section, there are two
types of emissions units as described in paragraphs (a)(1)(vii)(A) and
(B) of this section.
(A) A new emissions unit is any emissions unit which is (or will be)
newly constructed and which has existed for less than 2 years from the
date such emissions unit first operated.
[[Page 233]]
(B) An existing emissions unit is any emissions unit that does not
meet the requirements in paragraph (a)(1)(vii)(A) of this section. A
replacement unit, as defined in paragraph (a)(1)(xxi) of this section,
is an existing emissions unit.
(viii) Secondary emissons means emissions which would occur as a
result of the construction or operation of a major stationary source or
major modification, but do not come from the major stationary source or
major modification itself. For the purpose of this section, secondary
emissions must be specific, well defined, quantifiable, and impact the
same general area as the stationary source or modification which causes
the secondary emissions. Secondary emissions include emissions from any
offsite support facility which would not be constructed or increase its
emissions except as a result of the construction of operation of the
major stationary source of major modification. Secondary emissions do
not include any emissions which come directly from a mobile source such
as emissions from the tailpipe of a motor vehicle, from a train, or from
a vessel.
(ix) Fugitive emissions means those emissions which could not
reasonably pass through a stack, chimney, vent or other functionally
equivalent opening.
(x)(A) Significant means, in reference to a net emissions increase
or the potential of a source to emit any of the following pollutants, a
rate of emissions that would equal or exceed any of the following rates:
Pollutant Emission Rate
Carbon monoxide: 100 tons per year (tpy)
Nitrogen oxides: 40 tpy
Sulfur dioxide: 40 tpy
Ozone: 40 tpy of volatile organic compounds or nitrogen oxides
Lead: 0.6 tpy
PM10: 15 tpy
PM2.5: 10 tpy of direct PM2.5 emissions; 40 tpy of
sulfur dioxide emissions; 40 tpy of nitrogen oxide emissions unless
demonstrated not to be a PM2.5 precursor under paragraph
(a)(1)(xxxvii) of this section
(B) Notwithstanding the significant emissions rate for ozone in
paragraph (a)(1)(x)(A) of this section, significant means, in reference
to an emissions increase or a net emissions increase, any increase in
actual emissions of volatile organic compounds that would result from
any physical change in, or change in the method of operation of, a major
stationary source locating in a serious or severe ozone nonattainment
area that is subject to subpart 2, part D, title I of the Act, if such
emissions increase of volatile organic compounds exceeds 25 tons per
year.
(C) For the purposes of applying the requirements of paragraph
(a)(8) of this section to modifications at major stationary sources of
nitrogen oxides located in an ozone nonattainment area or in an ozone
transport region, the significant emission rates and other requirements
for volatile organic compounds in paragraphs (a)(1)(x)(A), (B), and (E)
of this section shall apply to nitrogen oxides emissions.
(D) Notwithstanding the significant emissions rate for carbon
monoxide under paragraph (a)(1)(x)(A) of this section, significant
means, in reference to an emissions increase or a net emissions
increase, any increase in actual emissions of carbon monoxide that would
result from any physical change in, or change in the method of operation
of, a major stationary source in a serious nonattainment area for carbon
monoxide if such increase equals or exceeds 50 tons per year, provided
the Administrator has determined that stationary sources contribute
significantly to carbon monoxide levels in that area.
(E) Notwithstanding the significant emissions rates for ozone under
paragraphs (a)(1)(x)(A) and (B) of this section, any increase in actual
emissions of volatile organic compounds from any emissions unit at a
major stationary source of volatile organic compounds located in an
extreme ozone nonattainment area that is subject to subpart 2, part D,
title I of the Act shall be considered a significant net emissions
increase.
(xi) Allowable emissions means the emissions rate of a stationary
source calculated using the maximum rated capacity of the source (unless
the source is subject to federally enforceable limits which restrict the
operating rate, or hours of operation, or both) and the most stringent
of the following:
(A) The applicable standards set forth in 40 CFR part 60 or 61;
[[Page 234]]
(B) Any applicable State Implementation Plan emissions limitation
including those with a future compliance date; or
(C) The emissions rate specified as a federally enforceable permit
condition, including those with a future compliance date.
(xii)(A) Actual emissions means the actual rate of emissions of a
regulated NSR pollutant from an emissions unit, as determined in
accordance with paragraphs (a)(1)(xii)(B) through (D) of this section,
except that this definition shall not apply for calculating whether a
significant emissions increase has occurred, or for establishing a PAL
under paragraph (f) of this section. Instead, paragraphs (a)(1)(xxviii)
and (xxxv) of this section shall apply for those purposes.
(B) In general, actual emissions as of a particular date shall equal
the average rate, in tons per year, at which the unit actually emitted
the pollutant during a consecutive 24-month period which precedes the
particular date and which is representative of normal source operation.
The reviewing authority shall allow the use of a different time period
upon a determination that it is more representative of normal source
operation. Actual emissions shall be calculated using the unit's actual
operating hours, production rates, and types of materials processed,
stored, or combusted during the selected time period.
(C) The reviewing authority may presume that source-specific
allowable emissions for the unit are equivalent to the actual emissions
of the unit.
(D) For any emissions unit that has not begun normal operations on
the particular date, actual emissions shall equal the potential to emit
of the unit on that date.
(xiii) Lowest achievable emission rate (LAER) means, for any source,
the more stringent rate of emissions based on the following:
(A) The most stringent emissions limitation which is contained in
the implementation plan of any State for such class or category of
stationary source, unless the owner or operator of the proposed
stationary source demonstrates that such limitations are not achievable;
or
(B) The most stringent emissions limitation which is achieved in
practice by such class or category of stationary sources. This
limitation, when applied to a modification, means the lowest achievable
emissions rate for the new or modified emissions units within or
stationary source. In no event shall the application of the term permit
a proposed new or modified stationary source to emit any pollutant in
excess of the amount allowable under an applicable new source standard
of performance.
(xiv) Federally enforceable means all limitations and conditions
which are enforceable by the Administrator, including those requirements
developed pursuant to 40 CFR parts 60 and 61, requirements within any
applicable State implementation plan, any permit requirements
established pursuant to 40 CFR 52.21 or under regulations approved
pursuant to 40 CFR part 51, subpart I, including operating permits
issued under an EPA-approved program that is incorporated into the State
implementation plan and expressly requires adherence to any permit
issued under such program.
(xv) Begin actual construction means in general, initiation of
physical on-site construction activities on an emissions unit which are
of a permanent nature. Such activities include, but are not limited to,
installation of building supports and foundations, laying of underground
pipework, and construction of permanent storage structures. With respect
to a change in method of operating this term refers to those on-site
activities other than preparatory activities which mark the initiation
of the change.
(xvi) Commence as applied to construction of a major stationary
source or major modification means that the owner or operator has all
necessary preconstruction approvals or permits and either has:
(A) Begun, or caused to begin, a continuous program of actual on-
site construction of the source, to be completed within a reasonable
time; or
(B) Entered into binding agreements or contractual obligations,
which cannot be canceled or modified without substantial loss to the
owner or operator, to undertake a program of actual
[[Page 235]]
construction of the source to be completed within a reasonable time.
(xvii) Necessary preconstruction approvals or permits means those
Federal air quality control laws and regulations and those air quality
control laws and regulations which are part of the applicable State
Implementation Plan.
(xviii) Construction means any physical change or change in the
method of operation (including fabrication, erection, installation,
demolition, or modification of an emissions unit) that would result in a
change in emissions.
(xix)Volatile organic compounds (VOC) is as defined in Sec.
51.100(s) of this part.
(xx) Electric utility steam generating unit means any steam electric
generating unit that is constructed for the purpose of supplying more
than one-third of its potential electric output capacity and more than
25 MW electrical output to any utility power distribution system for
sale. Any steam supplied to a steam distribution system for the purpose
of providing steam to a steam-electric generator that would produce
electrical energy for sale is also considered in determining the
electrical energy output capacity of the affected facility.
(xxi) Replacement unit means an emissions unit for which all the
criteria listed in paragraphs (a)(1)(xxi)(A) through (D) of this section
are met. No creditable emission reductions shall be generated from
shutting down the existing emissions unit that is replaced.
(A) The emissions unit is a reconstructed unit within the meaning of
Sec. 60.15(b)(1) of this chapter, or the emissions unit completely
takes the place of an existing emissions unit.
(B) The emissions unit is identical to or functionally equivalent to
the replaced emissions unit.
(C) The replacement does not alter the basic design parameters (as
discussed in paragraph (h)(2) of this section) of the process unit.
(D) The replaced emissions unit is permanently removed from the
major stationary source, otherwise permanently disabled, or permanently
barred from operation by a permit that is enforceable as a practical
matter. If the replaced emissions unit is brought back into operation,
it shall constitute a new emissions unit.
(xxii) Temporary clean coal technology demonstration project means a
clean coal technology demonstration project that is operated for a
period of 5 years or less, and which complies with the State
Implementation Plan for the State in which the project is located and
other requirements necessary to attain and maintain the national ambient
air quality standards during the project and after it is terminated.
(xxiii) Clean coal technology means any technology, including
technologies applied at the precombustion, combustion, or post
combustion stage, at a new or existing facility which will achieve
significant reductions in air emissions of sulfur dioxide or oxides of
nitrogen associated with the utilization of coal in the generation of
electricity, or process steam which was not in widespread use as of
November 15, 1990.
(xxiv) Clean coal technology demonstration project means a project
using funds appropriated under the heading ``Department of Energy-Clean
Coal Technology,'' up to a total amount of $2,500,000,000 for commercial
demonstration of clean coal technology, or similar projects funded
through appropriations for the Environmental Protection Agency. The
Federal contribution for a qualifying project shall be at least 20
percent of the total cost of the demonstration project.
(xxv) [Reserved]
(xxvi) Pollution prevention means any activity that through process
changes, product reformulation or redesign, or substitution of less
polluting raw materials, eliminates or reduces the release of air
pollutants (including fugitive emissions) and other pollutants to the
environment prior to recycling, treatment, or disposal; it does not mean
recycling (other than certain ``in-process recycling'' practices),
energy recovery, treatment, or disposal.
(xxvii) Significant emissions increase means, for a regulated NSR
pollutant, an increase in emissions that is significant (as defined in
paragraph (a)(1)(x) of this section) for that pollutant.
(xxviii)(A) Projected actual emissions means, the maximum annual
rate, in tons per year, at which an existing emissions unit is projected
to emit a regulated NSR pollutant in any one of
[[Page 236]]
the 5 years (12-month period) following the date the unit resumes
regular operation after the project, or in any one of the 10 years
following that date, if the project involves increasing the emissions
unit's design capacity or its potential to emit of that regulated NSR
pollutant and full utilization of the unit would result in a significant
emissions increase or a significant net emissions increase at the major
stationary source.
(B) In determining the projected actual emissions under paragraph
(a)(1)(xxviii)(A) of this section before beginning actual construction,
the owner or operator of the major stationary source:
(1) Shall consider all relevant information, including but not
limited to, historical operational data, the company's own
representations, the company's expected business activity and the
company's highest projections of business activity, the company's
filings with the State or Federal regulatory authorities, and compliance
plans under the approved plan; and
(2) Shall include fugitive emissions to the extent quantifiable, and
emissions associated with startups, shutdowns, and malfunctions; and
(3) Shall exclude, in calculating any increase in emissions that
results from the particular project, that portion of the unit's
emissions following the project that an existing unit could have
accommodated during the consecutive 24-month period used to establish
the baseline actual emissions under paragraph (a)(1)(xxxv) of this
section and that are also unrelated to the particular project, including
any increased utilization due to product demand growth; or,
(4) In lieu of using the method set out in paragraphs
(a)(1)(xxviii)(B)(1) through (3) of this section, may elect to use the
emissions unit's potential to emit, in tons per year, as defined under
paragraph (a)(1)(iii) of this section.
(xxix) [Reserved]
(xxx) Nonattainment major new source review (NSR) program means a
major source preconstruction permit program that has been approved by
the Administrator and incorporated into the plan to implement the
requirements of this section, or a program that implements part 51,
appendix S, Sections I through VI of this chapter. Any permit issued
under such a program is a major NSR permit.
(xxxi) Continuous emissions monitoring system (CEMS) means all of
the equipment that may be required to meet the data acquisition and
availability requirements of this section, to sample, condition (if
applicable), analyze, and provide a record of emissions on a continuous
basis.
(xxxii) Predictive emissions monitoring system (PEMS) means all of
the equipment necessary to monitor process and control device
operational parameters (for example, control device secondary voltages
and electric currents) and other information (for example, gas flow
rate, O2 or CO2 concentrations), and calculate and
record the mass emissions rate (for example, lb/hr) on a continuous
basis.
(xxxiii) Continuous parameter monitoring system (CPMS) means all of
the equipment necessary to meet the data acquisition and availability
requirements of this section, to monitor process and control device
operational parameters (for example, control device secondary voltages
and electric currents) and other information (for example, gas flow
rate, O2 or CO2 concentrations), and to record
average operational parameter value(s) on a continuous basis.
(xxxiv) Continuous emissions rate monitoring system (CERMS) means
the total equipment required for the determination and recording of the
pollutant mass emissions rate (in terms of mass per unit of time).
(xxxv) Baseline actual emissions means the rate of emissions, in
tons per year, of a regulated NSR pollutant, as determined in accordance
with paragraphs (a)(1)(xxxv)(A) through (D) of this section.
(A) For any existing electric utility steam generating unit,
baseline actual emissions means the average rate, in tons per year, at
which the unit actually emitted the pollutant during any consecutive 24-
month period selected by the owner or operator within the 5-year period
immediately preceding when the owner or operator begins actual
construction of the project. The reviewing authority shall allow the use
[[Page 237]]
of a different time period upon a determination that it is more
representative of normal source operation.
(1) The average rate shall include fugitive emissions to the extent
quantifiable, and emissions associated with startups, shutdowns, and
malfunctions.
(2) The average rate shall be adjusted downward to exclude any non-
compliant emissions that occurred while the source was operating above
any emission limitation that was legally enforceable during the
consecutive 24-month period.
(3) For a regulated NSR pollutant, when a project involves multiple
emissions units, only one consecutive 24-month period must be used to
determine the baseline actual emissions for the emissions units being
changed. A different consecutive 24-month period can be used for each
regulated NSR pollutant.
(4) The average rate shall not be based on any consecutive 24-month
period for which there is inadequate information for determining annual
emissions, in tons per year, and for adjusting this amount if required
by paragraph (a)(1)(xxxv)(A)(2) of this section.
(B) For an existing emissions unit (other than an electric utility
steam generating unit), baseline actual emissions means the average
rate, in tons per year, at which the emissions unit actually emitted the
pollutant during any consecutive 24-month period selected by the owner
or operator within the 10-year period immediately preceding either the
date the owner or operator begins actual construction of the project, or
the date a complete permit application is received by the reviewing
authority for a permit required either under this section or under a
plan approved by the Administrator, whichever is earlier, except that
the 10-year period shall not include any period earlier than November
15, 1990.
(1) The average rate shall include fugitive emissions to the extent
quantifiable, and emissions associated with startups, shutdowns, and
malfunctions.
(2) The average rate shall be adjusted downward to exclude any non-
compliant emissions that occurred while the source was operating above
an emission limitation that was legally enforceable during the
consecutive 24-month period.
(3) The average rate shall be adjusted downward to exclude any
emissions that would have exceeded an emission limitation with which the
major stationary source must currently comply, had such major stationary
source been required to comply with such limitations during the
consecutive 24-month period. However, if an emission limitation is part
of a maximum achievable control technology standard that the
Administrator proposed or promulgated under part 63 of this chapter, the
baseline actual emissions need only be adjusted if the State has taken
credit for such emissions reductions in an attainment demonstration or
maintenance plan consistent with the requirements of paragraph
(a)(3)(ii)(G) of this section.
(4) For a regulated NSR pollutant, when a project involves multiple
emissions units, only one consecutive 24-month period must be used to
determine the baseline actual emissions for the emissions units being
changed. A different consecutive 24-month period can be used For each
regulated NSR pollutant.
(5) The average rate shall not be based on any consecutive 24-month
period for which there is inadequate information for determining annual
emissions, in tons per year, and for adjusting this amount if required
by paragraphs (a)(1)(xxxv)(B)(2) and (3) of this section.
(C) For a new emissions unit, the baseline actual emissions for
purposes of determining the emissions increase that will result from the
initial construction and operation of such unit shall equal zero; and
thereafter, for all other purposes, shall equal the unit's potential to
emit.
(D) For a PAL for a major stationary source, the baseline actual
emissions shall be calculated for existing electric utility steam
generating units in accordance with the procedures contained in
paragraph (a)(1)(xxxv)(A) of this section, for other existing emissions
units in accordance with the procedures contained in paragraph
(a)(1)(xxxv)(B) of this section, and for a new emissions unit in
accordance with
[[Page 238]]
the procedures contained in paragraph (a)(1)(xxxv)(C) of this section.
(xxxvi) [Reserved]
(xxxvii) Regulated NSR pollutant, for purposes of this section,
means the following:
(A) Nitrogen oxides or any volatile organic compounds;
(B) Any pollutant for which a national ambient air quality standard
has been promulgated;
(C) Any pollutant that is identified under this paragraph
(a)(1)(xxxvii)(C) as a constituent or precursor of a general pollutant
listed under paragraph (a)(1)(xxxvii)(A) or (B) of this section,
provided that such constituent or precursor pollutant may only be
regulated under NSR as part of regulation of the general pollutant.
Precursors identified by the Administrator for purposes of NSR are the
following:
(1) Volatile organic compounds and nitrogen oxides are precursors to
ozone in all ozone nonattainment areas.
(2) Sulfur dioxide is a precursor to PM2.5 in all
PM2.5 nonattainment areas.
(3) Nitrogen oxides are presumed to be precursors to
PM2.5 in all PM2.5 nonattainment areas, unless the
State demonstrates to the Administrator's satisfaction or EPA
demonstrates that emissions of nitrogen oxides from sources in a
specific area are not a significant contributor to that area's ambient
PM2.5 concentrations.
(4) Volatile organic compounds and ammonia are presumed not to be
precursors to PM2.5 in any PM2.5 nonattainment
area, unless the State demonstrates to the Administrator's satisfaction
or EPA demonstrates that emissions of volatile organic compounds or
ammonia from sources in a specific area are a significant contributor to
that area's ambient PM2.5 concentrations; or
(D) PM2.5 emissions and PM10 emissions shall
include gaseous emissions from a source or activity which condense to
form particulate matter at ambient temperatures. On or after January 1,
2011 (or any earlier date established in the upcoming rulemaking
codifying test methods), such condensable particulate matter shall be
accounted for in applicability determinations and in establishing
emissions limitations for PM2.5 and PM10 in
nonattainment major NSR permits. Compliance with emissions limitations
for PM2.5 and PM10 issued prior to this date shall
not be based on condensable particulate matter unless required by the
terms and conditions of the permit or the applicable implementation
plan. Applicability determinations made prior to this date without
accounting for condensable particulate matter shall not be considered in
violation of this section unless the applicable implementation plan
required condensable particulate matter to be included.
(xxxviii) Reviewing authority means the State air pollution control
agency, local agency, other State agency, Indian tribe, or other agency
authorized by the Administrator to carry out a permit program under this
section and Sec. 51.166, or the Administrator in the case of EPA-
implemented permit programs under Sec. 52.21.
(xxxix) Project means a physical change in, or change in the method
of operation of, an existing major stationary source.
(xl) Best available control technology (BACT) means an emissions
limitation (including a visible emissions standard) based on the maximum
degree of reduction for each regulated NSR pollutant which would be
emitted from any proposed major stationary source or major modification
which the reviewing authority, on a case-by-case basis, taking into
account energy, environmental, and economic impacts and other costs,
determines is achievable for such source or modification through
application of production processes or available methods, systems, and
techniques, including fuel cleaning or treatment or innovative fuel
combustion techniques for control of such pollutant. In no event shall
application of best available control technology result in emissions of
any pollutant which would exceed the emissions allowed by any applicable
standard under 40 CFR part 60 or 61. If the reviewing authority
determines that technological or economic limitations on the application
of measurement methodology to a particular
[[Page 239]]
emissions unit would make the imposition of an emissions standard
infeasible, a design, equipment, work practice, operational standard, or
combination thereof, may be prescribed instead to satisfy the
requirement for the application of BACT. Such standard shall, to the
degree possible, set forth the emissions reduction achievable by
implementation of such design, equipment, work practice or operation,
and shall provide for compliance by means which achieve equivalent
results.
(xli) Prevention of Significant Deterioration (PSD) permit means any
permit that is issued under a major source preconstruction permit
program that has been approved by the Administrator and incorporated
into the plan to implement the requirements of Sec. 51.166 of this
chapter, or under the program in Sec. 52.21 of this chapter.
(xlii) Federal Land Manager means, with respect to any lands in the
United States, the Secretary of the department with authority over such
lands.
(xliii)(A) In general, process unit means any collection of
structures and/or equipment that processes, assembles, applies, blends,
or otherwise uses material inputs to produce or store an intermediate or
a completed product. A single stationary source may contain more than
one process unit, and a process unit may contain more than one emissions
unit.
(B) Pollution control equipment is not part of the process unit,
unless it serves a dual function as both process and control equipment.
Administrative and warehousing facilities are not part of the process
unit.
(C) For replacement cost purposes, components shared between two or
more process units are proportionately allocated based on capacity.
(D) The following list identifies the process units at specific
categories of stationary sources.
(1) For a steam electric generating facility, the process unit
consists of those portions of the plant that contribute directly to the
production of electricity. For example, at a pulverized coal-fired
facility, the process unit would generally be the combination of those
systems from the coal receiving equipment through the emission stack
(excluding post-combustion pollution controls), including the coal
handling equipment, pulverizers or coal crushers, feedwater heaters, ash
handling, boiler, burners, turbine-generator set, condenser, cooling
tower, water treatment system, air preheaters, and operating control
systems. Each separate generating unit is a separate process unit.
(2) For a petroleum refinery, there are several categories of
process units: those that separate and/or distill petroleum feedstocks;
those that change molecular structures; petroleum treating processes;
auxiliary facilities, such as steam generators and hydrogen production
units; and those that load, unload, blend or store intermediate or
completed products.
(3) For an incinerator, the process unit would consist of components
from the feed pit or refuse pit to the stack, including conveyors,
combustion devices, heat exchangers and steam generators, quench tanks,
and fans.
Note to paragraph (a)(1)(xliii):
By a court order on December 24, 2003, this paragraph (a)(1)(xliii)
is stayed indefinitely. The stayed provisions will become effective
immediately if the court terminates the stay. At that time, EPA will
publish a document in the Federal Register advising the public of the
termination of the stay.
(xliv) Functionally equivalent component means a component that
serves the same purpose as the replaced component.
Note to paragraph (a)(1)(xliv):
By a court order on December 24, 2003, this paragraph (a)(1)(xliv)
is stayed indefinitely. The stayed provisions will become effective
immediately if the court terminates the stay. At that time, EPA will
publish a document in the Federal Register advising the public of the
termination of the stay.
(xlv) Fixed capital cost means the capital needed to provide all the
depreciable components. ``Depreciable components'' refers to all
components of fixed capital cost and is calculated by subtracting land
and working capital from the total capital investment, as defined in
paragraph (a)(1)(xlvi) of this section.
Note to paragraph (a)(1)(xlv):
By a court order on December 24, 2003, this paragraph (a)(1)(xlv) is
stayed indefinitely. The stayed provisions will become effective
immediately if the court terminates the stay. At that
[[Page 240]]
time, EPA will publish a document in the Federal Register advising the
public of the termination of the stay.
(xlvi) Total capital investment means the sum of the following: All
costs required to purchase needed process equipment (purchased equipment
costs); the costs of labor and materials for installing that equipment
(direct installation costs); the costs of site preparation and
buildings; other costs such as engineering, construction and field
expenses, fees to contractors, startup and performance tests, and
contingencies (indirect installation costs); land for the process
equipment; and working capital for the process equipment.
Note to paragraph (a)(1)(xlvi):
By a court order on December 24, 2003, this paragraph (a)(1)(xlvi)
is stayed indefinitely. The stayed provisions will become effective
immediately if the court terminates the stay. At that time, EPA will
publish a document in the Federal Register advising the public of the
termination of the stay.
(2) Applicability procedures. (i) Each plan shall adopt a
preconstruction review program to satisfy the requirements of sections
172(c)(5) and 173 of the Act for any area designated nonattainment for
any national ambient air quality standard under subpart C of 40 CFR part
81. Such a program shall apply to any new major stationary source or
major modification that is major for the pollutant for which the area is
designated nonattainment under section 107(d)(1)(A)(i) of the Act, if
the stationary source or modification would locate anywhere in the
designated nonattainment area.
(ii) Each plan shall use the specific provisions of paragraphs
(a)(2)(ii)(A) through (F) of this section. Deviations from these
provisions will be approved only if the State specifically demonstrates
that the submitted provisions are more stringent than or at least as
stringent in all respects as the corresponding provisions in paragraphs
(a)(2)(ii)(A) through (F) of this section.
(A) Except as otherwise provided in paragraphs (a)(2)(iii) and (iv)
of this section, and consistent with the definition of major
modification contained in paragraph (a)(1)(v)(A) of this section, a
project is a major modification for a regulated NSR pollutant if it
causes two types of emissions increases--a significant emissions
increase (as defined in paragraph (a)(1)(xxvii) of this section), and a
significant net emissions increase (as defined in paragraphs (a)(1)(vi)
and (x) of this section). The project is not a major modification if it
does not cause a significant emissions increase. If the project causes a
significant emissions increase, then the project is a major modification
only if it also results in a significant net emissions increase.
(B) The procedure for calculating (before beginning actual
construction) whether a significant emissions increase (i.e., the first
step of the process) will occur depends upon the type of emissions units
being modified, according to paragraphs (a)(2)(ii)(C) through (F) of
this section. The procedure for calculating (before beginning actual
construction) whether a significant net emissions increase will occur at
the major stationary source (i.e., the second step of the process) is
contained in the definition in paragraph (a)(1)(vi) of this section.
Regardless of any such preconstruction projections, a major modification
results if the project causes a significant emissions increase and a
significant net emissions increase.
(C) Actual-to-projected-actual applicability test for projects that
only involve existing emissions units. A significant emissions increase
of a regulated NSR pollutant is projected to occur if the sum of the
difference between the projected actual emissions (as defined in
paragraph (a)(1)(xxviii) of this section) and the baseline actual
emissions (as defined in paragraphs (a)(1)(xxxv)(A) and (B) of this
section, as applicable), for each existing emissions unit, equals or
exceeds the significant amount for that pollutant (as defined in
paragraph (a)(1)(x) of this section).
(D) Actual-to-potential test for projects that only involve
construction of a new emissions unit(s). A significant emissions
increase of a regulated NSR pollutant is projected to occur if the sum
of the difference between the potential to emit (as defined in paragraph
(a)(1)(iii) of this section) from each new emissions unit following
completion of the project and the baseline actual emissions (as defined
in paragraph
[[Page 241]]
(a)(1)(xxxv)(C) of this section) of these units before the project
equals or exceeds the significant amount for that pollutant (as defined
in paragraph (a)(1)(x) of this section).
(E) [Reserved]
(F) Hybrid test for projects that involve multiple types of
emissions units. A significant emissions increase of a regulated NSR
pollutant is projected to occur if the sum of the emissions increases
for each emissions unit, using the method specified in paragraphs
(a)(2)(ii)(C) through (D) of this section as applicable with respect to
each emissions unit, for each type of emissions unit equals or exceeds
the significant amount for that pollutant (as defined in paragraph
(a)(1)(x) of this section).
(iii) The plan shall require that for any major stationary source
for a PAL for a regulated NSR pollutant, the major stationary source
shall comply with requirements under paragraph (f) of this section.
(3)(i) Each plan shall provide that for sources and modifications
subject to any preconstruction review program adopted pursuant to this
subsection the baseline for determining credit for emissions reductions
is the emissions limit under the applicable State Implementation Plan in
effect at the time the application to construct is filed, except that
the offset baseline shall be the actual emissions of the source from
which offset credit is obtained where;
(A) The demonstration of reasonable further progress and attainment
of ambient air quality standards is based upon the actual emissions of
sources located within a designated nonattainment area for which the
preconstruction review program was adopted; or
(B) The applicable State Implementation Plan does not contain an
emissions limitation for that source or source category.
(ii) The plan shall further provide that:
(A) Where the emissions limit under the applicable State
Implementation Plan allows greater emissions than the potential to emit
of the source, emissions offset credit will be allowed only for control
below this potential;
(B) For an existing fuel combustion source, credit shall be based on
the allowable emissions under the applicable State Implementation Plan
for the type of fuel being burned at the time the application to
construct is filed. If the existing source commits to switch to a
cleaner fuel at some future date, emissions offset credit based on the
allowable (or actual) emissions for the fuels involved is not
acceptable, unless the permit is conditioned to require the use of a
specified alternative control measure which would achieve the same
degree of emissions reduction should the source switch back to a dirtier
fuel at some later date. The reviewing authority should ensure that
adequate long-term supplies of the new fuel are available before
granting emissions offset credit for fuel switches,
(C)(1) Emissions reductions achieved by shutting down an existing
emission unit or curtailing production or operating hours may be
generally credited for offsets if they meet the requirements in
paragraphs (a)(3)(ii)(C)(1)(i) through (ii) of this section.
(i) Such reductions are surplus, permanent, quantifiable, and
federally enforceable.
(ii) The shutdown or curtailment occurred after the last day of the
base year for the SIP planning process. For purposes of this paragraph,
a reviewing authority may choose to consider a prior shutdown or
curtailment to have occurred after the last day of the base year if the
projected emissions inventory used to develop the attainment
demonstration explicitly includes the emissions from such previously
shutdown or curtailed emission units. However, in no event may credit be
given for shutdowns that occurred before August 7, 1977.
(2) Emissions reductions achieved by shutting down an existing
emissions unit or curtailing production or operating hours and that do
not meet the requirements in paragraph (a)(3)(ii)(C)(1)(ii) of this
section may be generally credited only if:
(i) The shutdown or curtailment occurred on or after the date the
construction permit application is filed; or
(ii) The applicant can establish that the proposed new emissions
unit is a
[[Page 242]]
replacement for the shutdown or curtailed emissions unit, and the
emissions reductions achieved by the shutdown or curtailment met the
requirements of paragraph (a)(3)(ii)(C)(1)(i) of this section.
(D) No emissions credit may be allowed for replacing one hydrocarbon
compound with another of lesser reactivity, except for those compounds
listed in Table 1 of EPA's ``Recommended Policy on Control of Volatile
Organic Compounds'' (42 FR 35314, July 8, 1977; (This document is also
available from Mr. Ted Creekmore, Office of Air Quality Planning and
Standards, (MD-15) Research Triangle Park, NC 27711.))
(E) All emission reductions claimed as offset credit shall be
federally enforceable;
(F) Procedures relating to the permissible location of offsetting
emissions shall be followed which are at least as stringent as those set
out in 40 CFR part 51 appendix S section IV.D.
(G) Credit for an emissions reduction can be claimed to the extent
that the reviewing authority has not relied on it in issuing any permit
under regulations approved pursuant to 40 CFR part 51 subpart I or the
State has not relied on it in demonstration attainment or reasonable
further progress.
(H) [Reserved]
(I) [Reserved]
(J) The total tonnage of increased emissions, in tons per year,
resulting from a major modification that must be offset in accordance
with section 173 of the Act shall be determined by summing the
difference between the allowable emissions after the modification (as
defined by paragraph (a)(1)(xi) of this section) and the actual
emissions before the modification (as defined in paragraph (a)(1)(xii)
of this section) for each emissions unit.
(4) Each plan may provide that the provisions of this paragraph do
not apply to a source or modification that would be a major stationary
source or major modification only if fugitive emissions, to the extent
quantifiable, are considered in calculating the potential to emit of the
stationary source or modification and the source does not belong to any
of the following categories:
(i) Coal cleaning plants (with thermal dryers);
(ii) Kraft pulp mills;
(iii) Portland cement plants;
(iv) Primary zinc smelters;
(v) Iron and steel mills;
(vi) Primary aluminum ore reduction plants;
(vii) Primary copper smelters;
(viii) Municipal incinerators capable of charging more than 250 tons
of refuse per day;
(ix) Hydrofluoric, sulfuric, or citric acid plants;
(x) Petroleum refineries;
(xi) Lime plants;
(xii) Phosphate rock processing plants;
(xiii) Coke oven batteries;
(xiv) Sulfur recovery plants;
(xv) Carbon black plants (furnace process);
(xvi) Primary lead smelters;
(xvii) Fuel conversion plants;
(xviii) Sintering plants;
(xix) Secondary metal production plants;
(xx) Chemical process plants--The term chemical processing plant
shall not include ethanol production facilities that produce ethanol by
natural fermentation included in NAICS codes 325193 or 312140;
(xxi) Fossil-fuel boilers (or combination thereof) totaling more
than 250 million British thermal units per hour heat input;
(xxii) Petroleum storage and transfer units with a total storage
capacity exceeding 300,000 barrels;
(xxiii) Taconite ore processing plants;
(xxiv) Glass fiber processing plants;
(xxv) Charcoal production plants;
(xxvi) Fossil fuel-fired steam electric plants of more than 250
million British thermal units per hour heat input;
(xxvii) Any other stationary source category which, as of August 7,
1980, is being regulated under section 111 or 112 of the Act.
(5) Each plan shall include enforceable procedures to provide that:
(i) Approval to construct shall not relieve any owner or operator of
the responsibility to comply fully with applicable provision of the plan
and any other requirements under local, State or Federal law.
[[Page 243]]
(ii) At such time that a particular source or modification becomes a
major stationary source or major modification solely by virtue of a
relaxation in any enforcement limitation which was established after
August 7, 1980, on the capacity of the source or modification otherwise
to emit a pollutant, such as a restriction on hours of operation, then
the requirements of regulations approved pursuant to this section shall
apply to the source or modification as though construction had not yet
commenced on the source or modification;
(6) Each plan shall provide that, except as otherwise provided in
paragraph (a)(6)(vi) of this section, the following specific provisions
apply with respect to any regulated NSR pollutant emitted from projects
at existing emissions units at a major stationary source (other than
projects at a source with a PAL) in circumstances where there is a
reasonable possibility, within the meaning of paragraph (a)(6)(vi) of
this section, that a project that is not a part of a major modification
may result in a significant emissions increase of such pollutant, and
the owner or operator elects to use the method specified in paragraphs
(a)(1)(xxviii)(B)(1) through (3) of this section for calculating
projected actual emissions. Deviations from these provisions will be
approved only if the State specifically demonstrates that the submitted
provisions are more stringent than or at least as stringent in all
respects as the corresponding provisions in paragraphs (a)(6)(i) through
(vi) of this section.
(i) Before beginning actual construction of the project, the owner
or operator shall document and maintain a record of the following
information:
(A) A description of the project;
(B) Identification of the emissions unit(s) whose emissions of a
regulated NSR pollutant could be affected by the project; and
(C) A description of the applicability test used to determine that
the project is not a major modification for any regulated NSR pollutant,
including the baseline actual emissions, the projected actual emissions,
the amount of emissions excluded under paragraph (a)(1)(xxviii)(B)(3) of
this section and an explanation for why such amount was excluded, and
any netting calculations, if applicable.
(ii) If the emissions unit is an existing electric utility steam
generating unit, before beginning actual construction, the owner or
operator shall provide a copy of the information set out in paragraph
(a)(6)(i) of this section to the reviewing authority. Nothing in this
paragraph (a)(6)(ii) shall be construed to require the owner or operator
of such a unit to obtain any determination from the reviewing authority
before beginning actual construction.
(iii) The owner or operator shall monitor the emissions of any
regulated NSR pollutant that could increase as a result of the project
and that is emitted by any emissions units identified in paragraph
(a)(6)(i)(B) of this section; and calculate and maintain a record of the
annual emissions, in tons per year on a calendar year basis, for a
period of 5 years following resumption of regular operations after the
change, or for a period of 10 years following resumption of regular
operations after the change if the project increases the design capacity
or potential to emit of that regulated NSR pollutant at such emissions
unit.
(iv) If the unit is an existing electric utility steam generating
unit, the owner or operator shall submit a report to the reviewing
authority within 60 days after the end of each year during which records
must be generated under paragraph (a)(6)(iii) of this section setting
out the unit's annual emissions during the year that preceded submission
of the report.
(v) If the unit is an existing unit other than an electric utility
steam generating unit, the owner or operator shall submit a report to
the reviewing authority if the annual emissions, in tons per year, from
the project identified in paragraph (a)(6)(i) of this section, exceed
the baseline actual emissions (as documented and maintained pursuant to
paragraph (a)(6)(i)(C) of this section, by a significant amount (as
defined in paragraph (a)(1)(x) of this section) for that regulated NSR
pollutant, and if such emissions differ from the preconstruction
projection as documented and maintained pursuant to paragraph
(a)(6)(i)(C) of this section. Such report shall be submitted to the
[[Page 244]]
reviewing authority within 60 days after the end of such year. The
report shall contain the following:
(A) The name, address and telephone number of the major stationary
source;
(B) The annual emissions as calculated pursuant to paragraph
(a)(6)(iii) of this section; and
(C) Any other information that the owner or operator wishes to
include in the report (e.g., an explanation as to why the emissions
differ from the preconstruction projection).
(vi) A ``reasonable possibility'' under paragraph (a)(6) of this
section occurs when the owner or operator calculates the project to
result in either:
(A) A projected actual emissions increase of at least 50 percent of
the amount that is a ``significant emissions increase,'' as defined
under paragraph (a)(1)(xxvii) of this section (without reference to the
amount that is a significant net emissions increase), for the regulated
NSR pollutant; or
(B) A projected actual emissions increase that, added to the amount
of emissions excluded under paragraph (a)(1)(xxviii)(B)(3), sums to at
least 50 percent of the amount that is a ``significant emissions
increase,'' as defined under paragraph (a)(1)(xxvii) of this section
(without reference to the amount that is a significant net emissions
increase), for the regulated NSR pollutant. For a project for which a
reasonable possibility occurs only within the meaning of paragraph
(a)(6)(vi)(B) of this section, and not also within the meaning of
paragraph (a)(6)(vi)(A) of this section, then provisions (a)(6)(ii)
through (v) do not apply to the project.
(7) Each plan shall provide that the owner or operator of the source
shall make the information required to be documented and maintained
pursuant to paragraph (a)(6) of this section available for review upon a
request for inspection by the reviewing authority or the general public
pursuant to the requirements contained in Sec. 70.4(b)(3)(viii) of this
chapter.
(8) The plan shall provide that the requirements of this section
applicable to major stationary sources and major modifications of
volatile organic compounds shall apply to nitrogen oxides emissions from
major stationary sources and major modifications of nitrogen oxides in
an ozone transport region or in any ozone nonattainment area, except in
ozone nonattainment areas or in portions of an ozone transport region
where the Administrator has granted a NOX waiver applying the
standards set forth under section 182(f) of the Act and the waiver
continues to apply.
(9)(i) The plan shall require that in meeting the emissions offset
requirements of paragraph (a)(3) of this section, the ratio of total
actual emissions reductions to the emissions increase shall be at least
1:1 unless an alternative ratio is provided for the applicable
nonattainment area in paragraphs (a)(9)(ii) through (a)(9)(iv) of this
section.
(ii) The plan shall require that in meeting the emissions offset
requirements of paragraph (a)(3) of this section for ozone nonattainment
areas that are subject to subpart 2, part D, title I of the Act, the
ratio of total actual emissions reductions of VOC to the emissions
increase of VOC shall be as follows:
(A) In any marginal nonattainment area for ozone--at least 1.1:1;
(B) In any moderate nonattainment area for ozone--at least 1.15:1;
(C) In any serious nonattainment area for ozone--at least 1.2:1;
(D) In any severe nonattainment area for ozone--at least 1.3:1
(except that the ratio may be at least 1.2:1 if the approved plan also
requires all existing major sources in such nonattainment area to use
BACT for the control of VOC); and
(E) In any extreme nonattainment area for ozone--at least 1.5:1
(except that the ratio may be at least 1.2:1 if the approved plan also
requires all existing major sources in such nonattainment area to use
BACT for the control of VOC); and
(iii) Notwithstanding the requirements of paragraph (a)(9)(ii) of
this section for meeting the requirements of paragraph (a)(3) of this
section, the ratio of total actual emissions reductions of VOC to the
emissions increase of VOC shall be at least 1.15:1 for all areas within
an ozone transport region that is subject to subpart 2, part D,
[[Page 245]]
title I of the Act, except for serious, severe, and extreme ozone
nonattainment areas that are subject to subpart 2, part D, title I of
the Act.
(iv) The plan shall require that in meeting the emissions offset
requirements of paragraph (a)(3) of this section for ozone nonattainment
areas that are subject to subpart 1, part D, title I of the Act (but are
not subject to subpart 2, part D, title I of the Act, including 8-hour
ozone nonattainment areas subject to 40 CFR 51.902(b)), the ratio of
total actual emissions reductions of VOC to the emissions increase of
VOC shall be at least 1:1.
(10) The plan shall require that the requirements of this section
applicable to major stationary sources and major modifications of PM-10
shall also apply to major stationary sources and major modifications of
PM-10 precursors, except where the Administrator determines that such
sources do not contribute significantly to PM-10 levels that exceed the
PM-10 ambient standards in the area.
(11) The plan shall require that in meeting the emissions offset
requirements of paragraph (a)(3) of this section, the emissions offsets
obtained shall be for the same regulated NSR pollutant unless
interprecursor offsetting is permitted for a particular pollutant as
specified in this paragraph.
(i) The plan may allow the offset requirement in paragraph (a)(3) of
this section for emissions of the ozone precursors NOX and
VOC to be satisfied by offsetting reductions in emissions of either of
those precursors, if all other requirements for such offsets are also
satisfied.
(ii) The plan may allow the offset requirements in paragraph (a)(3)
of this section for direct PM2.5 emissions or emissions of
precursors of PM2.5 to be satisfied by offsetting reductions
in direct PM2.5 emissions or emissions of any
PM2.5 precursor identified under paragraph (a)(1)(xxxvii)(C)
of this section if such offsets comply with the interprecursor trading
hierarchy and ratio established in the approved plan for a particular
nonattainment area.
(12) The plan shall require that in any area designated
nonattainment for the 2008 ozone NAAQS and designated nonattainment for
the 1997 ozone NAAQS on April 6, 2015 the requirements of this section
applicable to major stationary sources and major modifications of ozone
shall include the anti-backsliding requirements contained at Sec.
51.1105.
(b)(1) Each plan shall include a preconstruction review permit
program or its equivalent to satisfy the requirements of section
110(a)(2)(D)(i) of the Act for any new major stationary source or major
modification as defined in paragraphs (a)(1) (iv) and (v) of this
section. Such a program shall apply to any such source or modification
that would locate in any area designated as attainment or unclassifiable
for any national ambient air quality standard pursuant to section 107 of
the Act, when it would cause or contribute to a violation of any
national ambient air quality standard.
(2) A major source or major modification will be considered to cause
or contribute to a violation of a national ambient air quality standard
when such source or modification would, at a minimum, exceed the
following significance levels at any locality that does not or would not
meet the applicable national standard:
----------------------------------------------------------------------------------------------------------------
Averaging time (hours)
Pollutant Annual -----------------------------------------------------------------
24 8 3 1
----------------------------------------------------------------------------------------------------------------
SO2.......................... 1.0 mg/m\3\ 5 mg/m\3\ ............... 25 mg/m\3\
PM10......................... 1.0 mg/m\3\ 5 mg/m\3\
PM2.5........................ 0.3 mg/m\3\ 1.2 mg/m\3\
NO2.......................... 1.0 mg/m\3\
CO........................... ............... ............... 0.5 mg/m\3\ ............... 2 mg/m\3\
----------------------------------------------------------------------------------------------------------------
(3) Such a program may include a provision which allows a proposed
major source or major modification subject to paragraph (b) of this
section to reduce the impact of its emissions upon air quality by
obtaining sufficient emission reductions to, at a minimum,
[[Page 246]]
compensate for its adverse ambient impact where the major source or
major modification would otherwise cause or contribute to a violation of
any national ambient air quality standard. The plan shall require that,
in the absence of such emission reductions, the State or local agency
shall deny the proposed construction.
(4) The requirements of paragraph (b) of this section shall not
apply to a major stationary source or major modification with respect to
a particular pollutant if the owner or operator demonstrates that, as to
that pollutant, the source or modification is located in an area
designated as nonattainment pursuant to section 107 of the Act.
(c)-(e) [Reserved]
(f) Actuals PALs. The plan shall provide for PALs according to the
provisions in paragraphs (f)(1) through (15) of this section.
(1) Applicability. (i) The reviewing authority may approve the use
of an actuals PAL for any existing major stationary source (except as
provided in paragraph (f)(1)(ii) of this section) if the PAL meets the
requirements in paragraphs (f)(1) through (15) of this section. The term
``PAL'' shall mean ``actuals PAL'' throughout paragraph (f) of this
section.
(ii) The reviewing authority shall not allow an actuals PAL for VOC
or NOX for any major stationary source located in an extreme
ozone nonattainment area.
(iii) Any physical change in or change in the method of operation of
a major stationary source that maintains its total source-wide emissions
below the PAL level, meets the requirements in paragraphs (f)(1) through
(15) of this section, and complies with the PAL permit:
(A) Is not a major modification for the PAL pollutant;
(B) Does not have to be approved through the plan's nonattainment
major NSR program; and
(C) Is not subject to the provisions in paragraph (a)(5)(ii) of this
section (restrictions on relaxing enforceable emission limitations that
the major stationary source used to avoid applicability of the
nonattainment major NSR program).
(iv) Except as provided under paragraph (f)(1)(iii)(C) of this
section, a major stationary source shall continue to comply with all
applicable Federal or State requirements, emission limitations, and work
practice requirements that were established prior to the effective date
of the PAL.
(2) Definitions. The plan shall use the definitions in paragraphs
(f)(2)(i) through (xi) of this section for the purpose of developing and
implementing regulations that authorize the use of actuals PALs
consistent with paragraphs (f)(1) through (15) of this section. When a
term is not defined in these paragraphs, it shall have the meaning given
in paragraph (a)(1) of this section or in the Act.
(i) Actuals PAL for a major stationary source means a PAL based on
the baseline actual emissions (as defined in paragraph (a)(1)(xxxv) of
this section) of all emissions units (as defined in paragraph
(a)(1)(vii) of this section) at the source, that emit or have the
potential to emit the PAL pollutant.
(ii) Allowable emissions means ``allowable emissions'' as defined in
paragraph (a)(1)(xi) of this section, except as this definition is
modified according to paragraphs (f)(2)(ii)(A) through (B) of this
section.
(A) The allowable emissions for any emissions unit shall be
calculated considering any emission limitations that are enforceable as
a practical matter on the emissions unit's potential to emit.
(B) An emissions unit's potential to emit shall be determined using
the definition in paragraph (a)(1)(iii) of this section, except that the
words ``or enforceable as a practical matter'' should be added after
``federally enforceable.''
(iii) Small emissions unit means an emissions unit that emits or has
the potential to emit the PAL pollutant in an amount less than the
significant level for that PAL pollutant, as defined in paragraph
(a)(1)(x) of this section or in the Act, whichever is lower.
(iv) Major emissions unit means:
(A) Any emissions unit that emits or has the potential to emit 100
tons per year or more of the PAL pollutant in an attainment area; or
[[Page 247]]
(B) Any emissions unit that emits or has the potential to emit the
PAL pollutant in an amount that is equal to or greater than the major
source threshold for the PAL pollutant as defined by the Act for
nonattainment areas. For example, in accordance with the definition of
major stationary source in section 182(c) of the Act, an emissions unit
would be a major emissions unit for VOC if the emissions unit is located
in a serious ozone nonattainment area and it emits or has the potential
to emit 50 or more tons of VOC per year.
(v) Plantwide applicability limitation (PAL) means an emission
limitation expressed in tons per year, for a pollutant at a major
stationary source, that is enforceable as a practical matter and
established source-wide in accordance with paragraphs (f)(1) through
(f)(15) of this section.
(vi) PAL effective date generally means the date of issuance of the
PAL permit. However, the PAL effective date for an increased PAL is the
date any emissions unit which is part of the PAL major modification
becomes operational and begins to emit the PAL pollutant.
(vii) PAL effective period means the period beginning with the PAL
effective date and ending 10 years later.
(viii) PAL major modification means, notwithstanding paragraphs
(a)(1)(v) and (vi) of this section (the definitions for major
modification and net emissions increase), any physical change in or
change in the method of operation of the PAL source that causes it to
emit the PAL pollutant at a level equal to or greater than the PAL.
(ix) PAL permit means the major NSR permit, the minor NSR permit, or
the State operating permit under a program that is approved into the
plan, or the title V permit issued by the reviewing authority that
establishes a PAL for a major stationary source.
(x) PAL pollutant means the pollutant for which a PAL is established
at a major stationary source.
(xi) Significant emissions unit means an emissions unit that emits
or has the potential to emit a PAL pollutant in an amount that is equal
to or greater than the significant level (as defined in paragraph
(a)(1)(x) of this section or in the Act, whichever is lower) for that
PAL pollutant, but less than the amount that would qualify the unit as a
major emissions unit as defined in paragraph (f)(2)(iv) of this section.
(3) Permit application requirements. As part of a permit application
requesting a PAL, the owner or operator of a major stationary source
shall submit the following information to the reviewing authority for
approval:
(i) A list of all emissions units at the source designated as small,
significant or major based on their potential to emit. In addition, the
owner or operator of the source shall indicate which, if any, Federal or
State applicable requirements, emission limitations or work practices
apply to each unit.
(ii) Calculations of the baseline actual emissions (with supporting
documentation). Baseline actual emissions are to include emissions
associated not only with operation of the unit, but also emissions
associated with startup, shutdown and malfunction.
(iii) The calculation procedures that the major stationary source
owner or operator proposes to use to convert the monitoring system data
to monthly emissions and annual emissions based on a 12-month rolling
total for each month as required by paragraph (f)(13)(i) of this
section.
(4) General requirements for establishing PALs. (i) The plan allows
the reviewing authority to establish a PAL at a major stationary source,
provided that at a minimum, the requirements in paragraphs (f)(4)(i)(A)
through (G) of this section are met.
(A) The PAL shall impose an annual emission limitation in tons per
year, that is enforceable as a practical matter, for the entire major
stationary source. For each month during the PAL effective period after
the first 12 months of establishing a PAL, the major stationary source
owner or operator shall show that the sum of the monthly emissions from
each emissions unit under the PAL for the previous 12 consecutive months
is less than the PAL (a 12-month average, rolled monthly). For each
month during the first 11 months from the PAL effective date, the major
stationary source owner or operator shall show that the sum of the
preceding monthly emissions from the PAL effective date
[[Page 248]]
for each emissions unit under the PAL is less than the PAL.
(B) The PAL shall be established in a PAL permit that meets the
public participation requirements in paragraph (f)(5) of this section.
(C) The PAL permit shall contain all the requirements of paragraph
(f)(7) of this section.
(D) The PAL shall include fugitive emissions, to the extent
quantifiable, from all emissions units that emit or have the potential
to emit the PAL pollutant at the major stationary source.
(E) Each PAL shall regulate emissions of only one pollutant.
(F) Each PAL shall have a PAL effective period of 10 years.
(G) The owner or operator of the major stationary source with a PAL
shall comply with the monitoring, recordkeeping, and reporting
requirements provided in paragraphs (f)(12) through (14) of this section
for each emissions unit under the PAL through the PAL effective period.
(ii) At no time (during or after the PAL effective period) are
emissions reductions of a PAL pollutant, which occur during the PAL
effective period, creditable as decreases for purposes of offsets under
paragraph (a)(3)(ii) of this section unless the level of the PAL is
reduced by the amount of such emissions reductions and such reductions
would be creditable in the absence of the PAL.
(5) Public participation requirement for PALs. PALs for existing
major stationary sources shall be established, renewed, or increased
through a procedure that is consistent with Sec. Sec. 51.160 and 51.161
of this chapter. This includes the requirement that the reviewing
authority provide the public with notice of the proposed approval of a
PAL permit and at least a 30-day period for submittal of public comment.
The reviewing authority must address all material comments before taking
final action on the permit.
(6) Setting the 10-year actuals PAL level. (i) Except as provided in
paragraph (f)(6)(ii) of this section, the plan shall provide that the
actuals PAL level for a major stationary source shall be established as
the sum of the baseline actual emissions (as defined in paragraph
(a)(1)(xxxv) of this section) of the PAL pollutant for each emissions
unit at the source; plus an amount equal to the applicable significant
level for the PAL pollutant under paragraph (a)(1)(x) of this section or
under the Act, whichever is lower. When establishing the actuals PAL
level, for a PAL pollutant, only one consecutive 24-month period must be
used to determine the baseline actual emissions for all existing
emissions units. However, a different consecutive 24-month period may be
used for each different PAL pollutant. Emissions associated with units
that were permanently shut down after this 24-month period must be
subtracted from the PAL level. The reviewing authority shall specify a
reduced PAL level(s) (in tons/yr) in the PAL permit to become effective
on the future compliance date(s) of any applicable Federal or State
regulatory requirement(s) that the reviewing authority is aware of prior
to issuance of the PAL permit. For instance, if the source owner or
operator will be required to reduce emissions from industrial boilers in
half from baseline emissions of 60 ppm NOX to a new rule
limit of 30 ppm, then the permit shall contain a future effective PAL
level that is equal to the current PAL level reduced by half of the
original baseline emissions of such unit(s).
(ii) For newly constructed units (which do not include modifications
to existing units) on which actual construction began after the 24-month
period, in lieu of adding the baseline actual emissions as specified in
paragraph (f)(6)(i) of this section, the emissions must be added to the
PAL level in an amount equal to the potential to emit of the units.
(7) Contents of the PAL permit. The plan shall require that the PAL
permit contain, at a minimum, the information in paragraphs (f)(7)(i)
through (x) of this section.
(i) The PAL pollutant and the applicable source-wide emission
limitation in tons per year.
(ii) The PAL permit effective date and the expiration date of the
PAL (PAL effective period).
(iii) Specification in the PAL permit that if a major stationary
source owner or operator applies to renew a PAL in
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accordance with paragraph (f)(10) of this section before the end of the
PAL effective period, then the PAL shall not expire at the end of the
PAL effective period. It shall remain in effect until a revised PAL
permit is issued by the reviewing authority.
(iv) A requirement that emission calculations for compliance
purposes include emissions from startups, shutdowns and malfunctions.
(v) A requirement that, once the PAL expires, the major stationary
source is subject to the requirements of paragraph (f)(9) of this
section.
(vi) The calculation procedures that the major stationary source
owner or operator shall use to convert the monitoring system data to
monthly emissions and annual emissions based on a 12-month rolling total
for each month as required by paragraph (f)(13)(i) of this section.
(vii) A requirement that the major stationary source owner or
operator monitor all emissions units in accordance with the provisions
under paragraph (f)(12) of this section.
(viii) A requirement to retain the records required under paragraph
(f)(13) of this section on site. Such records may be retained in an
electronic format.
(ix) A requirement to submit the reports required under paragraph
(f)(14) of this section by the required deadlines.
(x) Any other requirements that the reviewing authority deems
necessary to implement and enforce the PAL.
(8) PAL effective period and reopening of the PAL permit. The plan
shall require the information in paragraphs (f)(8)(i) and (ii) of this
section.
(i) PAL effective period. The reviewing authority shall specify a
PAL effective period of 10 years.
(ii) Reopening of the PAL permit. (A) During the PAL effective
period, the plan shall require the reviewing authority to reopen the PAL
permit to:
(1) Correct typographical/calculation errors made in setting the PAL
or reflect a more accurate determination of emissions used to establish
the PAL.
(2) Reduce the PAL if the owner or operator of the major stationary
source creates creditable emissions reductions for use as offsets under
paragraph (a)(3)(ii) of this section.
(3) Revise the PAL to reflect an increase in the PAL as provided
under paragraph (f)(11) of this section.
(B) The plan shall provide the reviewing authority discretion to
reopen the PAL permit for the following:
(1) Reduce the PAL to reflect newly applicable Federal requirements
(for example, NSPS) with compliance dates after the PAL effective date.
(2) Reduce the PAL consistent with any other requirement, that is
enforceable as a practical matter, and that the State may impose on the
major stationary source under the plan.
(3) Reduce the PAL if the reviewing authority determines that a
reduction is necessary to avoid causing or contributing to a NAAQS or
PSD increment violation, or to an adverse impact on an air quality
related value that has been identified for a Federal Class I area by a
Federal Land Manager and for which information is available to the
general public.
(C) Except for the permit reopening in paragraph (f)(8)(ii)(A)(1) of
this section for the correction of typographical/calculation errors that
do not increase the PAL level, all other reopenings shall be carried out
in accordance with the public participation requirements of paragraph
(f)(5) of this section.
(9) Expiration of a PAL. Any PAL which is not renewed in accordance
with the procedures in paragraph (f)(10) of this section shall expire at
the end of the PAL effective period, and the requirements in paragraphs
(f)(9)(i) through (v) of this section shall apply.
(i) Each emissions unit (or each group of emissions units) that
existed under the PAL shall comply with an allowable emission limitation
under a revised permit established according to the procedures in
paragraphs (f)(9)(i)(A) through (B) of this section.
(A) Within the time frame specified for PAL renewals in paragraph
(f)(10)(ii) of this section, the major stationary source shall submit a
proposed allowable emission limitation for each emissions unit (or each
group of emissions units, if such a distribution is more appropriate as
decided by the reviewing authority) by distributing the
[[Page 250]]
PAL allowable emissions for the major stationary source among each of
the emissions units that existed under the PAL. If the PAL had not yet
been adjusted for an applicable requirement that became effective during
the PAL effective period, as required under paragraph (f)(10)(v) of this
section, such distribution shall be made as if the PAL had been
adjusted.
(B) The reviewing authority shall decide whether and how the PAL
allowable emissions will be distributed and issue a revised permit
incorporating allowable limits for each emissions unit, or each group of
emissions units, as the reviewing authority determines is appropriate.
(ii) Each emissions unit(s) shall comply with the allowable emission
limitation on a 12-month rolling basis. The reviewing authority may
approve the use of monitoring systems (source testing, emission factors,
etc.) other than CEMS, CERMS, PEMS or CPMS to demonstrate compliance
with the allowable emission limitation.
(iii) Until the reviewing authority issues the revised permit
incorporating allowable limits for each emissions unit, or each group of
emissions units, as required under paragraph (f)(9)(i)(A) of this
section, the source shall continue to comply with a source-wide, multi-
unit emissions cap equivalent to the level of the PAL emission
limitation.
(iv) Any physical change or change in the method of operation at the
major stationary source will be subject to the nonattainment major NSR
requirements if such change meets the definition of major modification
in paragraph (a)(1)(v) of this section.
(v) The major stationary source owner or operator shall continue to
comply with any State or Federal applicable requirements (BACT, RACT,
NSPS, etc.) that may have applied either during the PAL effective period
or prior to the PAL effective period except for those emission
limitations that had been established pursuant to paragraph (a)(5)(ii)
of this section, but were eliminated by the PAL in accordance with the
provisions in paragraph (f)(1)(iii)(C) of this section.
(10) Renewal of a PAL. (i) The reviewing authority shall follow the
procedures specified in paragraph (f)(5) of this section in approving
any request to renew a PAL for a major stationary source, and shall
provide both the proposed PAL level and a written rationale for the
proposed PAL level to the public for review and comment. During such
public review, any person may propose a PAL level for the source for
consideration by the reviewing authority.
(ii) Application deadline. The plan shall require that a major
stationary source owner or operator shall submit a timely application to
the reviewing authority to request renewal of a PAL. A timely
application is one that is submitted at least 6 months prior to, but not
earlier than 18 months from, the date of permit expiration. This
deadline for application submittal is to ensure that the permit will not
expire before the permit is renewed. If the owner or operator of a major
stationary source submits a complete application to renew the PAL within
this time period, then the PAL shall continue to be effective until the
revised permit with the renewed PAL is issued.
(iii) Application requirements. The application to renew a PAL
permit shall contain the information required in paragraphs
(f)(10)(iii)(A) through (D) of this section.
(A) The information required in paragraphs (f)(3)(i) through (iii)
of this section.
(B) A proposed PAL level.
(C) The sum of the potential to emit of all emissions units under
the PAL (with supporting documentation).
(D) Any other information the owner or operator wishes the reviewing
authority to consider in determining the appropriate level for renewing
the PAL.
(iv) PAL adjustment. In determining whether and how to adjust the
PAL, the reviewing authority shall consider the options outlined in
paragraphs (f)(10)(iv)(A) and (B) of this section. However, in no case
may any such adjustment fail to comply with paragraph (f)(10)(iv)(C) of
this section.
(A) If the emissions level calculated in accordance with paragraph
(f)(6) of this section is equal to or greater than 80 percent of the PAL
level, the reviewing authority may renew the PAL at
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the same level without considering the factors set forth in paragraph
(f)(10)(iv)(B) of this section; or
(B) The reviewing authority may set the PAL at a level that it
determines to be more representative of the source's baseline actual
emissions, or that it determines to be appropriate considering air
quality needs, advances in control technology, anticipated economic
growth in the area, desire to reward or encourage the source's voluntary
emissions reductions, or other factors as specifically identified by the
reviewing authority in its written rationale.
(C) Notwithstanding paragraphs (f)(10)(iv)(A) and (B) of this
section,
(1) If the potential to emit of the major stationary source is less
than the PAL, the reviewing authority shall adjust the PAL to a level no
greater than the potential to emit of the source; and
(2) The reviewing authority shall not approve a renewed PAL level
higher than the current PAL, unless the major stationary source has
complied with the provisions of paragraph (f)(11) of this section
(increasing a PAL).
(v) If the compliance date for a State or Federal requirement that
applies to the PAL source occurs during the PAL effective period, and if
the reviewing authority has not already adjusted for such requirement,
the PAL shall be adjusted at the time of PAL permit renewal or title V
permit renewal, whichever occurs first.
(11) Increasing a PAL during the PAL effective period. (i) The plan
shall require that the reviewing authority may increase a PAL emission
limitation only if the major stationary source complies with the
provisions in paragraphs (f)(11)(i)(A) through (D) of this section.
(A) The owner or operator of the major stationary source shall
submit a complete application to request an increase in the PAL limit
for a PAL major modification. Such application shall identify the
emissions unit(s) contributing to the increase in emissions so as to
cause the major stationary source's emissions to equal or exceed its
PAL.
(B) As part of this application, the major stationary source owner
or operator shall demonstrate that the sum of the baseline actual
emissions of the small emissions units, plus the sum of the baseline
actual emissions of the significant and major emissions units assuming
application of BACT equivalent controls, plus the sum of the allowable
emissions of the new or modified emissions unit(s) exceeds the PAL. The
level of control that would result from BACT equivalent controls on each
significant or major emissions unit shall be determined by conducting a
new BACT analysis at the time the application is submitted, unless the
emissions unit is currently required to comply with a BACT or LAER
requirement that was established within the preceding 10 years. In such
a case, the assumed control level for that emissions unit shall be equal
to the level of BACT or LAER with which that emissions unit must
currently comply.
(C) The owner or operator obtains a major NSR permit for all
emissions unit(s) identified in paragraph (f)(11)(i)(A) of this section,
regardless of the magnitude of the emissions increase resulting from
them (that is, no significant levels apply). These emissions unit(s)
shall comply with any emissions requirements resulting from the
nonattainment major NSR program process (for example, LAER), even though
they have also become subject to the PAL or continue to be subject to
the PAL.
(D) The PAL permit shall require that the increased PAL level shall
be effective on the day any emissions unit that is part of the PAL major
modification becomes operational and begins to emit the PAL pollutant.
(ii) The reviewing authority shall calculate the new PAL as the sum
of the allowable emissions for each modified or new emissions unit, plus
the sum of the baseline actual emissions of the significant and major
emissions units (assuming application of BACT equivalent controls as
determined in accordance with paragraph (f)(11)(i)(B)), plus the sum of
the baseline actual emissions of the small emissions units.
[[Page 252]]
(iii) The PAL permit shall be revised to reflect the increased PAL
level pursuant to the public notice requirements of paragraph (f)(5) of
this section.
(12) Monitoring requirements for PALs--(i) General requirements. (A)
Each PAL permit must contain enforceable requirements for the monitoring
system that accurately determines plantwide emissions of the PAL
pollutant in terms of mass per unit of time. Any monitoring system
authorized for use in the PAL permit must be based on sound science and
meet generally acceptable scientific procedures for data quality and
manipulation. Additionally, the information generated by such system
must meet minimum legal requirements for admissibility in a judicial
proceeding to enforce the PAL permit.
(B) The PAL monitoring system must employ one or more of the four
general monitoring approaches meeting the minimum requirements set forth
in paragraphs (f)(12)(ii)(A) through (D) of this section and must be
approved by the reviewing authority.
(C) Notwithstanding paragraph (f)(12)(i)(B) of this section, you may
also employ an alternative monitoring approach that meets paragraph
(f)(12)(i)(A) of this section if approved by the reviewing authority.
(D) Failure to use a monitoring system that meets the requirements
of this section renders the PAL invalid.
(ii) Minimum Performance Requirements for Approved Monitoring
Approaches. The following are acceptable general monitoring approaches
when conducted in accordance with the minimum requirements in paragraphs
(f)(12)(iii) through (ix) of this section:
(A) Mass balance calculations for activities using coatings or
solvents;
(B) CEMS;
(C) CPMS or PEMS; and
(D) Emission Factors.
(iii) Mass Balance Calculations. An owner or operator using mass
balance calculations to monitor PAL pollutant emissions from activities
using coating or solvents shall meet the following requirements:
(A) Provide a demonstrated means of validating the published content
of the PAL pollutant that is contained in or created by all materials
used in or at the emissions unit;
(B) Assume that the emissions unit emits all of the PAL pollutant
that is contained in or created by any raw material or fuel used in or
at the emissions unit, if it cannot otherwise be accounted for in the
process; and
(C) Where the vendor of a material or fuel, which is used in or at
the emissions unit, publishes a range of pollutant content from such
material, the owner or operator must use the highest value of the range
to calculate the PAL pollutant emissions unless the reviewing authority
determines there is site-specific data or a site-specific monitoring
program to support another content within the range.
(iv) CEMS. An owner or operator using CEMS to monitor PAL pollutant
emissions shall meet the following requirements:
(A) CEMS must comply with applicable Performance Specifications
found in 40 CFR part 60, appendix B; and
(B) CEMS must sample, analyze and record data at least every 15
minutes while the emissions unit is operating.
(v) CPMS or PEMS. An owner or operator using CPMS or PEMS to monitor
PAL pollutant emissions shall meet the following requirements:
(A) The CPMS or the PEMS must be based on current site-specific data
demonstrating a correlation between the monitored parameter(s) and the
PAL pollutant emissions across the range of operation of the emissions
unit; and
(B) Each CPMS or PEMS must sample, analyze, and record data at least
every 15 minutes, or at another less frequent interval approved by the
reviewing authority, while the emissions unit is operating.
(vi) Emission factors. An owner or operator using emission factors
to monitor PAL pollutant emissions shall meet the following
requirements:
(A) All emission factors shall be adjusted, if appropriate, to
account for the degree of uncertainty or limitations in the factors'
development;
(B) The emissions unit shall operate within the designated range of
use for the emission factor, if applicable; and
[[Page 253]]
(C) If technically practicable, the owner or operator of a
significant emissions unit that relies on an emission factor to
calculate PAL pollutant emissions shall conduct validation testing to
determine a site-specific emission factor within 6 months of PAL permit
issuance, unless the reviewing authority determines that testing is not
required.
(vii) A source owner or operator must record and report maximum
potential emissions without considering enforceable emission limitations
or operational restrictions for an emissions unit during any period of
time that there is no monitoring data, unless another method for
determining emissions during such periods is specified in the PAL
permit.
(viii) Notwithstanding the requirements in paragraphs (f)(12)(iii)
through (vii) of this section, where an owner or operator of an
emissions unit cannot demonstrate a correlation between the monitored
parameter(s) and the PAL pollutant emissions rate at all operating
points of the emissions unit, the reviewing authority shall, at the time
of permit issuance:
(A) Establish default value(s) for determining compliance with the
PAL based on the highest potential emissions reasonably estimated at
such operating point(s); or
(B) Determine that operation of the emissions unit during operating
conditions when there is no correlation between monitored parameter(s)
and the PAL pollutant emissions is a violation of the PAL.
(ix) Re-validation. All data used to establish the PAL pollutant
must be re-validated through performance testing or other scientifically
valid means approved by the reviewing authority. Such testing must occur
at least once every 5 years after issuance of the PAL.
(13) Recordkeeping requirements. (i) The PAL permit shall require an
owner or operator to retain a copy of all records necessary to determine
compliance with any requirement of paragraph (f) of this section and of
the PAL, including a determination of each emissions unit's 12-month
rolling total emissions, for 5 years from the date of such record.
(ii) The PAL permit shall require an owner or operator to retain a
copy of the following records for the duration of the PAL effective
period plus 5 years:
(A) A copy of the PAL permit application and any applications for
revisions to the PAL; and
(B) Each annual certification of compliance pursuant to title V and
the data relied on in certifying the compliance.
(14) Reporting and notification requirements. The owner or operator
shall submit semi-annual monitoring reports and prompt deviation reports
to the reviewing authority in accordance with the applicable title V
operating permit program. The reports shall meet the requirements in
paragraphs (f)(14)(i) through (iii).
(i) Semi-Annual Report. The semi-annual report shall be submitted to
the reviewing authority within 30 days of the end of each reporting
period. This report shall contain the information required in paragraphs
(f)(14)(i)(A) through (G) of this section.
(A) The identification of owner and operator and the permit number.
(B) Total annual emissions (tons/year) based on a 12-month rolling
total for each month in the reporting period recorded pursuant to
paragraph (f)(13)(i) of this section.
(C) All data relied upon, including, but not limited to, any Quality
Assurance or Quality Control data, in calculating the monthly and annual
PAL pollutant emissions.
(D) A list of any emissions units modified or added to the major
stationary source during the preceding 6-month period.
(E) The number, duration, and cause of any deviations or monitoring
malfunctions (other than the time associated with zero and span
calibration checks), and any corrective action taken.
(F) A notification of a shutdown of any monitoring system, whether
the shutdown was permanent or temporary, the reason for the shutdown,
the anticipated date that the monitoring system will be fully
operational or replaced with another monitoring system, and whether the
emissions
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unit monitored by the monitoring system continued to operate, and the
calculation of the emissions of the pollutant or the number determined
by method included in the permit, as provided by paragraph (f)(12)(vii)
of this section.
(G) A signed statement by the responsible official (as defined by
the applicable title V operating permit program) certifying the truth,
accuracy, and completeness of the information provided in the report.
(ii) Deviation report. The major stationary source owner or operator
shall promptly submit reports of any deviations or exceedance of the PAL
requirements, including periods where no monitoring is available. A
report submitted pursuant to Sec. 70.6(a)(3)(iii)(B) of this chapter
shall satisfy this reporting requirement. The deviation reports shall be
submitted within the time limits prescribed by the applicable program
implementing Sec. 70.6(a)(3)(iii)(B) of this chapter. The reports shall
contain the following information:
(A) The identification of owner and operator and the permit number;
(B) The PAL requirement that experienced the deviation or that was
exceeded;
(C) Emissions resulting from the deviation or the exceedance; and
(D) A signed statement by the responsible official (as defined by
the applicable title V operating permit program) certifying the truth,
accuracy, and completeness of the information provided in the report.
(iii) Re-validation results. The owner or operator shall submit to
the reviewing authority the results of any re-validation test or method
within 3 months after completion of such test or method.
(15) Transition requirements. (i) No reviewing authority may issue a
PAL that does not comply with the requirements in paragraphs (f)(1)
through (15) of this section after the Administrator has approved
regulations incorporating these requirements into a plan.
(ii) The reviewing authority may supersede any PAL which was
established prior to the date of approval of the plan by the
Administrator with a PAL that complies with the requirements of
paragraphs (f)(1) through (15) of this section.
(g) If any provision of this section, or the application of such
provision to any person or circumstance, is held invalid, the remainder
of this section, or the application of such provision to persons or
circumstances other than those as to which it is held invalid, shall not
be affected thereby.
(h) Equipment replacement provision. Without regard to other
considerations, routine maintenance, repair and replacement includes,
but is not limited to, the replacement of any component of a process
unit with an identical or functionally equivalent component(s), and
maintenance and repair activities that are part of the replacement
activity, provided that all of the requirements in paragraphs (h)(1)
through (3) of this section are met.
(1) Capital Cost threshold for Equipment Replacement. (i) For an
electric utility steam generating unit, as defined in Sec.
51.165(a)(1)(xx), the fixed capital cost of the replacement component(s)
plus the cost of any associated maintenance and repair activities that
are part of the replacement shall not exceed 20 percent of the
replacement value of the process unit, at the time the equipment is
replaced. For a process unit that is not an electric utility steam
generating unit the fixed capital cost of the replacement component(s)
plus the cost of any associated maintenance and repair activities that
are part of the replacement shall not exceed 20 percent of the
replacement value of the process unit, at the time the equipment is
replaced.
(ii) In determining the replacement value of the process unit; and,
except as otherwise allowed under paragraph (h)(1)(iii) of this section,
the owner or operator shall determine the replacement value of the
process unit on an estimate of the fixed capital cost of constructing a
new process unit, or on the current appraised value of the process unit.
(iii) As an alternative to paragraph (h)(1)(ii) of this section for
determining the replacement value of a process unit, an owner or
operator may choose to use insurance value (where the insurance value
covers only complete replacement), investment value adjusted
[[Page 255]]
for inflation, or another accounting procedure if such procedure is
based on Generally Accepted Accounting Principles, provided that the
owner or operator sends a notice to the reviewing authority. The first
time that an owner or operator submits such a notice for a particular
process unit, the notice may be submitted at any time, but any
subsequent notice for that process unit may be submitted only at the
beginning of the process unit's fiscal year. Unless the owner or
operator submits a notice to the reviewing authority, then paragraph
(h)(1)(ii) of this section will be used to establish the replacement
value of the process unit. Once the owner or operator submits a notice
to use an alternative accounting procedure, the owner or operator must
continue to use that procedure for the entire fiscal year for that
process unit. In subsequent fiscal years, the owner or operator must
continue to use this selected procedure unless and until the owner or
operator sends another notice to the reviewing authority selecting
another procedure consistent with this paragraph or paragraph (h)(1)(ii)
of this section at the beginning of such fiscal year.
(2) Basic design parameters. The replacement does not change the
basic design parameter(s) of the process unit to which the activity
pertains.
Note to paragraph (h):
By a court order on December 24, 2003, this paragraph (h) is stayed
indefinitely. The stayed provisions will become effective immediately if
the court terminates the stay. At that time, EPA will publish a document
in the Federal Register advising the public of the termination of the
stay.
(i) Except as provided in paragraph (h)(2)(iii) of this section, for
a process unit at a steam electric generating facility, the owner or
operator may select as its basic design parameters either maximum hourly
heat input and maximum hourly fuel consumption rate or maximum hourly
electric output rate and maximum steam flow rate. When establishing fuel
consumption specifications in terms of weight or volume, the minimum
fuel quality based on British Thermal Units content shall be used for
determining the basic design parameter(s) for a coal-fired electric
utility steam generating unit.
(ii) Except as provided in paragraph (h)(2)(iii) of this section,
the basic design parameter(s) for any process unit that is not at a
steam electric generating facility are maximum rate of fuel or heat
input, maximum rate of material input, or maximum rate of product
output. Combustion process units will typically use maximum rate of fuel
input. For sources having multiple end products and raw materials, the
owner or operator should consider the primary product or primary raw
material when selecting a basic design parameter.
(iii) If the owner or operator believes the basic design
parameter(s) in paragraphs (h)(2)(i) and (ii) of this section is not
appropriate for a specific industry or type of process unit, the owner
or operator may propose to the reviewing authority an alternative basic
design parameter(s) for the source's process unit(s). If the reviewing
authority approves of the use of an alternative basic design
parameter(s), the reviewing authority shall issue a permit that is
legally enforceable that records such basic design parameter(s) and
requires the owner or operator to comply with such parameter(s).
(iv) The owner or operator shall use credible information, such as
results of historic maximum capability tests, design information from
the manufacturer, or engineering calculations, in establishing the
magnitude of the basic design parameter(s) specified in paragraphs
(h)(2)(i) and (ii) of this section.
(v) If design information is not available for a process unit, then
the owner or operator shall determine the process unit's basic design
parameter(s) using the maximum value achieved by the process unit in the
five-year period immediately preceding the planned activity.
(vi) Efficiency of a process unit is not a basic design parameter.
(3) The replacement activity shall not cause the process unit to
exceed any emission limitation, or operational limitation that has the
effect of constraining emissions, that applies to the process unit and
that is legally enforceable.
[51 FR 40669, Nov. 7, 1986]
[[Page 256]]
Editorial Note: For Federal Register citations affecting Sec.
51.165, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
Effective Date Notes: 1. At 76 FR 17552, Mar. 30, 2011, Sec.
51.165, paragraphs (a)(1)(v)(G) and (v)(1)(vi)(C)(3) are stayed
indefinitely.
2. At 81 FR 35632, June 3, 2016, Sec. 51.165, was amended by
revising paragraph (a)(1)(ii) to read as follows, effective Aug. 2,
2016. For the convenience of the user, the revised text is set forth as
follows:
Sec. 51.165 Permit requirements.
(a) * * *
(1) * * *
(ii)(A) Building, structure, facility, or installation means all of
the pollutant-emitting activities which belong to the same industrial
grouping, are located on one or more contiguous or adjacent properties,
and are under the control of the same person (or persons under common
control) except the activities of any vessel. Pollutant emitting
activities shall be considered as part of the same industrial grouping
if they belong to the same Major Group (i.e., which have the same two-
digit code) as described in the Standard Industrial Classification
Manual, 1972, as amended by the 1977 Supplement (U.S. Government
Printing Office stock numbers 4101-0065 and 003-005-00176-0,
respectively).
(B) The plan may include the following provision: Notwithstanding
the provisions of paragraph (a)(1)(ii)(A) of this section, building,
structure, facility, or installation means, for onshore activities under
Standard Industrial Classification (SIC) Major Group 13: Oil and Gas
Extraction, all of the pollutant-emitting activities included in Major
Group 13 that are located on one or more contiguous or adjacent
properties, and are under the control of the same person (or persons
under common control). Pollutant emitting activities shall be considered
adjacent if they are located on the same surface site; or if they are
located on surface sites that are located within \1/4\ mile of one
another (measured from the center of the equipment on the surface site)
and they share equipment. Shared equipment includes, but is not limited
to, produced fluids storage tanks, phase separators, natural gas
dehydrators or emissions control devices. Surface site, as used in this
paragraph (a)(1)(ii)(B), has the same meaning as in 40 CFR 63.761.
* * * * *
Sec. 51.166 Prevention of significant deterioration of air quality.
(a)(1) Plan requirements. In accordance with the policy of section
101(b)(1) of the Act and the purposes of section 160 of the Act, each
applicable State Implementation Plan and each applicable Tribal
Implementation Plan shall contain emission limitations and such other
measures as may be necessary to prevent significant deterioration of air
quality.
(2) Plan revisions. If a State Implementation Plan revision would
result in increased air quality deterioration over any baseline
concentration, the plan revision shall include a demonstration that it
will not cause or contribute to a violation of the applicable
increment(s). If a plan revision proposing less restrictive requirements
was submitted after August 7, 1977 but on or before any applicable
baseline date and was pending action by the Administrator on that date,
no such demonstration is necessary with respect to the area for which a
baseline date would be established before final action is taken on the
plan revision. Instead, the assessment described in paragraph (a)(4) of
this section, shall review the expected impact to the applicable
increment(s).
(3) Required plan revision. If the State or the Administrator
determines that a plan is substantially inadequate to prevent
significant deterioration or that an applicable increment is being
violated, the plan shall be revised to correct the inadequacy or the
violation. The plan shall be revised within 60 days of such a finding by
a State or within 60 days following notification by the Administrator,
or by such later date as prescribed by the Administrator after
consultation with the State.
(4) Plan assessment. The State shall review the adequacy of a plan
on a periodic basis and within 60 days of such time as information
becomes available that an applicable increment is being violated.
(5) Public participation. Any State action taken under this
paragraph shall be subject to the opportunity for public hearing in
accordance with procedures equivalent to those established in Sec.
51.102.
(6) Amendments. (i) Any State required to revise its implementation
plan by reason of an amendment to this section, with the exception of
amendments to add new maximum allowable increases or other measures
[[Page 257]]
pursuant to section 166(a) of the Act, shall adopt and submit such plan
revision to the Administrator for approval no later than 3 years after
such amendment is published in the Federal Register. With regard to a
revision to an implementation plan by reason of an amendment to
paragraph (c) of this section to add maximum allowable increases or
other measures, the State shall submit such plan revision to the
Administrator for approval within 21 months after such amendment is
published in the Federal Register.
(ii) Any revision to an implementation plan that would amend the
provisions for the prevention of significant air quality deterioration
in the plan shall specify when and as to what sources and modifications
the revision is to take effect.
(iii) Any revision to an implementation plan that an amendment to
this section required shall take effect no later than the date of its
approval and may operate prospectively.
(7) Applicability. Each plan shall contain procedures that
incorporate the requirements in paragraphs (a)(7)(i) through (vi) of
this section.
(i) The requirements of this section apply to the construction of
any new major stationary source (as defined in paragraph (b)(1) of this
section) or any project at an existing major stationary source in an
area designated as attainment or unclassifiable under sections
107(d)(1)(A)(ii) or (iii) of the Act.
(ii) The requirements of paragraphs (j) through (r) of this section
apply to the construction of any new major stationary source or the
major modification of any existing major stationary source, except as
this section otherwise provides.
(iii) No new major stationary source or major modification to which
the requirements of paragraphs (j) through (r)(5) of this section apply
shall begin actual construction without a permit that states that the
major stationary source or major modification will meet those
requirements.
(iv) Each plan shall use the specific provisions of paragraphs
(a)(7)(iv)(a) through (f) of this section. Deviations from these
provisions will be approved only if the State specifically demonstrates
that the submitted provisions are more stringent than or at least as
stringent in all respects as the corresponding provisions in paragraphs
(a)(7)(iv)(a) through (f) of this section.
(a) Except as otherwise provided in paragraphs (a)(7)(v) and (vi) of
this section, and consistent with the definition of major modification
contained in paragraph (b)(2) of this section, a project is a major
modification for a regulated NSR pollutant if it causes two types of
emissions increases--a significant emissions increase (as defined in
paragraph (b)(39) of this section), and a significant net emissions
increase (as defined in paragraphs (b)(3) and (b)(23) of this section).
The project is not a major modification if it does not cause a
significant emissions increase. If the project causes a significant
emissions increase, then the project is a major modification only if it
also results in a significant net emissions increase.
(b) The procedure for calculating (before beginning actual
construction) whether a significant emissions increase (i.e., the first
step of the process) will occur depends upon the type of emissions units
being modified, according to paragraphs (a)(7)(iv)(c) through (f) of
this section. The procedure for calculating (before beginning actual
construction) whether a significant net emissions increase will occur at
the major stationary source (i.e., the second step of the process) is
contained in the definition in paragraph (b)(3) of this section.
Regardless of any such preconstruction projections, a major modification
results if the project causes a significant emissions increase and a
significant net emissions increase.
(c) Actual-to-projected-actual applicability test for projects that
only involve existing emissions units. A significant emissions increase
of a regulated NSR pollutant is projected to occur if the sum of the
difference between the projected actual emissions (as defined in
paragraph (b)(40) of this section) and the baseline actual emissions (as
defined in paragraphs (b)(47)(i) and (ii) of this section) for each
existing emissions unit, equals or exceeds the significant amount for
that pollutant (as defined in paragraph (b)(23) of this section).
[[Page 258]]
(d) Actual-to-potential test for projects that only involve
construction of a new emissions unit(s). A significant emissions
increase of a regulated NSR pollutant is projected to occur if the sum
of the difference between the potential to emit (as defined in paragraph
(b)(4) of this section) from each new emissions unit following
completion of the project and the baseline actual emissions (as defined
in paragraph (b)(47)(iii) of this section) of these units before the
project equals or exceeds the significant amount for that pollutant (as
defined in paragraph (b)(23) of this section).
(e) [Reserved]
(f) Hybrid test for projects that involve multiple types of
emissions units. A significant emissions increase of a regulated NSR
pollutant is projected to occur if the sum of the emissions increases
for each emissions unit, using the method specified in paragraphs
(a)(7)(iv)(c) through (d) of this section as applicable with respect to
each emissions unit, for each type of emissions unit equals or exceeds
the significant amount for that pollutant (as defined in paragraph
(b)(23) of this section).
(v) The plan shall require that for any major stationary source for
a PAL for a regulated NSR pollutant, the major stationary source shall
comply with requirements under paragraph (w) of this section.
(b) Definitions. All State plans shall use the following definitions
for the purposes of this section. Deviations from the following wording
will be approved only if the State specifically demonstrates that the
submitted definition is more stringent, or at least as stringent, in all
respects as the corresponding definitions below:
(1)(i) Major stationary source means:
(a) Any of the following stationary sources of air pollutants which
emits, or has the potential to emit, 100 tons per year or more of any
regulated NSR pollutant: Fossil fuel-fired steam electric plants of more
than 250 million British thermal units per hour heat input, coal
cleaning plants (with thermal dryers), kraft pulp mills, portland cement
plants, primary zinc smelters, iron and steel mill plants, primary
aluminum ore reduction plants (with thermal dryers), primary copper
smelters, municipal incinerators capable of charging more than 250 tons
of refuse per day, hydrofluoric, sulfuric, and nitric acid plants,
petroleum refineries, lime plants, phosphate rock processing plants,
coke oven batteries, sulfur recovery plants, carbon black plants
(furnace process), primary lead smelters, fuel conversion plants,
sintering plants, secondary metal production plants, chemical process
plants (which does not include ethanol production facilities that
produce ethanol by natural fermentation included in NAICS codes 325193
or 312140), fossil-fuel boilers (or combinations thereof) totaling more
than 250 million British thermal units per hour heat input, petroleum
storage and transfer units with a total storage capacity exceeding
300,000 barrels, taconite ore processing plants, glass fiber processing
plants, and charcoal production plants;
(b) Notwithstanding the stationary source size specified in
paragraph (b)(1)(i)(a) of this section, any stationary source which
emits, or has the potential to emit, 250 tons per year or more of a
regulated NSR pollutant; or
(c) Any physical change that would occur at a stationary source not
otherwise qualifying under paragraph (b)(1) of this section, as a major
stationary source if the change would constitute a major stationary
source by itself.
(ii) A major source that is major for volatile organic compounds or
NOX shall be considered major for ozone.
(iii) The fugitive emissions of a stationary source shall not be
included in determining for any of the purposes of this section whether
it is a major stationary source, unless the source belongs to one of the
following categories of stationary sources:
(a) Coal cleaning plants (with thermal dryers);
(b) Kraft pulp mills;
(c) Portland cement plants;
(d) Primary zinc smelters;
(e) Iron and steel mills;
(f) Primary aluminum ore reduction plants;
(g) Primary copper smelters;
(h) Municipal incinerators capable of charging more than 250 tons of
refuse per day;
[[Page 259]]
(i) Hydrofluoric, sulfuric, or nitric acid plants;
(j) Petroleum refineries;
(k) Lime plants;
(l) Phosphate rock processing plants;
(m) Coke oven batteries;
(n) Sulfur recovery plants;
(o) Carbon black plants (furnace process);
(p) Primary lead smelters;
(q) Fuel conversion plants;
(r) Sintering plants;
(s) Secondary metal production plants;
(t) Chemical process plants--The term chemical processing plant
shall not include ethanol production facilities that produce ethanol by
natural fermentation included in NAICS codes 325193 or 312140;
(u) Fossil-fuel boilers (or combination thereof) totaling more than
250 million British thermal units per hour heat input;
(v) Petroleum storage and transfer units with a total storage
capacity exceeding 300,000 barrels;
(w) Taconite ore processing plants;
(x) Glass fiber processing plants;
(y) Charcoal production plants;
(z) Fossil fuel-fired steam electric plants of more that 250 million
British thermal units per hour heat input;
(aa) Any other stationary source category which, as of August 7,
1980, is being regulated under section 111 or 112 of the Act.
(2)(i) Major modification means any physical change in or change in
the method of operation of a major stationary source that would result
in: a significant emissions increase (as defined in paragraph (b)(39) of
this section) of a regulated NSR pollutant (as defined in paragraph
(b)(49) of this section); and a significant net emissions increase of
that pollutant from the major stationary source.
(ii) Any significant emissions increase (as defined at paragraph
(b)(39) of this section) from any emissions units or net emissions
increase (as defined in paragraph (b)(3) of this section) at a major
stationary source that is significant for volatile organic compounds or
NOX shall be considered significant for ozone.
(iii) A physical change or change in the method of operation shall
not include:
(a) Routine maintenance, repair and replacement. Routine
maintenance, repair and replacement shall include, but not be limited
to, any activity(s) that meets the requirements of the equipment
replacement provisions contained in paragraph (y) of this section;
Note to paragraph (b)(2)(iii)(a):
On December 24, 2003, the second sentence of this paragraph
(b)(2)(iii)(a) is stayed indefinitely by court order. The stayed
provisions will become effective immediately if the court terminates the
stay. At that time, EPA will publish a document in the Federal Register
advising the public of the termination of the stay.
(b) Use of an alternative fuel or raw material by reason of any
order under section 2 (a) and (b) of the Energy Supply and Environmental
Coordination Act of 1974 (or any superseding legislation) or by reason
of a natural gas curtailment plan pursuant to the Federal Power Act;
(c) Use of an alternative fuel by reason of an order or rule under
section 125 of the Act;
(d) Use of an alternative fuel at a steam generating unit to the
extent that the fuel is generated from municipal solid waste;
(e) Use of an alternative fuel or raw material by a stationary
source which:
(1) The source was capable of accommodating before January 6, 1975,
unless such change would be prohibited under any federally enforceable
permit condition which was established after January 6, 1975 pursuant to
40 CFR 52.21 or under regulations approved pursuant to 40 CFR subpart I
or Sec. 51.166; or
(2) The source is approved to use under any permit issued under 40
CFR 52.21 or under regulations approved pursuant to 40 CFR 51.166;
(f) An increase in the hours of operation or in the production rate,
unless such change would be prohibited under any federally enforceable
permit condition which was established after January 6, 1975, pursuant
to 40 CFR 52.21 or under regulations approved pursuant to 40 CFR subpart
I or Sec. 51.166.
(g) Any change in ownership at a stationary source.
(h) [Reserved]
[[Page 260]]
(i) The installation, operation, cessation, or removal of a
temporary clean coal technology demonstration project, provided that the
project complies with:
(1) The State implementation plan for the State in which the project
is located; and
(2) Other requirements necessary to attain and maintain the national
ambient air quality standards during the project and after it is
terminated.
(j) The installation or operation of a permanent clean coal
technology demonstration project that constitutes repowering, provided
that the project does not result in an increase in the potential to emit
of any regulated pollutant emitted by the unit. This exemption shall
apply on a pollutant-by-pollutant basis.
(k) The reactivation of a very clean coal-fired electric utility
steam generating unit.
(iv) This definition shall not apply with respect to a particular
regulated NSR pollutant when the major stationary source is complying
with the requirements under paragraph (w) of this section for a PAL for
that pollutant. Instead, the definition at paragraph (w)(2)(viii) of
this section shall apply.
(v) Fugitive emissions shall not be included in determining for any
of the purposes of this section whether a physical change in or change
in the method of operation of a major stationary source is a major
modification, unless the source belongs to one of the source categories
listed in paragraph (b)(1)(iii) of this section.
(3)(i) Net emissions increase means, with respect to any regulated
NSR pollutant emitted by a major stationary source, the amount by which
the sum of the following exceeds zero:
(a) The increase in emissions from a particular physical change or
change in the method of operation at a stationary source as calculated
pursuant to paragraph (a)(7)(iv) of this section; and
(b) Any other increases and decreases in actual emissions at the
major stationary source that are contemporaneous with the particular
change and are otherwise creditable. Baseline actual emissions for
calculating increases and decreases under this paragraph (b)(3)(i)(b)
shall be determined as provided in paragraph (b)(47), except that
paragraphs (b)(47)(i)(c) and (b)(47)(ii)(d) of this section shall not
apply.
(ii) An increase or decrease in actual emissions is contemporaneous
with the increase from the particular change only if it occurs within a
reasonable period (to be specified by the State) before the date that
the increase from the particular change occurs.
(iii) An increase or decrease in actual emissions is creditable only
if:
(a) It occurs within a reasonable period (to be specified by the
reviewing authority); and
(b) The reviewing authority has not relied on it in issuing a permit
for the source under regulations approved pursuant to this section,
which permit is in effect when the increase in actual emissions from the
particular change occurs; and
(c) The increase or decrease in emissions did not occur at a Clean
Unit, except as provided in paragraphs (t)(8) and (u)(10) of this
section.
(d) As it pertains to an increase or decrease in fugitive emissions
(to the extent quantifiable), it occurs at an emissions unit that is
part of one of the source categories listed in paragraph (b)(1)(iii) of
this section or it occurs at an emission unit that is located at a major
stationary source that belongs to one of the listed source categories.
Fugitive emission increases or decreases are not included for those
emissions units located at a facility whose primary activity is not
represented by one of the source categories listed in paragraph
(b)(1)(iii) of this section and that are not, by themselves, part of a
listed source category.
(iv) An increase or decrease in actual emissions of sulfur dioxide,
particulate matter, or nitrogen oxides that occurs before the applicable
minor source baseline date is creditable only if it is required to be
considered in calculating the amount of maximum allowable increases
remaining available.
(v) An increase in actual emissions is creditable only to the extent
that the new level of actual emissions exceeds the old level.
[[Page 261]]
(vi) A decrease in actual emissions is creditable only to the extent
that:
(a) The old level of actual emissions or the old level of allowable
emissions, whichever is lower, exceeds the new level of actual
emissions;
(b) It is enforceable as a practical matter at and after the time
that actual construction on the particular change begins;
(c) It has approximately the same qualitative significance for
public health and welfare as that attributed to the increase from the
particular change; and
(vii) An increase that results from a physical change at a source
occurs when the emissions unit on which construction occurred becomes
operational and begins to emit a particular pollutant. Any replacement
unit that requires shakedown becomes operational only after a reasonable
shakedown period, not to exceed 180 days.
(viii) Paragraph (b)(21)(ii) of this section shall not apply for
determining creditable increases and decreases.
(4) Potential to emit means the maximum capacity of a stationary
source to emit a pollutant under its physical and operational design.
Any physical or operational limitation on the capacity of the 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 part of its design
if the limitation or the effect it would have on emissions is federally
enforceable. Secondary emissions do not count in determining the
potential to emit of a stationary source.
(5) Stationary source means any building, structure, facility, or
installation which emits or may emit a regulated NSR pollutant.
(6) Building, structure, facility, or installation means all of the
pollutant-emitting activities which belong to the same industrial
grouping, are located on one or more contiguous or adjacent properties,
and are under the control of the same person (or persons under common
control) except the activities of any vessel. Pollutant-emitting
activities shall be considered as part of the same industrial grouping
if they belong to the same Major Group (i.e., which have the same two-
digit code) as described in the Standard Industrial Classification
Manual, 1972, as amended by the 1977 Supplement (U.S. Government
Printing Office stock numbers 4101-0066 and 003-005-00176-0,
respectively).
(7) Emissions unit means any part of a stationary source that emits
or would have the potential to emit any regulated NSR pollutant and
includes an electric utility steam generating unit as defined in
paragraph (b)(30) of this section. For purposes of this section, there
are two types of emissions units as described in paragraphs (b)(7)(i)
and (ii) of this section.
(i) A new emissions unit is any emissions unit that is (or will be)
newly constructed and that has existed for less than 2 years from the
date such emissions unit first operated.
(ii) An existing emissions unit is any emissions unit that does not
meet the requirements in paragraph (b)(7)(i) of this section. A
replacement unit, as defined in paragraph (b)(32) of this section, is an
existing emissions unit.
(8) Construction means any physical change or change in the method
of operation (including fabrication, erection, installation, demolition,
or modification of an emissions unit) that would result in a change in
emissions.
(9) Commence as applied to construction of a major stationary source
or major modification means that the owner or operator has all necessary
preconstruction approvals or permits and either has:
(i) Begun, or caused to begin, a continuous program of actual on-
site construction of the source, to be completed within a reasonable
time; or
(ii) Entered into binding agreements or contractual obligations,
which cannot be cancelled or modified without substantial loss to the
owner or operator, to undertake a program of actual construction of the
source to be completed within a reasonable time.
(10) Necessary preconstruction approvals or permits means those
permits or approvals required under Federal air quality control laws and
regulations and those air quality control laws and regulations which are
part of the applicable State Implementation Plan.
(11) Begin actual construction means, in general, initiation of
physical on-
[[Page 262]]
site construction activities on an emissions unit which are of a
permanent nature. Such activities include, but are not limited to,
installation of building supports and foundations, laying of underground
pipework, and construction of permanent storage structures. With respect
to a change in method of operation this term refers to those on-site
activities, other than preparatory activities, which mark the initiation
of the change.
(12) Best available control technology means an emissions limitation
(including a visible emissions standard) based on the maximum degree of
reduction for each a regulated NSR pollutant which would be emitted from
any proposed major stationary source or major modification which the
reviewing authority, on a case-by-case basis, taking into account
energy, environmental, and economic impacts and other costs, determines
is achievable for such source or modification through application of
production processes or available methods, systems, and techniques,
including fuel cleaning or treatment or innovative fuel combination
techniques for control of such pollutant. In no event shall application
of best available control technology result in emissions of any
pollutant which would exceed the emissions allowed by any applicable
standard under 40 CFR parts 60 and 61. If the reviewing authority
determines that technological or economic limitations on the application
of measurement methodology to a particular emissions unit would make the
imposition of an emissions standard infeasible, a design, equipment,
work practice, operational standard or combination thereof, may be
prescribed instead to satisfy the requirement for the application of
best available control technology. Such standard shall, to the degree
possible, set forth the emissions reduction achievable by implementation
of such design, equipment, work practice or operation, and shall provide
for compliance by means which achieve equivalent results.
(13)(i) Baseline concentration means that ambient concentration
level that exists in the baseline area at the time of the applicable
minor source baseline date. A baseline concentration is determined for
each pollutant for which a minor source baseline date is established and
shall include:
(a) The actual emissions, as defined in paragraph (b)(21) of this
section, representative of sources in existence on the applicable minor
source baseline date, except as provided in paragraph (b)(13)(ii) of
this section;
(b) The allowable emissions of major stationary sources that
commenced construction before the major source baseline date, but were
not in operation by the applicable minor source baseline date.
(ii) The following will not be included in the baseline
concentration and will affect the applicable maximum allowable
increase(s):
(a) Actual emissions, as defined in paragraph (b)(21) of this
section, from any major stationary source on which construction
commenced after the major source baseline date; and
(b) Actual emissions increases and decreases, as defined in
paragraph (b)(21) of this section, at any stationary source occurring
after the minor source baseline date.
(14)(i) Major source baseline date means:
(a) In the case of PM10 and sulfur dioxide, January 6,
1975;
(b) In the case of nitrogen dioxide, February 8, 1988; and
(c) In the case of PM2.5, October 20, 2010.
(ii) Minor source baseline date means the earliest date after the
trigger date on which a major stationary source or a major modification
subject to 40 CFR 52.21 or to regulations approved pursuant to 40 CFR
51.166 submits a complete application under the relevant regulations.
The trigger date is:
(a) In the case of PM10 and sulfur dioxide, August 7,
1977;
(b) In the case of nitrogen dioxide, February 8, 1988; and
(c) In the case of PM2.5, October 20, 2011.
(iii) The baseline date is established for each pollutant for which
increments or other equivalent measures have been established if:
(a) The area in which the proposed source or modification would
construct is designated as attainment or unclassifiable under section
107(d)(1)(A)(ii) or (iii) of the Act for the
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pollutant on the date of its complete application under 40 CFR 52.21 or
under regulations approved pursuant to 40 CFR 51.166; and
(b) In the case of a major stationary source, the pollutant would be
emitted in significant amounts, or, in the case of a major modification,
there would be a significant net emissions increase of the pollutant.
(iv) Any minor source baseline date established originally for the
TSP increments shall remain in effect and shall apply for purposes of
determining the amount of available PM-10 increments, except that the
reviewing authority may rescind any such minor source baseline date
where it can be shown, to the satisfaction of the reviewing authority,
that the emissions increase from the major stationary source, or the net
emissions increase from the major modification, responsible for
triggering that date did not result in a significant amount of PM-10
emissions.
(15)(i) Baseline area means any intrastate area (and every part
thereof) designated as attainment or unclassifiable under section
107(d)(1)(A)(ii) or (iii) of the Act in which the major source or major
modification establishing the minor source baseline date would construct
or would have an air quality impact for the pollutant for which the
baseline date is established, as follows: Equal to or greater than 1 mg/
m\3\ (annual average) for SO2, NO2, or
PM10; or equal or greater than 0.3 mg/m\3\ (annual average)
for PM2.5.
(ii) Area redesignations under section 107(d)(1)(A)(ii) or (iii) of
the Act cannot intersect or be smaller than the area of impact of any
major stationary source or major modification which:
(a) Establishes a minor source baseline date; or
(b) Is subject to 40 CFR 52.21 or under regulations approved
pursuant to 40 CFR 51.166, and would be constructed in the same State as
the State proposing the redesignation.
(iii) Any baseline area established originally for the TSP
increments shall remain in effect and shall apply for purposes of
determining the amount of available PM-10 increments, except that such
baseline area shall not remain in effect if the permit authority
rescinds the corresponding minor source baseline date in accordance with
paragraph (b)(14)(iv) of this section.
(16) Allowable emissions means the emissions rate of a stationary
source calculated using the maximum rated capacity of the source (unless
the source is subject to federally enforceable limits which restrict the
operating rate, or hours of operation, or both) and the most stringent
of the following:
(i) The applicable standards as set forth in 40 CFR parts 60 and 61;
(ii) The applicable State Implementation Plan emissions limitation,
including those with a future compliance date; or
(iii) The emissions rate specified as a federally enforceable permit
condition.
(17) Federally enforceable means all limitations and conditions
which are enforceable by the Administrator, including those requirements
developed pursuant to 40 CFR parts 60 and 61, requirements within any
applicable State implementation plan, any permit requirements
established pursuant to 40 CFR 52.21 or under regulations approved
pursuant to 40 CFR part 51, subpart I, including operating permits
issued under an EPA-approved program that is incorporated into the State
implementation plan and expressly requires adherence to any permit
issued under such program.
(18) Secondary emissions means emissions which occur as a result of
the construction or operation of a major stationary source or major
modification, but do not come from the major stationary source or major
modification itself. For the purposes of this section, secondary
emissions must be specific, well defined, quantifiable, and impact the
same general areas the stationary source modification which causes the
secondary emissions. Secondary emissions include emissions from any
offsite support facility which would not be constructed or increase its
emissions except as a result of the construction or operation of the
major stationary source or major modification. Secondary emissions do
not include any emissions which come directly from a mobile source, such
as emissions from the tailpipe of a motor vehicle, from a train, or from
a vessel.
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(19) Innovative control technology means any system of air pollution
control that has not been adequately demonstrated in practice, but would
have a substantial likelihood of achieving greater continuous emissions
reduction than any control system in current practice or of achieving at
least comparable reductions at lower cost in terms of energy, economics,
or nonair quality environmental impacts.
(20) Fugitive emissions means those emissions which could not
reasonably pass through a stack, chimney, vent, or other functionally
equivalent opening.
(21)(i) Actual emissions means the actual rate of emissions of a
regulated NSR pollutant from an emissions unit, as determined in
accordance with paragraphs (b)(21)(ii) through (iv) of this section,
except that this definition shall not apply for calculating whether a
significant emissions increase has occurred, or for establishing a PAL
under paragraph (w) of this section. Instead, paragraphs (b)(40) and
(b)(47) of this section shall apply for those purposes.
(ii) In general, actual emissions as of a particular date shall
equal the average rate, in tons per year, at which the unit actually
emitted the pollutant during a consecutive 24-month period which
precedes the particular date and which is representative of normal
source operation. The reviewing authority shall allow the use of a
different time period upon a determination that it is more
representative of normal source operation. Actual emissions shall be
calculated using the unit's actual operating hours, production rates,
and types of materials processed, stored, or combusted during the
selected time period.
(iii) The reviewing authority may presume that source-specific
allowable emissions for the unit are equivalent to the actual emissions
of the unit.
(iv) For any emissions unit that has not begun normal operations on
the particular date, actual emissions shall equal the potential to emit
of the unit on that date.
(22) Complete means, in reference to an application for a permit,
that the application contains all the information necessary for
processing the application. Designating an application complete for
purposes of permit processing does not preclude the reviewing authority
from requesting or accepting any additional information.
(23)(i) Significant means, in reference to a net emissions increase
or the potential of a source to emit any of the following pollutants, a
rate of emissions that would equal or exceed any of the following rates:
Pollutant and Emissions Rate
Carbon monoxide: 100 tons per year (tpy)
Nitrogen oxides: 40 tpy
Sulfur dioxide: 40 tpy
Particulate matter: 25 tpy of particulate matter emissions. 15 tpy of
PM10 emissions
PM2.5: 10 tpy of direct PM2.5 emissions; 40 tpy of
sulfur dioxide emissions; 40 tpy of nitrogen oxide emissions unless
demonstrated not to be a PM2.5 precursor under paragraph
(b)(49) of this section
Ozone: 40 tpy of volatile organic compounds or nitrogen oxides
Lead: 0.6 tpy
Fluorides: 3 tpy
Sulfuric acid mist: 7 tpy
Hydrogen sulfide (H2S): 10 tpy
Total reduced sulfur (including H2S): 10 tpy
Reduced sulfur compounds (including H2S): 10 tpy
Municipal waste combustor organics (measured as total tetra-through
octa-chlorinated dibenzo-p-dioxins and dibenzofurans): 3.2 x 10-
-6 megagrams per year (3.5 x 10-6 tons per year)
Municipal waste combustor metals (measured as particulate matter): 14
megagrams per year (15 tons per year)
Municipal waste combustor acid gases (measured as sulfur dioxide and
hydrogen chloride): 36 megagrams per year (40 tons per year)
Municipal solid waste landfill emissions (measured as nonmethane organic
compounds): 45 megagrams per year (50 tons per year)
(ii) Significant means, in reference to a net emissions increase or
the potential of a source to emit a regulated NSR pollutant that
paragraph (b)(23)(i) of this section, does not list, any emissions rate.
(iii) Notwithstanding paragraph (b)(23)(i) of this section,
significant means any emissions rate or any net emissions increase
associated with a major stationary source or major modification, which
would construct within 10 kilometers of a Class I area, and have an
impact on such area equal to or greater than 1 mg/m\3\ (24-hour
average).
[[Page 265]]
(24) Federal Land Manager means, with respect to any lands in the
United States, the Secretary of the department with authority over such
lands.
(25) High terrain means any area having an elevation 900 feet or
more above the base of the stack of a source.
(26) Low terrain means any area other than high terrain.
(27) Indian Reservation means any federally recognized reservation
established by Treaty, Agreement, Executive Order, or Act of Congress.
(28) Indian Governing Body means the governing body of any tribe,
band, or group of Indians subject to the jurisdiction of the United
States and recognized by the United States as possessing power of self-
government.
(29) Volatile organic compounds (VOC) is as defined in Sec.
51.100(s) of this part.
(30) Electric utility steam generating unit means any steam electric
generating unit that is constructed for the purpose of supplying more
than one-third of its potential electric output capacity and more than
25 MW electrical output to any utility power distribution system for
sale. Any steam supplied to a steam distribution system for the purpose
of providing steam to a steam-electric generator that would produce
electrical energy for sale is also considered in determining the
electrical energy output capacity of the affected facility.
(31) [Reserved]
(32) Replacement unit means an emissions unit for which all the
criteria listed in paragraphs (b)(32)(i) through (iv) of this section
are met. No creditable emission reductions shall be generated from
shutting down the existing emissions unit that is replaced.
(i) The emissions unit is a reconstructed unit within the meaning of
Sec. 60.15(b)(1) of this chapter, or the emissions unit completely
takes the place of an existing emissions unit.
(ii) The emissions unit is identical to or functionally equivalent
to the replaced emissions unit.
(iii) The replacement does not change the basic design parameter(s)
(as discussed in paragraph (y)(2) of this section) of the process unit.
(iv) The replaced emissions unit is permanently removed from the
major stationary source, otherwise permanently disabled, or permanently
barred from operation by a permit that is enforceable as a practical
matter. If the replaced emissions unit is brought back into operation,
it shall constitute a new emissions unit.
(33) Clean coal technology means any technology, including
technologies applied at the precombustion, combustion, or post
combustion stage, at a new or existing facility which will achieve
significant reductions in air emissions of sulfur dioxide or oxides of
nitrogen associated with the utilization of coal in the generation of
electricity, or process steam which was not in widespread use as of
November 15, 1990.
(34) Clean coal technology demonstration project means a project
using funds appropriated under the heading ``Department of Energy--Clean
Coal Technology'', up to a total amount of $2,500,000,000 for commercial
demonstration of clean coal technology, or similar projects funded
through appropriations for the Environmental Protection Agency. The
Federal contribution for a qualifying project shall be at least 20
percent of the total cost of the demonstration project.
(35) Temporary clean coal technology demonstration project means a
clean coal technology demonstration project that is operated for a
period of 5 years or less, and which complies with the State
implementation plan for the State in which the project is located and
other requirements necessary to attain and maintain the national ambient
air quality standards during and after the project is terminated.
(36)(i) Repowering means replacement of an existing coal-fired
boiler with one of the following clean coal technologies: atmospheric or
pressurized fluidized bed combustion, integrated gasification combined
cycle, magnetohydrodynamics, direct and indirect coal-fired turbines,
integrated gasification fuel cells, or as determined by the
Administrator, in consultation with the Secretary of Energy, a
derivative of one or more of these technologies, and any other
technology capable of controlling multiple combustion emissions
simultaneously with improved boiler or generation efficiency and with
significantly greater waste
[[Page 266]]
reduction relative to the performance of technology in widespread
commercial use as of November 15, 1990.
(ii) Repowering shall also include any oil and/or gas-fired unit
which has been awarded clean coal technology demonstration funding as of
January 1, 1991, by the Department of Energy.
(iii) The reviewing authority shall give expedited consideration to
permit applications for any source that satisfies the requirements of
this subsection and is granted an extension under section 409 of the
Clean Air Act.
(37) Reactivation of a very clean coal-fired electric utility steam
generating unit means any physical change or change in the method of
operation associated with the commencement of commercial operations by a
coal-fired utility unit after a period of discontinued operation where
the unit:
(i) Has not been in operation for the two-year period prior to the
enactment of the Clean Air Act Amendments of 1990, and the emissions
from such unit continue to be carried in the permitting authority's
emissions inventory at the time of enactment;
(ii) Was equipped prior to shutdown with a continuous system of
emissions control that achieves a removal efficiency for sulfur dioxide
of no less than 85 percent and a removal efficiency for particulates of
no less than 98 percent;
(iii) Is equipped with low-NOX burners prior to the time
of commencement of operations following reactivation; and
(iv) Is otherwise in compliance with the requirements of the Clean
Air Act.
(38) Pollution prevention means any activity that through process
changes, product reformulation or redesign, or substitution of less
polluting raw materials, eliminates or reduces the release of air
pollutants (including fugitive emissions) and other pollutants to the
environment prior to recycling, treatment, or disposal; it does not mean
recycling (other than certain ``in-process recycling'' practices),
energy recovery, treatment, or disposal.
(39) Significant emissions increase means, for a regulated NSR
pollutant, an increase in emissions that is significant (as defined in
paragraph (b)(23) of this section) for that pollutant.
(40)(i) Projected actual emissions means the maximum annual rate, in
tons per year, at which an existing emissions unit is projected to emit
a regulated NSR pollutant in any one of the 5 years (12-month period)
following the date the unit resumes regular operation after the project,
or in any one of the 10 years following that date, if the project
involves increasing the emissions unit's design capacity or its
potential to emit that regulated NSR pollutant, and full utilization of
the unit would result in a significant emissions increase, or a
significant net emissions increase at the major stationary source.
(ii) In determining the projected actual emissions under paragraph
(b)(40)(i) of this section (before beginning actual construction), the
owner or operator of the major stationary source:
(a) Shall consider all relevant information, including but not
limited to, historical operational data, the company's own
representations, the company's expected business activity and the
company's highest projections of business activity, the company's
filings with the State or Federal regulatory authorities, and compliance
plans under the approved plan; and
(b) Shall include fugitive emissions to the extent quantifiable, and
emissions associated with startups, shutdowns, and malfunctions; and
(c) Shall exclude, in calculating any increase in emissions that
results from the particular project, that portion of the unit's
emissions following the project that an existing unit could have
accommodated during the consecutive 24-month period used to establish
the baseline actual emissions under paragraph (b)(47) of this section
and that are also unrelated to the particular project, including any
increased utilization due to product demand growth; or,
(d) In lieu of using the method set out in paragraphs (b)(40)(ii)(a)
through (c) of this section, may elect to use the emissions unit's
potential to emit, in tons per year, as defined under paragraph (b)(4)
of this section.
(41) [Reserved]
(42) Prevention of Significant Deterioration Program (PSD) program
means a
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major source preconstruction permit program that has been approved by
the Administrator and incorporated into the plan to implement the
requirements of this section, or the program in Sec. 52.21 of this
chapter. Any permit issued under such a program is a major NSR permit.
(43) Continuous emissions monitoring system (CEMS) means all of the
equipment that may be required to meet the data acquisition and
availability requirements of this section, to sample, condition (if
applicable), analyze, and provide a record of emissions on a continuous
basis.
(44) Predictive emissions monitoring system (PEMS) means all of the
equipment necessary to monitor process and control device operational
parameters (for example, control device secondary voltages and electric
currents) and other information (for example, gas flow rate, O\2\ or
CO\2\ concentrations), and calculate and record the mass emissions rate
(for example, lb/hr) on a continuous basis.
(45) Continuous parameter monitoring system (CPMS) means all of the
equipment necessary to meet the data acquisition and availability
requirements of this section, to monitor process and control device
operational parameters (for example, control device secondary voltages
and electric currents) and other information (for example, gas flow
rate, O\2\ or CO\2\ concentrations), and to record average operational
parameter value(s) on a continuous basis.
(46) Continuous emissions rate monitoring system (CERMS) means the
total equipment required for the determination and recording of the
pollutant mass emissions rate (in terms of mass per unit of time).
(47) Baseline actual emissions means the rate of emissions, in tons
per year, of a regulated NSR pollutant, as determined in accordance with
paragraphs (b)(47)(i) through (iv) of this section.
(i) For any existing electric utility steam generating unit,
baseline actual emissions means the average rate, in tons per year, at
which the unit actually emitted the pollutant during any consecutive 24-
month period selected by the owner or operator within the 5-year period
immediately preceding when the owner or operator begins actual
construction of the project. The reviewing authority shall allow the use
of a different time period upon a determination that it is more
representative of normal source operation.
(a) The average rate shall include fugitive emissions to the extent
quantifiable, and emissions associated with startups, shutdowns, and
malfunctions.
(b) The average rate shall be adjusted downward to exclude any non-
compliant emissions that occurred while the source was operating above
an emission limitation that was legally enforceable during the
consecutive 24-month period.
(c) For a regulated NSR pollutant, when a project involves multiple
emissions units, only one consecutive 24-month period must be used to
determine the baseline actual emissions for the emissions units being
changed. A different consecutive 24-month period can be used For each
regulated NSR pollutant.
(d) The average rate shall not be based on any consecutive 24-month
period for which there is inadequate information for determining annual
emissions, in tons per year, and for adjusting this amount if required
by paragraph (b)(47)(i)(b) of this section.
(ii) For an existing emissions unit (other than an electric utility
steam generating unit), baseline actual emissions means the average
rate, in tons per year, at which the emissions unit actually emitted the
pollutant during any consecutive 24-month period selected by the owner
or operator within the 10-year period immediately preceding either the
date the owner or operator begins actual construction of the project, or
the date a complete permit application is received by the reviewing
authority for a permit required either under this section or under a
plan approved by the Administrator, whichever is earlier, except that
the 10-year period shall not include any period earlier than November
15, 1990.
(a) The average rate shall include fugitive emissions to the extent
quantifiable, and emissions associated with startups, shutdowns, and
malfunctions.
(b) The average rate shall be adjusted downward to exclude any non-
compliant emissions that occurred while the
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source was operating above an emission limitation that was legally
enforceable during the consecutive 24-month period.
(c) The average rate shall be adjusted downward to exclude any
emissions that would have exceeded an emission limitation with which the
major stationary source must currently comply, had such major stationary
source been required to comply with such limitations during the
consecutive 24-month period. However, if an emission limitation is part
of a maximum achievable control technology standard that the
Administrator proposed or promulgated under part 63 of this chapter, the
baseline actual emissions need only be adjusted if the State has taken
credit for such emissions reductions in an attainment demonstration or
maintenance plan consistent with the requirements of Sec.
51.165(a)(3)(ii)(G).
(d) For a regulated NSR pollutant, when a project involves multiple
emissions units, only one consecutive 24-month period must be used to
determine the baseline actual emissions for the emissions units being
changed. A different consecutive 24-month period can be used For each
regulated NSR pollutant.
(e) The average rate shall not be based on any consecutive 24-month
period for which there is inadequate information for determining annual
emissions, in tons per year, and for adjusting this amount if required
by paragraphs (b)(47)(ii)(b) and (c) of this section.
(iii) For a new emissions unit, the baseline actual emissions for
purposes of determining the emissions increase that will result from the
initial construction and operation of such unit shall equal zero; and
thereafter, for all other purposes, shall equal the unit's potential to
emit.
(iv) For a PAL for a stationary source, the baseline actual
emissions shall be calculated for existing electric utility steam
generating units in accordance with the procedures contained in
paragraph (b)(47)(i) of this section, for other existing emissions units
in accordance with the procedures contained in paragraph (b)(47)(ii) of
this section, and for a new emissions unit in accordance with the
procedures contained in paragraph (b)(47)(iii) of this section.
(48) Subject to regulation means, for any air pollutant, that the
pollutant is subject to either a provision in the Clean Air Act, or a
nationally-applicable regulation codified by the Administrator in
subchapter C of this chapter, that requires actual control of the
quantity of emissions of that pollutant, and that such a control
requirement has taken effect and is operative to control, limit or
restrict the quantity of emissions of that pollutant released from the
regulated activity. Except that:
(i) Greenhouse gases (GHGs), the air pollutant defined in Sec.
86.1818-12(a) of this chapter as the aggregate group of six greenhouse
gases: Carbon dioxide, nitrous oxide, methane, hydrofluorocarbons,
perfluorocarbons, and sulfur hexafluoride, shall not be subject to
regulation except as provided in paragraphs (b)(48)(iv) through (v) of
this section.
(ii) For purposes of paragraphs (b)(48)(iii) through (v) of this
section, the term tpy CO2 equivalent emissions
(CO2e) shall represent an amount of GHGs emitted, and shall
be computed as follows:
(a) Multiplying the mass amount of emissions (tpy), for each of the
six greenhouse gases in the pollutant GHGs, by the gas's associated
global warming potential published at Table A-1 to subpart A of part 98
of this chapter--Global Warming Potentials. For purposes of this
paragraph (b)(48)(ii)(a), prior to July 21, 2014, the mass of the
greenhouse gas carbon dioxide shall not include carbon dioxide emissions
resulting from the combustion or decomposition of non-fossilized and
biodegradable organic material originating from plants, animals, or
micro-organisms (including products, by-products, residues and waste
from agriculture, forestry and related industries as well as the non-
fossilized and biodegradable organic fractions of industrial and
municipal wastes, including gases and liquids recovered from the
decomposition of non-fossilized and biodegradable organic material).
(b) Sum the resultant value from paragraph (b)(48)(ii)(a) of this
section for each gas to compute a tpy CO2e.
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(iii) The term emissions increase as used in paragraphs (b)(48)(iv)
through (v) of this section shall mean that both a significant emissions
increase (as calculated using the procedures in (a)(7)(iv) of this
section) and a significant net emissions increase (as defined in
paragraphs (b)(3) and (b)(23) of this section) occur. For the pollutant
GHGs, an emissions increase shall be based on tpy CO2e, and
shall be calculated assuming the pollutant GHGs is a regulated NSR
pollutant, and ``significant'' is defined as 75,000 tpy CO2e
instead of applying the value in paragraph (b)(23)(ii) of this section.
(iv) Beginning January 2, 2011, the pollutant GHGs is subject to
regulation if:
(a) The stationary source is a new major stationary source for a
regulated NSR pollutant that is not GHGs, and also will emit or will
have the potential to emit 75,000 tpy CO2e or more; or
(b) The stationary source is an existing major stationary source for
a regulated NSR pollutant that is not GHGs, and also will have an
emissions increase of a regulated NSR pollutant, and an emissions
increase of 75,000 tpy CO2e or more; and,
(49) Regulated NSR pollutant, for purposes of this section, means
the following:
(i) Any pollutant for which a national ambient air quality standard
has been promulgated. This includes, but is not limited to, the
following:
(a) PM2.5 emissions and PM10 emissions shall
include gaseous emissions from a source or activity which condense to
form particulate matter at ambient temperatures. On or after January 1,
2011, such condensable particulate matter shall be accounted for in
applicability determinations and in establishing emissions limitations
for PM2.5 and PM10 in PSD permits. Compliance with
emissions limitations for PM2.5 and PM10 issued
prior to this date shall not be based on condensable particulate matter
unless required by the terms and conditions of the permit or the
applicable implementation plan. Applicability determinations made prior
to this date without accounting for condensable particulate matter shall
not be considered in violation of this section unless the applicable
implementation plan required condensable particulate matter to be
included;
(b) Any pollutant identified under this paragraph (b)(49)(i)(b) as a
constituent or precursor to a pollutant for which a national ambient air
quality standard has been promulgated. Precursors identified by the
Administrator for purposes of NSR are the following:
(1) Volatile organic compounds and nitrogen oxides are precursors to
ozone in all attainment and unclassifiable areas.
(2) Sulfur dioxide is a precursor to PM2.5 in all
attainment and unclassifiable areas.
(3) Nitrogen oxides are presumed to be precursors to
PM2.5 in all attainment and unclassifiable areas, unless the
State demonstrates to the Administrator's satisfaction or EPA
demonstrates that emissions of nitrogen oxides from sources in a
specific area are not a significant contributor to that area's ambient
PM2.5 concentrations.
(4) Volatile organic compounds are presumed not to be precursors to
PM2.5 in any attainment or unclassifiable area, unless the
State demonstrates to the Administrator's satisfaction or EPA
demonstrates that emissions of volatile organic compounds from sources
in a specific area are a significant contributor to that area's ambient
PM2.5 concentrations.
(ii) Any pollutant that is subject to any standard promulgated under
section 111 of the Act;
(iii) Any Class I or II substance subject to a standard promulgated
under or established by title VI of the Act;
(iv) Any pollutant that otherwise is subject to regulation under the
Act as defined in paragraph (b)(48) of this section.
(v) Notwithstanding paragraphs (b)(49)(i) through (iv) of this
section, the term regulated NSR pollutant shall not include any or all
hazardous air pollutants either listed in section 112 of the Act, or
added to the list pursuant to section 112(b)(2) of the Act, and which
have not been delisted pursuant to section 112(b)(3) of the Act, unless
the listed hazardous air pollutant is
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also regulated as a constituent or precursor of a general pollutant
listed under section 108 of the Act.
(50) Reviewing authority means the State air pollution control
agency, local agency, other State agency, Indian tribe, or other agency
authorized by the Administrator to carry out a permit program under
Sec. 51.165 and this section, or the Administrator in the case of EPA-
implemented permit programs under Sec. 52.21 of this chapter.
(51) Project means a physical change in, or change in method of
operation of, an existing major stationary source.
(52) Lowest achievable emission rate (LAER) is as defined in Sec.
51.165(a)(1)(xiii).
(53)(i) In general, process unit means any collection of structures
and/or equipment that processes, assembles, applies, blends, or
otherwise uses material inputs to produce or store an intermediate or a
completed product. A single stationary source may contain more than one
process unit, and a process unit may contain more than one emissions
unit.
(ii) Pollution control equipment is not part of the process unit,
unless it serves a dual function as both process and control equipment.
Administrative and warehousing facilities are not part of the process
unit.
(iii) For replacement cost purposes, components shared between two
or more process units are proportionately allocated based on capacity.
(iv) The following list identifies the process units at specific
categories of stationary sources.
(a) For a steam electric generating facility, the process unit
consists of those portions of the plant that contribute directly to the
production of electricity. For example, at a pulverized coal-fired
facility, the process unit would generally be the combination of those
systems from the coal receiving equipment through the emission stack
(excluding post-combustion pollution controls), including the coal
handling equipment, pulverizers or coal crushers, feedwater heaters, ash
handling, boiler, burners, turbine-generator set, condenser, cooling
tower, water treatment system, air preheaters, and operating control
systems. Each separate generating unit is a separate process unit.
(b) For a petroleum refinery, there are several categories of
process units: those that separate and/or distill petroleum feedstocks;
those that change molecular structures; petroleum treating processes;
auxiliary facilities, such as steam generators and hydrogen production
units; and those that load, unload, blend or store intermediate or
completed products.
(c) For an incinerator, the process unit would consist of components
from the feed pit or refuse pit to the stack, including conveyors,
combustion devices, heat exchangers and steam generators, quench tanks,
and fans.
Note to paragraph (b)(53):
By a court order on December 24, 2003, this paragraph (b)(53) is
stayed indefinitely. The stayed provisions will become effective
immediately if the court terminates the stay. At that time, EPA will
publish a document in the Federal Register advising the public of the
termination of the stay.
(54) Functionally equivalent component means a component that serves
the same purpose as the replaced component.
Note to paragraph (b)(54):
By a court order on December 24, 2003, this paragraph (b)(54) is
stayed indefinitely. The stayed provisions will become effective
immediately if the court terminates the stay. At that time, EPA will
publish a document in the Federal Register advising the public of the
termination of the stay.
(55) Fixed capital cost means the capital needed to provide all the
depreciable components. ``Depreciable components'' refers to all
components of fixed capital cost and is calculated by subtracting land
and working capital from the total capital investment, as defined in
paragraph (b)(56) of this section.
Note to paragraph (b)(55):
By a court order on December 24, 2003, this paragraph (b)(55) is
stayed indefinitely. The stayed provisions will become effective
immediately if the court terminates the stay. At that time, EPA will
publish a document in the Federal Register advising the public of the
termination of the stay.
(56) Total capital investment means the sum of the following: all
costs required to purchase needed process equipment (purchased equipment
costs); the costs
[[Page 271]]
of labor and materials for installing that equipment (direct
installation costs); the costs of site preparation and buildings; other
costs such as engineering, construction and field expenses, fees to
contractors, startup and performance tests, and contingencies (indirect
installation costs); land for the process equipment; and working capital
for the process equipment.
Note to paragraph (b)(56):
By a court order on December 24, 2003, this paragraph (b)(56) is
stayed indefinitely. The stayed provisions will become effective
immediately if the court terminates the stay. At that time, EPA will
publish a document in the Federal Register advising the public of the
termination of the stay.
(c) Ambient air increments and other measures. (1) The plan shall
contain emission limitations and such other measures as may be necessary
to assure that in areas designated as Class I, II, or III, increases in
pollutant concentrations over the baseline concentration shall be
limited to the following:
------------------------------------------------------------------------
Maximum
allowable
increase
Pollutant (micrograms
per cubic
meter)
------------------------------------------------------------------------
Class I Area
------------------------------------------------------------------------
PM2.5:
Annual arithmetic mean.............................. 1
24-hr maximum....................................... 2
PM10:
Annual arithmetic mean.............................. 4
24-hr maximum....................................... 8
Sulfur dioxide:
Annual arithmetic mean.............................. 2
24-hr maximum....................................... 5
3-hr maximum........................................ 25
Nitrogen dioxide:
Annual arithmetic mean.............................. 2.5
------------------------------------------------------------------------
Class II Area
------------------------------------------------------------------------
PM2.5:
Annual arithmetic mean.............................. 4
24-hr maximum....................................... 9
PM10:
Annual arithmetic mean.............................. 17
24-hr maximum....................................... 30
Sulfur dioxide:
Annual arithmetic mean.............................. 20
24-hr maximum....................................... 91
3-hr maximum........................................ 512
Nitrogen dioxide:
Annual arithmetic mean.............................. 25
------------------------------------------------------------------------
Class III Area
------------------------------------------------------------------------
PM2.5:
Annual arithmetic mean.............................. 8
24-hr maximum....................................... 18
PM10:
Annual arithmetic mean.............................. 34
24-hr maximum....................................... 60
Sulfur dioxide:
Annual arithmetic mean.............................. 40
24-hr maximum....................................... 182
3-hr maximum........................................ 700
Nitrogen dioxide:
Annual arithmetic mean.............................. 50
------------------------------------------------------------------------
For any period other than an annual period, the applicable maximum
allowable increase may be exceeded during one such period per year at
any one location.
[[Page 272]]
(2) Where the State can demonstrate that it has alternative measures
in its plan other than maximum allowable increases as defined under
paragraph (c)(1) of this section, that satisfy the requirements in
sections 166(c) and 166(d) of the Clean Air Act for a regulated NSR
pollutant for which the Administrator has established maximum allowable
increases pursuant to section 166(a) of the Act, the requirements for
maximum allowable increases for that pollutant under paragraph (c)(1) of
this section shall not apply upon approval of the plan by the
Administrator. The following regulated NSR pollutants are eligible for
such treatment:
(i) Nitrogen dioxide.
(ii) PM2.5.
(d) Ambient air ceilings. The plan shall provide that no
concentration of a pollutant shall exceed:
(1) The concentration permitted under the national secondary ambient
air quality standard, or
(2) The concentration permitted under the national primary ambient
air quality standard, whichever concentration is lowest for the
pollutant for a period of exposure.
(e) Restrictions on area classifications. The plan shall provide
that--
(1) All of the following areas which were in existence on August 7,
1977, shall be Class I areas and may not be redesignated:
(i) International parks,
(ii) National wilderness areas which exceed 5,000 acres in size,
(iii) National memorial parks which exceed 5,000 acres in size, and
(iv) National parks which exceed 6,000 acres in size.
(2) Areas which were redesignated as Class I under regulations
promulgated before August 7, 1977, shall remain Class I, but may be
redesignated as provided in this section.
(3) Any other area, unless otherwise specified in the legislation
creating such an area, is initially designated Class II, but may be
redesignated as provided in this section.
(4) The following areas may be redesignated only as Class I or II:
(i) An area which as of August 7, 1977, exceeded 10,000 acres in
size and was a national monument, a national primitive area, a national
preserve, a national recreational area, a national wild and scenic
river, a national wildlife refuge, a national lakeshore or seashore; and
(ii) A national park or national wilderness area established after
August 7, 1977, which exceeds 10,000 acres in size.
(f) Exclusions from increment consumption. (1) The plan may provide
that the following concentrations shall be excluded in determining
compliance with a maximum allowable increase:
(i) Concentrations attributable to the increase in emissions from
stationary sources which have converted from the use of petroleum
products, natural gas, or both by reason of an order in effect under
section 2 (a) and (b) of the Energy Supply and Environmental
Coordination Act of 1974 (or any superseding legislation) over the
emissions from such sources before the effective date of such an order;
(ii) Concentrations attributable to the increase in emissions from
sources which have converted from using natural gas by reason of natural
gas curtailment plan in effect pursuant to the Federal Power Act over
the emissions from such sources before the effective date of such plan;
(iii) Concentrations of particulate matter attributable to the
increase in emissions from construction or other temporary emission-
related activities of new or modified sources;
(iv) The increase in concentrations attributable to new sources
outside the United States over the concentrations attributable to
existing sources which are included in the baseline concentration; and
(v) Concentrations attributable to the temporary increase in
emissions of sulfur dioxide, particulate matter, or nitrogen oxides from
stationary sources which are affected by plan revisions approved by the
Administrator as meeting the criteria specified in paragraph (f)(4) of
this section.
(2) If the plan provides that the concentrations to which paragraph
(f)(1) (i) or (ii) of this section, refers shall be excluded, it shall
also provide that no exclusion of such concentrations shall apply more
than five years after the effective date of the order to which paragraph
(f)(1)(i) of this section, refers or the plan to which paragraph
(f)(1)(ii) of
[[Page 273]]
this section, refers, whichever is applicable. If both such order and
plan are applicable, no such exclusion shall apply more than five years
after the later of such effective dates.
(3) [Reserved]
(4) For purposes of excluding concentrations pursuant to paragraph
(f)(1)(v) of this section, the Administrator may approve a plan revision
that:
(i) Specifies the time over which the temporary emissions increase
of sulfur dioxide, particulate matter, or nitrogen oxides would occur.
Such time is not to exceed 2 years in duration unless a longer time is
approved by the Administrator.
(ii) Specifies that the time period for excluding certain
contributions in accordance with paragraph (f)(4)(i) of this section, is
not renewable;
(iii) Allows no emissions increase from a stationary source which
would:
(a) Impact a Class I area or an area where an applicable increment
is known to be violated; or
(b) Cause or contribute to the violation of a national ambient air
quality standard;
(iv) Requires limitations to be in effect the end of the time period
specified in accordance with paragraph (f)(4)(i) of this section, which
would ensure that the emissions levels from stationary sources affected
by the plan revision would not exceed those levels occurring from such
sources before the plan revision was approved.
(g) Redesignation. (1) The plan shall provide that all areas of the
State (except as otherwise provided under paragraph (e) of this section)
shall be designated either Class I, Class II, or Class III. Any
designation other than Class II shall be subject to the redesignation
procedures of this paragraph. Redesignation (except as otherwise
precluded by paragraph (e) of this section) may be proposed by the
respective States or Indian Governing Bodies, as provided below, subject
to approval by the Administrator as a revision to the applicable State
implementation plan.
(2) The plan may provide that the State may submit to the
Administrator a proposal to redesignate areas of the State Class I or
Class II: Provided, That:
(i) At least one public hearing has been held in accordance with
procedures established in Sec. 51.102.
(ii) Other States, Indian Governing Bodies, and Federal Land
Managers whose lands may be affected by the proposed redesignation were
notified at least 30 days prior to the public hearing;
(iii) A discussion of the reasons for the proposed redesignation,
including a satisfactory description and analysis of the health,
environmental, economic, social, and energy effects of the proposed
redesignation, was prepared and made available for public inspection at
least 30 days prior to the hearing and the notice announcing the hearing
contained appropriate notification of the availability of such
discussion;
(iv) Prior to the issuance of notice respecting the redesignation of
an area that includes any Federal lands, the State has provided written
notice to the appropriate Federal Land Manager and afforded adequate
opportunity (not in excess of 60 days) to confer with the State
respecting the redesignation and to submit written comments and
recommendations. In redesignating any area with respect to which any
Federal Land Manager had submitted written comments and recommendations,
the State shall have published a list of any inconsistency between such
redesignation and such comments and recommendations (together with the
reasons for making such redesignation against the recommendation of the
Federal Land Manager); and
(v) The State has proposed the redesignation after consultation with
the elected leadership of local and other substate general purpose
governments in the area covered by the proposed redesignation.
(3) The plan may provide that any area other than an area to which
paragraph (e) of this section refers may be redesignated as Class III
if--
(i) The redesignation would meet the requirements of provisions
established in accordance with paragraph (g)(2) of this section;
(ii) The redesignation, except any established by an Indian
Governing Body, has been specifically approved by the Governor of the
State, after consultation with the appropriate committees
[[Page 274]]
of the legislature, if it is in session, or with the leadership of the
legislature, if it is not in session (unless State law provides that
such redesignation must be specifically approved by State legislation)
and if general purpose units of local government representing a majority
of the residents of the area to be redesignated enact legislation
(including resolutions where appropriate) concurring in the
redesignation;
(iii) The redesignation would not cause, or contribute to, a
concentration of any air pollutant which would exceed any maximum
allowable increase permitted under the classification of any other area
or any national ambient air quality standard; and
(iv) Any permit application for any major stationary source or major
modification subject to provisions established in accordance with
paragraph (l) of this section which could receive a permit only if the
area in question were redesignated as Class III, and any material
submitted as part of that application, were available, insofar as was
practicable, for public inspection prior to any public hearing on
redesignation of any area as Class III.
(4) The plan shall provide that lands within the exterior boundaries
of Indian Reservations may be redesignated only by the appropriate
Indian Governing Body. The appropriate Indian Governing Body may submit
to the Administrator a proposal to redesignate areas Class I, Class II,
or Class III: Provided, That:
(i) The Indian Governing Body has followed procedures equivalent to
those required of a State under paragraphs (g) (2), (3)(iii), and
(3)(iv) of this section; and
(ii) Such redesignation is proposed after consultation with the
State(s) in which the Indian Reservation is located and which border the
Indian Reservation.
(5) The Administrator shall disapprove, within 90 days of
submission, a proposed redesignation of any area only if he finds, after
notice and opportunity for public hearing, that such redesignation does
not meet the procedural requirements of this section or is inconsistent
with paragraph (e) of this section. If any such disapproval occurs, the
classification of the area shall be that which was in effect prior to
the redesignation which was disapproved.
(6) If the Administrator disapproves any proposed area designation,
the State or Indian Governing Body, as appropriate, may resubmit the
proposal after correcting the deficiencies noted by the Administrator.
(h) Stack heights. The plan shall provide, as a minimum, that the
degree of emission limitation required for control of any air pollutant
under the plan shall not be affected in any manner by--
(1) So much of a stack height, not in existence before December 31,
1970, as exceeds good engineering practice, or
(2) Any other dispersion technique not implemented before then.
(i) Exemptions. (1) The plan may provide that requirements
equivalent to those contained in paragraphs (j) through (r) of this
section do not apply to a particular major stationary source or major
modification if:
(i) The major stationary source would be a nonprofit health or
nonprofit educational institution or a major modification that would
occur at such an institution; or
(ii) The source or modification would be a major stationary source
or major modification only if fugitive emissions, to the extent
quantifiable, are considered in calculating the potential to emit of the
stationary source or modification and such source does not belong to any
of the following categories:
(a) Coal cleaning plants (with thermal dryers);
(b) Kraft pulp mills;
(c) Portland cement plants;
(d) Primary zinc smelters;
(e) Iron and steel mills;
(f) Primary aluminum ore reduction plants;
(g) Primary copper smelters;
(h) Municipal incinerators capable of charging more than 250 tons of
refuse per day;
(i) Hydrofluoric, sulfuric, or nitric acid plants;
(j) Petroleum refineries;
(k) Lime plants;
(l) Phosphate rock processing plants;
(m) Coke oven batteries;
(n) Sulfur recovery plants;
(o) Carbon black plants (furnace process);
[[Page 275]]
(p) Primary lead smelters;
(q) Fuel conversion plants;
(r) Sintering plants;
(s) Secondary metal production plants;
(t) Chemical process plants--The term chemical processing plant
shall not include ethanol production facilities that produce ethanol by
natural fermentation included in NAICS codes 325193 or 312140;
(u) Fossil-fuel boilers (or combination thereof) totaling more than
250 million British thermal units per hour heat input;
(v) Petroleum storage and transfer units with a total storage
capacity exceeding 300,000 barrels;
(w) Taconite ore processing plants;
(x) Glass fiber processing plants;
(y) Charcoal production plants;
(z) Fossil fuel-fired steam electric plants of more than 250 million
British thermal units per hour heat input;
(aa) Any other stationary source category which, as of August 7,
1980, is being regulated under section 111 or 112 of the Act; or
(iii) The source or modification is a portable stationary source
which has previously received a permit under requirements equivalent to
those contained in paragraphs (j) through (r) of this section, if:
(a) The source proposes to relocate and emissions of the source at
the new location would be temporary; and
(b) The emissions from the source would not exceed its allowable
emissions; and
(c) The emissions from the source would impact no Class I area and
no area where an applicable increment is known to be violated; and
(d) Reasonable notice is given to the reviewing authority prior to
the relocation identifying the proposed new location and the probable
duration of operation at the new location. Such notice shall be given to
the reviewing authority not less than 10 days in advance of the proposed
relocation unless a different time duration is previously approved by
the reviewing authority.
(2) The plan may provide that requirements equivalent to those
contained in paragraphs (j) through (r) of this section do not apply to
a major stationary source or major modification with respect to a
particular pollutant if the owner or operator demonstrates that, as to
that pollutant, the source or modification is located in an area
designated as nonattainment under section 107 of the Act. Nonattainment
designations for revoked NAAQS, as contained in part 81 of this chapter,
shall not be viewed as current designations under section 107 of the Act
for purposes of determining the applicability of requirements equivalent
to those contained in paragraphs (j) through (r) of this section to a
major stationary source or major modification after the revocation of
that NAAQS is effective.
(3) The plan may provide that requirements equivalent to those
contained in paragraphs (k), (m), and (o) of this section do not apply
to a proposed major stationary source or major modification with respect
to a particular pollutant, if the allowable emissions of that pollutant
from a new source, or the net emissions increase of that pollutant from
a modification, would be temporary and impact no Class I area and no
area where an applicable increment is known to be violated.
(4) The plan may provide that requirements equivalent to those
contained in paragraphs (k), (m), and (o) of this section as they relate
to any maximum allowable increase for a Class II area do not apply to a
modification of a major stationary source that was in existence on March
1, 1978, if the net increase in allowable emissions of each a regulated
NSR pollutant from the modification after the application of best
available control technology would be less than 50 tons per year.
(5) The plan may provide that the reviewing authority may exempt a
proposed major stationary source or major modification from the
requirements of paragraph (m) of this section, with respect to
monitoring for a particular pollutant, if:
(i) The emissions increase of the pollutant from a new stationary
source or the net emissions increase of the pollutant from a
modification would cause, in any area, air quality impacts less than the
following amounts:
(a) Carbon monoxide--575 ug/m\3\, 8-hour average;
[[Page 276]]
(b) Nitrogen dioxide--14 ug/m\3\, annual average;
(c) PM2.5--0 mg/m\3\;
Note to paragraph (i)(5)(i)(c):
In accordance with Sierra Club v. EPA, 706 F.3d 428 (D.C. Cir.
2013), no exemption is available with regard to PM2.5.
(d) PM10-10 mg/m\3\, 24-hour average;
(e) Sulfur dioxide--13 ug/m\3\, 24-hour average;
(f) Ozone; \1\
---------------------------------------------------------------------------
\1\ No de minimis air quality level is provided for ozone. However,
any net emissions increase of 100 tons per year or more of volatile
organic compounds or nitrogen oxides subject to PSD would be required to
perform an ambient impact analysis, including the gathering of air
quality data.
---------------------------------------------------------------------------
(g) Lead--0.1 mg/m\3\, 3-month average.
(h) Fluorides--0.25 mg/m\3\, 24-hour average;
(i) Total reduced sulfur--10 mg/m\3\, 1-hour average
(j) Hydrogen sulfide--0.2 mg/m\3\, 1-hour average;
(k) Reduced sulfur compounds--10 mg/m\3\, 1-hour average; or
(ii) The concentrations of the pollutant in the area that the source
or modification would affect are less than the concentrations listed in
paragraph (i)(5)(i) of this section; or
(iii) The pollutant is not listed in paragraph (i)(5)(i) of this
section.
(6) If EPA approves a plan revision under 40 CFR 51.166 as in effect
before August 7, 1980, any subsequent revision which meets the
requirements of this section may contain transition provisions which
parallel the transition provisions of 40 CFR 52.21(i)(9), (i)(10) and
(m)(1)(v) as in effect on that date, which provisions relate to
requirements for best available control technology and air quality
analyses. Any such subsequent revision may not contain any transition
provision which in the context of the revision would operate any less
stringently than would its counterpart in 40 CFR 52.21.
(7) If EPA approves a plan revision under Sec. 51.166 as in effect
[before July 31, 1987], any subsequent revision which meets the
requirements of this section may contain transition provisions which
parallel the transition provisions of Sec. 52.21 (i)(11), and (m)(1)
(vii) and (viii) of this chapter as in effect on that date, these
provisions being related to monitoring requirements for particulate
matter. Any such subsequent revision may not contain any transition
provision which in the context of the revision would operate any less
stringently than would its counterpart in Sec. 52.21 of this chapter.
(8) The plan may provide that the permitting requirements equivalent
to those contained in paragraph (k)(1)(ii) of this section do not apply
to a stationary source or modification with respect to any maximum
allowable increase for nitrogen oxides if the owner or operator of the
source or modification submitted an application for a permit under the
applicable permit program approved or promulgated under the Act before
the provisions embodying the maximum allowable increase took effect as
part of the plan and the permitting authority subsequently determined
that the application as submitted before that date was complete.
(9) The plan may provide that the permitting requirements equivalent
to those contained in paragraph (k)(1)(ii) of this section shall not
apply to a stationary source or modification with respect to any maximum
allowable increase for PM-10 if (i) the owner or operator of the source
or modification submitted an application for a permit under the
applicable permit program approved under the Act before the provisions
embodying the maximum allowable increases for PM-10 took effect as part
of the plan, and (ii) the permitting authority subsequently determined
that the application as submitted before that date was complete.
Instead, the applicable requirements equivalent to paragraph (k)(1)(ii)
shall apply with respect to the maximum allowable increases for TSP as
in effect on the date the application was submitted.
(10) The plan may provide that the requirements of paragraph (k)(1)
of this section shall not apply to a stationary source or modification
with respect to the national ambient air quality standards for
PM2.5 in effect on March 18, 2013 if:
(i) The reviewing authority has determined a permit application
subject
[[Page 277]]
to this section to be complete on or before December 14, 2012. Instead,
the requirements in paragraph (k)(1) of this section shall apply with
respect to the national ambient air quality standards for
PM2.5 in effect at the time the reviewing authority
determined the permit application to be complete; or
(ii) The reviewing authority has first published before March 18,
2013 a public notice of a preliminary determination for the permit
application subject to this section. Instead, the requirements in
paragraph (k)(1) of this section shall apply with respect to the
national ambient air quality standards for PM2.5 in effect at
the time of first publication of a public notice on the preliminary
determination.
(11) The plan may provide that the requirements of paragraph (k)(1)
of this section shall not apply to a permit application for a stationary
source or modification with respect to the revised national ambient air
quality standards for ozone published on October 26, 2015 if:
(i) The reviewing authority has determined the permit application
subject to this section to be complete on or before October 1, 2015.
Instead, the requirements in paragraph (k)(1) of this section shall
apply with respect to the national ambient air quality standards for
ozone in effect at the time the reviewing authority determined the
permit application to be complete; or
(ii) The reviewing authority has first published before December 28,
2015 a public notice of a preliminary determination or draft permit for
the permit application subject to this section. Instead, the
requirements in paragraph (k)(1) of this section shall apply with
respect to the national ambient air quality standards for ozone in
effect at the time of first publication of a public notice of the
preliminary determination or draft permit.
(j) Control technology review. The plan shall provide that:
(1) A major stationary source or major modification shall meet each
applicable emissions limitation under the State Implementation Plan and
each applicable emission standards and standard of performance under 40
CFR parts 60 and 61.
(2) A new major stationary source shall apply best available control
technology for each a regulated NSR pollutant that it would have the
potential to emit in significant amounts.
(3) A major modification shall apply best available control
technology for each a regulated NSR pollutant for which it would be a
significant net emissions increase at the source. This requirement
applies to each proposed emissions unit at which a net emissions
increase in the pollutant would occur as a result of a physical change
or change in the method of operation in the unit.
(4) For phased construction projects, the determination of best
available control technology shall be reviewed and modified as
appropriate at the least reasonable time which occurs no later than 18
months prior to commencement of construction of each independent phase
of the project. At such time, the owner or operator of the applicable
stationary source may be required to demonstrate the adequacy of any
previous determination of best available control technology for the
source.
(k) Source impact analysis--(1) Required demonstration. The plan
shall provide that the owner or operator of the proposed source or
modification shall demonstrate that allowable emission increases from
the proposed source or modification, in conjunction with all other
applicable emissions increases or reduction (including secondary
emissions), would not cause or contribute to air pollution in violation
of:
(i) Any national ambient air quality standard in any air quality
control region; or
(ii) Any applicable maximum allowable increase over the baseline
concentration in any area.
(2) [Reserved]
(l) Air quality models. The plan shall provide for procedures which
specify that--
(1) All applications of air quality modeling involved in this
subpart shall be based on the applicable models, data bases, and other
requirements specified in appendix W of this part (Guideline on Air
Quality Models).
[[Page 278]]
(2) Where an air quality model specified in appendix W of this part
(Guideline on Air Quality Models) is inappropriate, the model may be
modified or another model substituted. Such a modification or
substitution of a model may be made on a case-by-case basis or, where
appropriate, on a generic basis for a specific State program. Written
approval of the Administrator must be obtained for any modification or
substitution. In addition, use of a modified or substituted model must
be subject to notice and opportunity for public comment under procedures
set forth in Sec. 51.102.
(m) Air quality analysis--(1) Preapplication analysis. (i) The plan
shall provide that any application for a permit under regulations
approved pursuant to this section shall contain an analysis of ambient
air quality in the area that the major stationary source or major
modification would affect for each of the following pollutants:
(a) For the source, each pollutant that it would have the potential
to emit in a significant amount;
(b) For the modification, each pollutant for which it would result
in a significant net emissions increase.
(ii) The plan shall provide that, with respect to any such pollutant
for which no National Ambient Air Quality Standard exists, the analysis
shall contain such air quality monitoring data as the reviewing
authority determines is necessary to assess ambient air quality for that
pollutant in any area that the emissions of that pollutant would affect.
(iii) The plan shall provide that with respect to any such pollutant
(other than nonmethane hydrocarbons) for which such a standard does
exist, the analysis shall contain continuous air quality monitoring data
gathered for purposes of determining whether emissions of that pollutant
would cause or contribute to a violation of the standard or any maxiumum
allowable increase.
(iv) The plan shall provide that, in general, the continuous air
monitoring data that is required shall have been gathered over a period
of one year and shall represent the year preceding receipt of the
application, except that, if the reviewing authority determines that a
complete and adequate analysis can be accomplished with monitoring data
gathered over a period shorter than one year (but not to be less than
four months), the data that is required shall have been gathered over at
least that shorter period.
(v) The plan may provide that the owner or operator of a proposed
major stationary source or major modification of volatile organic
compounds who satisfies all conditions of 40 CFR part 51 appendix S,
section IV may provide postapproval monitoring data for ozone in lieu of
providing preconstruction data as required under paragraph (m)(1) of
this section.
(2) Post-construction monitoring. The plan shall provide that the
owner or operator of a major stationary source or major modification
shall, after construction of the stationary source or modification,
conduct such ambient monitoring as the reviewing authority determines is
necessary to determine the effect emissions from the stationary source
or modification may have, or are having, on air quality in any area.
(3) Operation of monitoring stations. The plan shall provide that
the owner or operator of a major stationary source or major modification
shall meet the requirements of appendix B to part 58 of this chapter
during the operation of monitoring stations for purposes of satisfying
paragraph (m) of this section.
(n) Source information. (1) The plan shall provide that the owner or
operator of a proposed source or modification shall submit all
information necessary to perform any analysis or make any determination
required under procedures established in accordance with this section.
(2) The plan may provide that such information shall include:
(i) A description of the nature, location, design capacity, and
typical operating schedule of the source or modification, including
specifications and drawings showing its design and plant layout;
(ii) A detailed schedule for construction of the source or
modification;
[[Page 279]]
(iii) A detailed description as to what system of continuous
emission reduction is planned by the source or modification, emission
estimates, and any other information as necessary to determine that best
available control technology as applicable would be applied;
(3) The plan shall provide that upon request of the State, the owner
or operator shall also provide information on:
(i) The air quality impact of the source or modification, including
meteorological and topographical data necessary to estimate such impact;
and
(ii) The air quality impacts and the nature and extent of any or all
general commercial, residential, industrial, and other growth which has
occurred since August 7, 1977, in the area the source or modification
would affect.
(o) Additional impact analyses. The plan shall provide that--
(1) The owner or operator shall provide an analysis of the
impairment to visibility, soils, and vegetation that would occur as a
result of the source or modification and general commercial,
residential, industrial, and other growth associated with the source or
modification. The owner or operator need not provide an analysis of the
impact on vegetation having no significant commercial or recreational
value.
(2) The owner or operator shall provide an analysis of the air
quality impact projected for the area as a result of general commercial,
residential, industrial, and other growth associated with the source or
modification.
(p) Sources impacting Federal Class I areas--additional
requirements--(1) Notice to EPA. The plan shall provide that the
reviewing authority shall transmit to the Administrator a copy of each
permit application relating to a major stationary source or major
modification and provide notice to the Administrator of every action
related to the consideration of such permit.
(2) Federal Land Manager. The Federal Land Manager and the Federal
official charged with direct responsibility for management of Class I
lands have an affirmative responsibility to protect the air quality
related values (including visibility) of any such lands and to consider,
in consultation with the Administrator, whether a proposed source or
modification would have an adverse impact on such values.
(3) Denial--impact on air quality related values. The plan shall
provide a mechanism whereby a Federal Land Manager of any such lands may
present to the State, after the reviewing authority's preliminary
determination required under procedures developed in accordance with
paragraph (r) of this section, a demonstration that the emissions from
the proposed source or modification would have an adverse impact on the
air quality-related values (including visibility) of any Federal
mandatory Class I lands, notwithstanding that the change in air quality
resulting from emissions from such source or modification would not
cause or contribute to concentrations which would exceed the maximum
allowable increases for a Class I area. If the State concurs with such
demonstration, the reviewing authority shall not issue the permit.
(4) Class I Variances. The plan may provide that the owner or
operator of a proposed source or modification may demonstrate to the
Federal Land Manager that the emissions from such source would have no
adverse impact on the air quality related values of such lands
(including visibility), notwithstanding that the change in air quality
resulting from emissions from such source or modification would cause or
contribute to concentrations which would exceed the maximum allowable
increases for a Class I area. If the Federal land manager concurs with
such demonstration and so certifies to the State, the reviewing
authority may: Provided, That applicable requirements are otherwise met,
issue the permit with such emission limitations as may be necessary to
assure that emissions of sulfur dioxide, PM2.5,
PM10, and nitrogen oxides would not exceed the following
maximum allowable increases over minor source baseline concentration for
such pollutants:
[[Page 280]]
------------------------------------------------------------------------
Maximum
allowable
increase
Pollutant (micrograms
per cubic
meter)
------------------------------------------------------------------------
PM2.5:
Annual arithmetic mean.............................. 4
24-hr maximum....................................... 9
PM10:
Annual arithmetic mean.............................. 17
24-hr maximum....................................... 30
Sulfur dioxide:
Annual arithmetic mean.............................. 20
24-hr maximum....................................... 91
3-hr maximum........................................ 325
Nitrogen dioxide:
Annual arithmetic mean.............................. 25
------------------------------------------------------------------------
(5) Sulfur dioxide variance by Governor with Federal Land Manager's
concurrence. The plan may provide that--
(i) The owner or operator of a proposed source or modification which
cannot be approved under procedures developed pursuant to paragraph
(q)(4) of this section may demonstrate to the Governor that the source
or modification cannot be constructed by reason of any maximum allowable
increase for sulfur dioxide for periods of twenty-four hours or less
applicable to any Class I area and, in the case of Federal mandatory
Class I areas, that a variance under this clause would not adversely
affect the air quality related values of the area (including
visibility);
(ii) The Governor, after consideration of the Federal Land Manager's
recommendation (if any) and subject to his concurrence, may grant, after
notice and an opportunity for a public hearing, a variance from such
maximum allowable increase; and
(iii) If such variance is granted, the reviewing authority may issue
a permit to such source or modification in accordance with provisions
developed pursuant to paragraph (q)(7) of this section: Provided, That
the applicable requirements of the plan are otherwise met.
(6) Variance by the Governor with the President's concurrence. The
plan may provide that--
(i) The recommendations of the Governor and the Federal Land Manager
shall be transferred to the President in any case where the Governor
recommends a variance in which the Federal Land Manager does not concur;
(ii) The President may approve the Governor's recommendation if he
finds that such variance is in the national interest; and
(iii) If such a variance is approved, the reviewing authority may
issue a permit in accordance with provisions developed pursuant to the
requirements of paragraph (q)(7) of this section: Provided, That the
applicable requirements of the plan are otherwise met.
(7) Emission limitations for Presidential or gubernatorial variance.
The plan shall provide that in the case of a permit issued under
procedures developed pursuant to paragraph (q) (5) or (6) of this
section, the source or modification shall comply with emission
limitations as may be necessary to assure that emissions of sulfur
dioxide from the source or modification would not (during any day on
which the otherwise applicable maximum allowable increases are exceeded)
cause or contribute to concentrations which would exceed the following
maximum allowable increases over the baseline concentration and to
assure that such emissions would not cause or contribute to
concentrations which exceed the otherwise applicable maximum allowable
increases for periods of exposure of 24 hours or less for more than 18
days, not necessarily consecutive, during any annual period:
[[Page 281]]
Maximum Allowable Increase
[Micrograms per cubic meter]
------------------------------------------------------------------------
Terrain areas
Period of exposure -----------------
Low High
------------------------------------------------------------------------
24-hr maximum......................................... 36 62
3-hr maximum.......................................... 130 221
------------------------------------------------------------------------
(q) Public participation. The plan shall provide that--
(1) The reviewing authority shall notify all applicants within a
specified time period as to the completeness of the application or any
deficiency in the application or information submitted. In the event of
such a deficiency, the date of receipt of the application shall be the
date on which the reviewing authority received all required information.
(2) Within one year after receipt of a complete application, the
reviewing authority shall:
(i) Make a preliminary determination whether construction should be
approved, approved with conditions, or disapproved.
(ii) Make available in at least one location in each region in which
the proposed source would be constructed a copy of all materials the
applicant submitted, 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 advertisement in a newspaper of general
circulation in each region in which the proposed source would be
constructed, of the application, the preliminary determination, the
degree of increment consumption that is expected from the source or
modification, and of the opportunity for comment at a public hearing as
well as written public comment.
(iv) Send a copy of the notice of public comment to the applicant,
the Administrator and to officials and agencies having cognizance over
the location where the proposed construction would occur as follows: Any
other State or local air pollution control agencies, the chief
executives of the city and county where the source would be located; any
comprehensive regional land use planning agency, and any State, Federal
Land Manager, or Indian Governing body whose lands may be affected by
emissions from the source or modification.
(v) Provide opportunity for a public hearing for interested persons
to appear and submit written or oral comments on the air quality impact
of the source, alternatives to it, the control technology required, and
other appropriate considerations.
(vi) Consider all written comments submitted within a time specified
in the notice of public comment and all comments received at any public
hearing(s) in making a final decision on the approvability of the
application. The reviewing authority shall make all comments available
for public inspection in the same locations where the reviewing
authority made available preconstruction information relating to the
proposed source or modification.
(vii) Make a final determination whether construction should be
approved, approved with conditions, or disapproved.
(viii) Notify the applicant in writing of the final determination
and make such notification available for public inspection at the same
location where the reviewing authority made available preconstruction
information and public comments relating to the source.
(r) Source obligation. (1) The plan shall include enforceable
procedures to provide that approval to construct shall not relieve any
owner or operator of the responsibility to comply fully with applicable
provisions of the plan and any other requirements under local, State or
Federal law.
(2) The plan shall provide that at such time that a particular
source or modification becomes a major stationary source or major
modification solely by virtue of a relaxation in any enforceable
limitation which was established after August 7, 1980, on the capacity
of the source or modification otherwise to emit a pollutant, such as a
restriction on hours of operation, then the requirements of paragraphs
(j) through (s) of this section shall apply to the source or
modification as though construction had not yet commenced on the source
or modification.
(3)-(5) [Reserved]
[[Page 282]]
(6) Each plan shall provide that, except as otherwise provided in
paragraph (r)(6)(vi) of this section, the following specific provisions
apply with respect to any regulated NSR pollutant emitted from projects
at existing emissions units at a major stationary source (other than
projects at a source with a PAL) in circumstances where there is a
reasonable possibility, within the meaning of paragraph (r)(6)(vi) of
this section, that a project that is not a part of a major modification
may result in a significant emissions increase of such pollutant, and
the owner or operator elects to use the method specified in paragraphs
(b)(40)(ii)(a) through (c) of this section for calculating projected
actual emissions. Deviations from these provisions will be approved only
if the State specifically demonstrates that the submitted provisions are
more stringent than or at least as stringent in all respects as the
corresponding provisions in paragraphs (r)(6)(i) through (vi) of this
section.
(i) Before beginning actual construction of the project, the owner
or operator shall document and maintain a record of the following
information:
(a) A description of the project;
(b) Identification of the emissions unit(s) whose emissions of a
regulated NSR pollutant could be affected by the project; and
(c) A description of the applicability test used to determine that
the project is not a major modification for any regulated NSR pollutant,
including the baseline actual emissions, the projected actual emissions,
the amount of emissions excluded under paragraph (b)(40)(ii)(c) of this
section and an explanation for why such amount was excluded, and any
netting calculations, if applicable.
(ii) If the emissions unit is an existing electric utility steam
generating unit, before beginning actual construction, the owner or
operator shall provide a copy of the information set out in paragraph
(r)(6)(i) of this section to the reviewing authority. Nothing in this
paragraph (r)(6)(ii) shall be construed to require the owner or operator
of such a unit to obtain any determination from the reviewing authority
before beginning actual construction.
(iii) The owner or operator shall monitor the emissions of any
regulated NSR pollutant that could increase as a result of the project
and that is emitted by any emissions unit identified in paragraph
(r)(6)(i)(b) of this section; and calculate and maintain a record of the
annual emissions, in tons per year on a calendar year basis, for a
period of 5 years following resumption of regular operations after the
change, or for a period of 10 years following resumption of regular
operations after the change if the project increases the design capacity
or potential to emit of that regulated NSR pollutant at such emissions
unit.
(iv) If the unit is an existing electric utility steam generating
unit, the owner or operator shall submit a report to the reviewing
authority within 60 days after the end of each year during which records
must be generated under paragraph (r)(6)(iii) of this section setting
out the unit's annual emissions during the calendar year that preceded
submission of the report.
(v) If the unit is an existing unit other than an electric utility
steam generating unit, the owner or operator shall submit a report to
the reviewing authority if the annual emissions, in tons per year, from
the project identified in paragraph (r)(6)(i) of this section, exceed
the baseline actual emissions (as documented and maintained pursuant to
paragraph (r)(6)(i)(c) of this section) by a significant amount (as
defined in paragraph (b)(23) of this section) for that regulated NSR
pollutant, and if such emissions differ from the preconstruction
projection as documented and maintained pursuant to paragraph
(r)(6)(i)(c) of this section. Such report shall be submitted to the
reviewing authority within 60 days after the end of such year. The
report shall contain the following:
(a) The name, address and telephone number of the major stationary
source;
(b) The annual emissions as calculated pursuant to paragraph
(r)(6)(iii) of this section; and
(c) Any other information that the owner or operator wishes to
include in the report (e.g., an explanation as to why the emissions
differ from the preconstruction projection).
[[Page 283]]
(vi) A ``reasonable possibility'' under paragraph (r)(6) of this
section occurs when the owner or operator calculates the project to
result in either:
(a) A projected actual emissions increase of at least 50 percent of
the amount that is a ``significant emissions increase,'' as defined
under paragraph (b)(39) of this section (without reference to the amount
that is a significant net emissions increase), for the regulated NSR
pollutant; or
(b) A projected actual emissions increase that, added to the amount
of emissions excluded under paragraph (b)(40)(ii)(c), sums to at least
50 percent of the amount that is a ``significant emissions increase,''
as defined under paragraph (b)(39) of this section (without reference to
the amount that is a significant net emissions increase), for the
regulated NSR pollutant. For a project for which a reasonable
possibility occurs only within the meaning of paragraph (r)(6)(vi)(b) of
this section, and not also within the meaning of paragraph (a)(6)(vi)(a)
of this section, then provisions (a)(6)(ii) through (v) do not apply to
the project.
(7) Each plan shall provide that the owner or operator of the source
shall make the information required to be documented and maintained
pursuant to paragraph (r)(6) of this section available for review upon
request for inspection by the reviewing authority or the general public
pursuant to the requirements contained in Sec. 70.4(b)(3)(viii) of this
chapter.
(s) Innovative control technology. (1) The plan may provide that an
owner or operator of a proposed major stationary source or major
modification may request the reviewing authority to approve a system of
innovative control technology.
(2) The plan may provide that the reviewing authority may, with the
consent of the Governor(s) of other affected State(s), determine that
the source or modification may employ a system of innovative control
technology, if:
(i) The proposed control system would not cause or contribute to an
unreasonable risk to public health, welfare, or safety in its operation
or function;
(ii) The owner or operator agrees to achieve a level of continuous
emissions reduction equivalent to that which would have been required
under paragraph (j)(2) of this section, by a date specified by the
reviewing authority. Such date shall not be later than 4 years from the
time of startup or 7 years from permit issuance;
(iii) The source or modification would meet the requirements
equivalent to those in paragraphs (j) and (k) of this section, based on
the emissions rate that the stationary source employing the system of
innovative control technology would be required to meet on the date
specified by the reviewing authority;
(iv) The source or modification would not before the date specified
by the reviewing authority:
(a) Cause or contribute to any violation of an applicable national
ambient air quality standard; or
(b) Impact any area where an applicable increment is known to be
violated;
(v) All other applicable requirements including those for public
participation have been met.
(vi) The provisions of paragraph (p) of this section (relating to
Class I areas) have been satisfied with respect to all periods during
the life of the source or modification.
(3) The plan shall provide that the reviewing authority shall
withdraw any approval to employ a system of innovative control
technology made under this section, if:
(i) The proposed system fails by the specified date to achieve the
required continuous emissions reduction rate; or
(ii) The proposed system fails before the specified date so as to
contribute to an unreasonable risk to public health, welfare, or safety;
or
(iii) The reviewing authority decides at any time that the proposed
system is unlikely to achieve the required level of control or to
protect the public health, welfare, or safety.
(4) The plan may provide that if a source or modification fails to
meet the required level of continuous emissions reduction within the
specified time period, or if the approval is withdrawn in accordance
with paragraph
[[Page 284]]
(s)(3) of this section, the reviewing authority may allow the source or
modification up to an additional 3 years to meet the requirement for the
application of best available control technology through use of a
demonstrated system of control.
(t)-(v) [Reserved]
(w) Actuals PALs. The plan shall provide for PALs according to the
provisions in paragraphs (w)(1) through (15) of this section.
(1) Applicability. (i) The reviewing authority may approve the use
of an actuals PAL for any existing major stationary source if the PAL
meets the requirements in paragraphs (w)(1) through (15) of this
section. The term ``PAL'' shall mean ``actuals PAL'' throughout
paragraph (w) of this section.
(ii) Any physical change in or change in the method of operation of
a major stationary source that maintains its total source-wide emissions
below the PAL level, meets the requirements in paragraphs (w)(1) through
(15) of this section, and complies with the PAL permit:
(a) Is not a major modification for the PAL pollutant;
(b) Does not have to be approved through the plan's major NSR
program; and
(c) Is not subject to the provisions in paragraph (r)(2) of this
section (restrictions on relaxing enforceable emission limitations that
the major stationary source used to avoid applicability of the major NSR
program).
(iii) Except as provided under paragraph (w)(1)(ii)(c) of this
section, a major stationary source shall continue to comply with all
applicable Federal or State requirements, emission limitations, and work
practice requirements that were established prior to the effective date
of the PAL.
(2) Definitions. The plan shall use the definitions in paragraphs
(w)(2)(i) through (xi) of this section for the purpose of developing and
implementing regulations that authorize the use of actuals PALs
consistent with paragraphs (w)(1) through (15) of this section. When a
term is not defined in these paragraphs, it shall have the meaning given
in paragraph (b) of this section or in the Act.
(i) Actuals PAL for a major stationary source means a PAL based on
the baseline actual emissions (as defined in paragraph (b)(47) of this
section) of all emissions units (as defined in paragraph (b)(7) of this
section) at the source, that emit or have the potential to emit the PAL
pollutant.
(ii) Allowable emissions means ``allowable emissions'' as defined in
paragraph (b)(16) of this section, except as this definition is modified
according to paragraphs (w)(2)(ii)(a) and (b) of this section.
(a) The allowable emissions for any emissions unit shall be
calculated considering any emission limitations that are enforceable as
a practical matter on the emissions unit's potential to emit.
(b) An emissions unit's potential to emit shall be determined using
the definition in paragraph (b)(4) of this section, except that the
words ``or enforceable as a practical matter'' should be added after
``federally enforceable.''
(iii) Small emissions unit means an emissions unit that emits or has
the potential to emit the PAL pollutant in an amount less than the
significant level for that PAL pollutant, as defined in paragraph
(b)(23) of this section or in the Act, whichever is lower.
(iv) Major emissions unit means:
(a) Any emissions unit that emits or has the potential to emit 100
tons per year or more of the PAL pollutant in an attainment area; or
(b) Any emissions unit that emits or has the potential to emit the
PAL pollutant in an amount that is equal to or greater than the major
source threshold for the PAL pollutant as defined by the Act for
nonattainment areas. For example, in accordance with the definition of
major stationary source in section 182(c) of the Act, an emissions unit
would be a major emissions unit for VOC if the emissions unit is located
in a serious ozone nonattainment area and it emits or has the potential
to emit 50 or more tons of VOC per year.
(v) Plantwide applicability limitation (PAL) means an emission
limitation expressed in tons per year, for a pollutant at a major
stationary source, that is enforceable as a practical matter
[[Page 285]]
and established source-wide in accordance with paragraphs (w)(1) through
(15) of this section.
(vi) PAL effective date generally means the date of issuance of the
PAL permit. However, the PAL effective date for an increased PAL is the
date any emissions unit that is part of the PAL major modification
becomes operational and begins to emit the PAL pollutant.
(vii) PAL effective period means the period beginning with the PAL
effective date and ending 10 years later.
(viii) PAL major modification means, notwithstanding paragraphs
(b)(2) and (b)(3) of this section (the definitions for major
modification and net emissions increase), any physical change in or
change in the method of operation of the PAL source that causes it to
emit the PAL pollutant at a level equal to or greater than the PAL.
(ix) PAL permit means the major NSR permit, the minor NSR permit, or
the State operating permit under a program that is approved into the
plan, or the title V permit issued by the reviewing authority that
establishes a PAL for a major stationary source.
(x) PAL pollutant means the pollutant for which a PAL is established
at a major stationary source.
(xi) Significant emissions unit means an emissions unit that emits
or has the potential to emit a PAL pollutant in an amount that is equal
to or greater than the significant level (as defined in paragraph
(b)(23) of this section or in the Act, whichever is lower) for that PAL
pollutant, but less than the amount that would qualify the unit as a
major emissions unit as defined in paragraph (w)(2)(iv) of this section.
(3) Permit application requirements. As part of a permit application
requesting a PAL, the owner or operator of a major stationary source
shall submit the following information in paragraphs (w)(3)(i) through
(iii) of this section to the reviewing authority for approval.
(i) A list of all emissions units at the source designated as small,
significant or major based on their potential to emit. In addition, the
owner or operator of the source shall indicate which, if any, Federal or
State applicable requirements, emission limitations, or work practices
apply to each unit.
(ii) Calculations of the baseline actual emissions (with supporting
documentation). Baseline actual emissions are to include emissions
associated not only with operation of the unit, but also emissions
associated with startup, shutdown, and malfunction.
(iii) The calculation procedures that the major stationary source
owner or operator proposes to use to convert the monitoring system data
to monthly emissions and annual emissions based on a 12-month rolling
total for each month as required by paragraph (w)(13)(i) of this
section.
(4) General requirements for establishing PALs. (i) The plan allows
the reviewing authority to establish a PAL at a major stationary source,
provided that at a minimum, the requirements in paragraphs (w)(4)(i)(a)
through (g) of this section are met.
(a) The PAL shall impose an annual emission limitation in tons per
year, that is enforceable as a practical matter, for the entire major
stationary source. For each month during the PAL effective period after
the first 12 months of establishing a PAL, the major stationary source
owner or operator shall show that the sum of the monthly emissions from
each emissions unit under the PAL for the previous 12 consecutive months
is less than the PAL (a 12-month average, rolled monthly). For each
month during the first 11 months from the PAL effective date, the major
stationary source owner or operator shall show that the sum of the
preceding monthly emissions from the PAL effective date for each
emissions unit under the PAL is less than the PAL.
(b) The PAL shall be established in a PAL permit that meets the
public participation requirements in paragraph (w)(5) of this section.
(c) The PAL permit shall contain all the requirements of paragraph
(w)(7) of this section.
(d) The PAL shall include fugitive emissions, to the extent
quantifiable, from all emissions units that emit or have the potential
to emit the PAL pollutant at the major stationary source.
[[Page 286]]
(e) Each PAL shall regulate emissions of only one pollutant.
(f) Each PAL shall have a PAL effective period of 10 years.
(g) The owner or operator of the major stationary source with a PAL
shall comply with the monitoring, recordkeeping, and reporting
requirements provided in paragraphs (w)(12) through (14) of this section
for each emissions unit under the PAL through the PAL effective period.
(ii) At no time (during or after the PAL effective period) are
emissions reductions of a PAL pollutant that occur during the PAL
effective period creditable as decreases for purposes of offsets under
Sec. 51.165(a)(3)(ii) of this chapter unless the level of the PAL is
reduced by the amount of such emissions reductions and such reductions
would be creditable in the absence of the PAL.
(5) Public participation requirements for PALs. PALs for existing
major stationary sources shall be established, renewed, or increased,
through a procedure that is consistent with Sec. Sec. 51.160 and 51.161
of this chapter. This includes the requirement that the reviewing
authority provide the public with notice of the proposed approval of a
PAL permit and at least a 30-day period for submittal of public comment.
The reviewing authority must address all material comments before taking
final action on the permit.
(6) Setting the 10-year actuals PAL level. (i) Except as provided in
paragraph (w)(6)(ii) of this section, the plan shall provide that the
actuals PAL level for a major stationary source shall be established as
the sum of the baseline actual emissions (as defined in paragraph
(b)(47) of this section) of the PAL pollutant for each emissions unit at
the source; plus an amount equal to the applicable significant level for
the PAL pollutant under paragraph (b)(23) of this section or under the
Act, whichever is lower. When establishing the actuals PAL level, for a
PAL pollutant, only one consecutive 24-month period must be used to
determine the baseline actual emissions for all existing emissions
units. However, a different consecutive 24-month period may be used for
each different PAL pollutant. Emissions associated with units that were
permanently shut down after this 24-month period must be subtracted from
the PAL level. The reviewing authority shall specify a reduced PAL
level(s) (in tons/yr) in the PAL permit to become effective on the
future compliance date(s) of any applicable Federal or State regulatory
requirement(s) that the reviewing authority is aware of prior to
issuance of the PAL permit. For instance, if the source owner or
operator will be required to reduce emissions from industrial boilers in
half from baseline emissions of 60 ppm NOX to a new rule
limit of 30 ppm, then the permit shall contain a future effective PAL
level that is equal to the current PAL level reduced by half of the
original baseline emissions of such unit(s).
(ii) For newly constructed units (which do not include modifications
to existing units) on which actual construction began after the 24-month
period, in lieu of adding the baseline actual emissions as specified in
paragraph (w)(6)(i) of this section, the emissions must be added to the
PAL level in an amount equal to the potential to emit of the units.
(7) Contents of the PAL permit. The plan shall require that the PAL
permit contain, at a minimum, the information in paragraphs (w)(7)(i)
through (x) of this section.
(i) The PAL pollutant and the applicable source-wide emission
limitation in tons per year.
(ii) The PAL permit effective date and the expiration date of the
PAL (PAL effective period).
(iii) Specification in the PAL permit that if a major stationary
source owner or operator applies to renew a PAL in accordance with
paragraph (w)(10) of this section before the end of the PAL effective
period, then the PAL shall not expire at the end of the PAL effective
period. It shall remain in effect until a revised PAL permit is issued
by the reviewing authority.
(iv) A requirement that emission calculations for compliance
purposes include emissions from startups, shutdowns and malfunctions.
(v) A requirement that, once the PAL expires, the major stationary
source is subject to the requirements of paragraph (w)(9) of this
section.
[[Page 287]]
(vi) The calculation procedures that the major stationary source
owner or operator shall use to convert the monitoring system data to
monthly emissions and annual emissions based on a 12-month rolling total
for each month as required by paragraph (w)(3)(i) of this section.
(vii) A requirement that the major stationary source owner or
operator monitor all emissions units in accordance with the provisions
under paragraph (w)(13) of this section.
(viii) A requirement to retain the records required under paragraph
(w)(13) of this section on site. Such records may be retained in an
electronic format.
(ix) A requirement to submit the reports required under paragraph
(w)(14) of this section by the required deadlines.
(x) Any other requirements that the reviewing authority deems
necessary to implement and enforce the PAL.
(8) PAL effective period and reopening of the PAL permit. The plan
shall require the information in paragraphs (w)(8)(i) and (ii) of this
section.
(i) PAL effective period. The reviewing authority shall specify a
PAL effective period of 10 years.
(ii) Reopening of the PAL permit. (a) During the PAL effective
period, the plan shall require the reviewing authority to reopen the PAL
permit to:
(1) Correct typographical/calculation errors made in setting the PAL
or reflect a more accurate determination of emissions used to establish
the PAL;
(2) Reduce the PAL if the owner or operator of the major stationary
source creates creditable emissions reductions for use as offsets under
Sec. 51.165(a)(3)(ii) of this chapter; and
(3) Revise the PAL to reflect an increase in the PAL as provided
under paragraph (w)(11) of this section.
(b) The plan shall provide the reviewing authority discretion to
reopen the PAL permit for the following:
(1) Reduce the PAL to reflect newly applicable Federal requirements
(for example, NSPS) with compliance dates after the PAL effective date;
(2) Reduce the PAL consistent with any other requirement, that is
enforceable as a practical matter, and that the State may impose on the
major stationary source under the plan; and
(3) Reduce the PAL if the reviewing authority determines that a
reduction is necessary to avoid causing or contributing to a NAAQS or
PSD increment violation, or to an adverse impact on an AQRV that has
been identified for a Federal Class I area by a Federal Land Manager and
for which information is available to the general public.
(c) Except for the permit reopening in paragraph (w)(8)(ii)(a)(1) of
this section for the correction of typographical/calculation errors that
do not increase the PAL level, all reopenings shall be carried out in
accordance with the public participation requirements of paragraph
(w)(5) of this section.
(9) Expiration of a PAL. Any PAL that is not renewed in accordance
with the procedures in paragraph (w)(10) of this section shall expire at
the end of the PAL effective period, and the requirements in paragraphs
(w)(9)(i) through (v) of this section shall apply.
(i) Each emissions unit (or each group of emissions units) that
existed under the PAL shall comply with an allowable emission limitation
under a revised permit established according to the procedures in
paragraphs (w)(9)(i)(a) and (b) of this section.
(a) Within the time frame specified for PAL renewals in paragraph
(w)(10)(ii) of this section, the major stationary source shall submit a
proposed allowable emission limitation for each emissions unit (or each
group of emissions units, if such a distribution is more appropriate as
decided by the reviewing authority) by distributing the PAL allowable
emissions for the major stationary source among each of the emissions
units that existed under the PAL. If the PAL had not yet been adjusted
for an applicable requirement that became effective during the PAL
effective period, as required under paragraph (w)(10)(v) of this
section, such distribution shall be made as if the PAL had been
adjusted.
(b) The reviewing authority shall decide whether and how the PAL
allowable emissions will be distributed and issue a revised permit
incorporating allowable limits for each emissions unit, or each group of
emissions units, as the
[[Page 288]]
reviewing authority determines is appropriate.
(ii) Each emissions unit(s) shall comply with the allowable emission
limitation on a 12-month rolling basis. The reviewing authority may
approve the use of monitoring systems (source testing,emission factors,
etc.) other than CEMS, CERMS, PEMS or CPMS to demonstrate compliance
with the allowable emission limitation.
(iii) Until the reviewing authority issues the revised permit
incorporating allowable limits for each emissions unit, or each group of
emissions units, as required under paragraph (w)(9)(i)(b) of this
section, the source shall continue to comply with a source-wide, multi-
unit emissions cap equivalent to the level of the PAL emission
limitation.
(iv) Any physical change or change in the method of operation at the
major stationary source will be subject to major NSR requirements if
such change meets the definition of major modification in paragraph
(b)(2) of this section.
(v) The major stationary source owner or operator shall continue to
comply with any State or Federal applicable requirements (BACT, RACT,
NSPS, etc.) that may have applied either during the PAL effective period
or prior to the PAL effective period except for those emission
limitations that had been established pursuant to paragraph (r)(2) of
this section, but were eliminated by the PAL in accordance with the
provisions in paragraph (w)(1)(ii)(c) of this section.
(10) Renewal of a PAL. (i) The reviewing authority shall follow the
procedures specified in paragraph (w)(5) of this section in approving
any request to renew a PAL for a major stationary source, and shall
provide both the proposed PAL level and a written rationale for the
proposed PAL level to the public for review and comment. During such
public review, any person may propose a PAL level for the source for
consideration by the reviewing authority.
(ii) Application deadline. The plan shall require that a major
stationary source owner or operator shall submit a timely application to
the reviewing authority to request renewal of a PAL. A timely
application is one that is submitted at least 6 months prior to, but not
earlier than 18 months from, the date of permit expiration. This
deadline for application submittal is to ensure that the permit will not
expire before the permit is renewed. If the owner or operator of a major
stationary source submits a complete application to renew the PAL within
this time period, then the PAL shall continue to be effective until the
revised permit with the renewed PAL is issued.
(iii) Application requirements. The application to renew a PAL
permit shall contain the information required in paragraphs (w)(10)(iii)
(a) through (d) of this section.
(a) The information required in paragraphs (w)(3)(i) through (iii)
of this section.
(b) A proposed PAL level.
(c) The sum of the potential to emit of all emissions units under
the PAL (with supporting documentation).
(d) Any other information the owner or operator wishes the reviewing
authority to consider in determining the appropriate level for renewing
the PAL.
(iv) PAL adjustment. In determining whether and how to adjust the
PAL, the reviewing authority shall consider the options outlined in
paragraphs (w)(10)(iv) (a) and (b) of this section. However, in no case
may any such adjustment fail to comply with paragraph (w)(10)(iv)(c) of
this section.
(a) If the emissions level calculated in accordance with paragraph
(w)(6) of this section is equal to or greater than 80 percent of the PAL
level, the reviewing authority may renew the PAL at the same level
without considering the factors set forth in paragraph (w)(10)(iv)(b) of
this section; or
(b) The reviewing authority may set the PAL at a level that it
determines to be more representative of the source's baseline actual
emissions, or that it determines to be appropriate considering air
quality needs, advances in control technology, anticipated economic
growth in the area, desire to reward or encourage the source's voluntary
emissions reductions, or other factors as specifically identified by the
reviewing authority in its written rationale.
[[Page 289]]
(c) Notwithstanding paragraphs (w)(10)(iv) (a) and (b) of this
section:
(1) If the potential to emit of the major stationary source is less
than the PAL, the reviewing authority shall adjust the PAL to a level no
greater than the potential to emit of the source; and
(2) The reviewing authority shall not approve a renewed PAL level
higher than the current PAL, unless the major stationary source has
complied with the provisions of paragraph (w)(11) of this section
(increasing a PAL).
(v) If the compliance date for a State or Federal requirement that
applies to the PAL source occurs during the PAL effective period, and if
the reviewing authority has not already adjusted for such requirement,
the PAL shall be adjusted at the time of PAL permit renewal or title V
permit renewal, whichever occurs first.
(11) Increasing a PAL during the PAL effective period. (i) The plan
shall require that the reviewing authority may increase a PAL emission
limitation only if the major stationary source complies with the
provisions in paragraphs (w)(11)(i) (a) through (d) of this section.
(a) The owner or operator of the major stationary source shall
submit a complete application to request an increase in the PAL limit
for a PAL major modification. Such application shall identify the
emissions unit(s) contributing to the increase in emissions so as to
cause the major stationary source's emissions to equal or exceed its
PAL.
(b) As part of this application, the major stationary source owner
or operator shall demonstrate that the sum of the baseline actual
emissions of the small emissions units, plus the sum of the baseline
actual emissions of the significant and major emissions units assuming
application of BACT equivalent controls, plus the sum of the allowable
emissions of the new or modified emissions unit(s), exceeds the PAL. The
level of control that would result from BACT equivalent controls on each
significant or major emissions unit shall be determined by conducting a
new BACT analysis at the time the application is submitted, unless the
emissions unit is currently required to comply with a BACT or LAER
requirement that was established within the preceding 10 years. In such
a case, the assumed control level for that emissions unit shall be equal
to the level of BACT or LAER with which that emissions unit must
currently comply.
(c) The owner or operator obtains a major NSR permit for all
emissions unit(s) identified in paragraph (w)(11)(i)(a) of this section,
regardless of the magnitude of the emissions increase resulting from
them (that is, no significant levels apply). These emissions unit(s)
shall comply with any emissions requirements resulting from the major
NSR process (for example, BACT), even though they have also become
subject to the PAL or continue to be subject to the PAL.
(d) The PAL permit shall require that the increased PAL level shall
be effective on the day any emissions unit that is part of the PAL major
modification becomes operational and begins to emit the PAL pollutant.
(ii) The reviewing authority shall calculate the new PAL as the sum
of the allowable emissions for each modified or new emissions unit, plus
the sum of the baseline actual emissions of the significant and major
emissions units (assuming application of BACT equivalent controls as
determined in accordance with paragraph (w)(11)(i)(b) of this section),
plus the sum of the baseline actual emissions of the small emissions
units.
(iii) The PAL permit shall be revised to reflect the increased PAL
level pursuant to the public notice requirements of paragraph (w)(5) of
this section.
(12) Monitoring requirements for PALs--(i) General requirements. (a)
Each PAL permit must contain enforceable requirements for the monitoring
system that accurately determines plantwide emissions of the PAL
pollutant in terms of mass per unit of time. Any monitoring system
authorized for use in the PAL permit must be based on sound science and
meet generally acceptable scientific procedures for data quality and
manipulation. Additionally, the information generated by such system
must meet minimum legal
[[Page 290]]
requirements for admissibility in a judicial proceeding to enforce the
PAL permit.
(b) The PAL monitoring system must employ one or more of the four
general monitoring approaches meeting the minimum requirements set forth
in paragraphs (w)(12)(ii) (a) through (d) of this section and must be
approved by the reviewing authority.
(c) Notwithstanding paragraph (w)(12)(i)(b) of this section, you may
also employ an alternative monitoring approach that meets paragraph
(w)(12)(i)(a) of this section if approved by the reviewing authority.
(d) Failure to use a monitoring system that meets the requirements
of this section renders the PAL invalid.
(ii) Minimum performance requirements for approved monitoring
approaches. The following are acceptable general monitoring approaches
when conducted in accordance with the minimum requirements in paragraphs
(w)(12)(iii) through (ix) of this section:
(a) Mass balance calculations for activities using coatings or
solvents;
(b) CEMS;
(c) CPMS or PEMS; and
(d) Emission factors.
(iii) Mass balance calculations. An owner or operator using mass
balance calculations to monitor PAL pollutant emissions from activities
using coating or solvents shall meet the following requirements:
(a) Provide a demonstrated means of validating the published content
of the PAL pollutant that is contained in or created by all materials
used in or at the emissions unit;
(b) Assume that the emissions unit emits all of the PAL pollutant
that is contained in or created by any raw material or fuel used in or
at the emissions unit, if it cannot otherwise be accounted for in the
process; and
(c) Where the vendor of a material or fuel, which is used in or at
the emissions unit, publishes a range of pollutant content from such
material, the owner or operator must use the highest value of the range
to calculate the PAL pollutant emissions unless the reviewing authority
determines there is site-specific data or a site-specific monitoring
program to support another content within the range.
(iv) CEMS. An owner or operator using CEMS to monitor PAL pollutant
emissions shall meet the following requirements:
(a) CEMS must comply with applicable Performance Specifications
found in 40 CFR part 60, appendix B; and
(b) CEMS must sample, analyze, and record data at least every 15
minutes while the emissions unit is operating.
(v) CPMS or PEMS. An owner or operator using CPMS or PEMS to monitor
PAL pollutant emissions shall meet the following requirements:
(a) The CPMS or the PEMS must be based on current site-specific data
demonstrating a correlation between the monitored parameter(s) and the
PAL pollutant emissions across the range of operation of the emissions
unit; and
(b) Each CPMS or PEMS must sample, analyze, and record data at least
every 15 minutes, or at another less frequent interval approved by the
reviewing authority, while the emissions unit is operating.
(vi) Emission factors. An owner or operator using emission factors
to monitor PAL pollutant emissions shall meet the following
requirements:
(a) All emission factors shall be adjusted, if appropriate, to
account for the degree of uncertainty or limitations in the factors'
development;
(b) The emissions unit shall operate within the designated range of
use for the emission factor, if applicable; and
(c) If technically practicable, the owner or operator of a
significant emissions unit that relies on an emission factor to
calculate PAL pollutant emissions shall conduct validation testing to
determine a site-specific emission factor within 6 months of PAL permit
issuance, unless the reviewing authority determines that testing is not
required.
(vii) A source owner or operator must record and report maximum
potential emissions without considering enforceable emission limitations
or operational restrictions for an emissions unit during any period of
time that there is no monitoring data, unless another method for
determining emissions during such periods is specified in the PAL
permit.
[[Page 291]]
(viii) Notwithstanding the requirements in paragraphs (w)(12)(iii)
through (vii) of this section, where an owner or operator of an
emissions unit cannot demonstrate a correlation between the monitored
parameter(s) and the PAL pollutant emissions rate at all operating
points of the emissions unit, the reviewing authority shall, at the time
of permit issuance:
(a) Establish default value(s) for determining compliance with the
PAL based on the highest potential emissions reasonably estimated at
such operating point(s); or
(b) Determine that operation of the emissions unit during operating
conditions when there is no correlation between monitored parameter(s)
and the PAL pollutant emissions is a violation of the PAL.
(ix) Re-validation. All data used to establish the PAL pollutant
must be re-validated through performance testing or other scientifically
valid means approved by the reviewing authority. Such testing must occur
at least once every 5 years after issuance of the PAL.
(13) Recordkeeping requirements. (i) The PAL permit shall require an
owner or operator to retain a copy of all records necessary to determine
compliance with any requirement of paragraph (w) of this section and of
the PAL, including a determination of each emissions unit's 12-month
rolling total emissions, for 5 years from the date of such record.
(ii) The PAL permit shall require an owner or operator to retain a
copy of the following records, for the duration of the PAL effective
period plus 5 years:
(a) A copy of the PAL permit application and any applications for
revisions to the PAL; and
(b) Each annual certification of compliance pursuant to title V and
the data relied on in certifying the compliance.
(14) Reporting and notification requirements. The owner or operator
shall submit semi-annual monitoring reports and prompt deviation reports
to the reviewing authority in accordance with the applicable title V
operating permit program. The reports shall meet the requirements in
paragraphs (w)(14)(i) through (iii) of this section.
(i) Semi-annual report. The semi-annual report shall be submitted to
the reviewing authority within 30 days of the end of each reporting
period. This report shall contain the information required in paragraphs
(w)(14)(i)(a) through (g) of this section.
(a) The identification of owner and operator and the permit number.
(b) Total annual emissions (tons/year) based on a 12-month rolling
total for each month in the reporting period recorded pursuant to
paragraph (w)(13)(i) of this section.
(c) All data relied upon, including, but not limited to, any Quality
Assurance or Quality Control data, in calculating the monthly and annual
PAL pollutant emissions.
(d) A list of any emissions units modified or added to the major
stationary source during the preceding 6-month period.
(e) The number, duration, and cause of any deviations or monitoring
malfunctions (other than the time associated with zero and span
calibration checks), and any corrective action taken.
(f) A notification of a shutdown of any monitoring system, whether
the shutdown was permanent or temporary, the reason for the shutdown,
the anticipated date that the monitoring system will be fully
operational or replaced with another monitoring system, and whether the
emissions unit monitored by the monitoring system continued to operate,
and the calculation of the emissions of the pollutant or the number
determined by method included in the permit, as provided by paragraph
(w)(12)(vii) of this section.
(g) A signed statement by the responsible official (as defined by
the applicable title V operating permit program) certifying the truth,
accuracy, and completeness of the information provided in the report.
(ii) Deviation report. The major stationary source owner or operator
shall promptly submit reports of any deviations or exceedance of the PAL
requirements, including periods where no monitoring is available. A
report submitted pursuant to Sec. 70.6(a)(3)(iii)(B) of
[[Page 292]]
this chapter shall satisfy this reporting requirement. The deviation
reports shall be submitted within the time limits prescribed by the
applicable program implementing Sec. 70.6(a)(3)(iii)(B) of this
chapter. The reports shall contain the following information:
(a) The identification of owner and operator and the permit number;
(b) The PAL requirement that experienced the deviation or that was
exceeded;
(c) Emissions resulting from the deviation or the exceedance; and
(d) A signed statement by the responsible official (as defined by
the applicable title V operating permit program) certifying the truth,
accuracy, and completeness of the information provided in the report.
(iii) Re-validation results. The owner or operator shall submit to
the reviewing authority the results of any re-validation test or method
within three months after completion of such test or method.
(15) Transition requirements. (i) No reviewing authority may issue a
PAL that does not comply with the requirements in paragraphs (w)(1)
through (15) of this section after the Administrator has approved
regulations incorporating these requirements into a plan.
(ii) The reviewing authority may supersede any PAL which was
established prior to the date of approval of the plan by the
Administrator with a PAL that complies with the requirements of
paragraphs (w)(1) through (15) of this section.
(x) If any provision of this section, or the application of such
provision to any person or circumstance, is held invalid, the remainder
of this section, or the application of such provision to persons or
circumstances other than those as to which it is held invalid, shall not
be affected thereby.
(y) Equipment replacement provision. Without regard to other
considerations, routine maintenance, repair and replacement includes,
but is not limited to, the replacement of any component of a process
unit with an identical or functionally equivalent component(s), and
maintenance and repair activities that are part of the replacement
activity, provided that all of the requirements in paragraphs (y)(1)
through (3) of this section are met.
(1) Capital Cost threshold for Equipment Replacement. (i) For an
electric utility steam generating unit, as defined in Sec.
51.166(b)(30), the fixed capital cost of the replacement component(s)
plus the cost of any associated maintenance and repair activities that
are part of the replacement shall not exceed 20 percent of the
replacement value of the process unit, at the time the equipment is
replaced. For a process unit that is not an electric utility steam
generating unit the fixed capital cost of the replacement component(s)
plus the cost of any associated maintenance and repair activities that
are part of the replacement shall not exceed 20 percent of the
replacement value of the process unit, at the time the equipment is
replaced.
(ii) In determining the replacement value of the process unit; and,
except as otherwise allowed under paragraph (y)(1)(iii) of this section,
the owner or operator shall determine the replacement value of the
process unit on an estimate of the fixed capital cost of constructing a
new process unit, or on the current appraised value of the process unit.
(iii) As an alternative to paragraph (y)(1)(ii) of this section for
determining the replacement value of a process unit, an owner or
operator may choose to use insurance value (where the insurance value
covers only complete replacement), investment value adjusted for
inflation, or another accounting procedure if such procedure is based on
Generally Accepted Accounting Principles, provided that the owner or
operator sends a notice to the reviewing authority. The first time that
an owner or operator submits such a notice for a particular process
unit, the notice may be submitted at any time, but any subsequent notice
for that process unit may be submitted only at the beginning of the
process unit's fiscal year. Unless the owner or operator submits a
notice to the reviewing authority, then paragraph (y)(1)(ii) of this
section will be used to establish the replacement value of the process
unit. Once the owner or operator submits a notice to
[[Page 293]]
use an alternative accounting procedure, the owner or operator must
continue to use that procedure for the entire fiscal year for that
process unit. In subsequent fiscal years, the owner or operator must
continue to use this selected procedure unless and until the owner or
operator sends another notice to the reviewing authority selecting
another procedure consistent with this paragraph or paragraph (y)(1)(ii)
of this section at the beginning of such fiscal year.
(2) Basic design parameters. The replacement does not change the
basic design parameter(s) of the process unit to which the activity
pertains.
(i) Except as provided in paragraph (y)(2)(iii) of this section, for
a process unit at a steam electric generating facility, the owner or
operator may select as its basic design parameters either maximum hourly
heat input and maximum hourly fuel consumption rate or maximum hourly
electric output rate and maximum steam flow rate. When establishing fuel
consumption specifications in terms of weight or volume, the minimum
fuel quality based on British Thermal Units content shall be used for
determining the basic design parameter(s) for a coal-fired electric
utility steam generating unit.
(ii) Except as provided in paragraph (y)(2)(iii) of this section,
the basic design parameter(s) for any process unit that is not at a
steam electric generating facility are maximum rate of fuel or heat
input, maximum rate of material input, or maximum rate of product
output. Combustion process units will typically use maximum rate of fuel
input. For sources having multiple end products and raw materials, the
owner or operator should consider the primary product or primary raw
material when selecting a basic design parameter.
(iii) If the owner or operator believes the basic design
parameter(s) in paragraphs (y)(2)(i) and (ii) of this section is not
appropriate for a specific industry or type of process unit, the owner
or operator may propose to the reviewing authority an alternative basic
design parameter(s) for the source's process unit(s). If the reviewing
authority approves of the use of an alternative basic design
parameter(s), the reviewing authority shall issue a permit that is
legally enforceable that records such basic design parameter(s) and
requires the owner or operator to comply with such parameter(s).
(iv) The owner or operator shall use credible information, such as
results of historic maximum capability tests, design information from
the manufacturer, or engineering calculations, in establishing the
magnitude of the basic design parameter(s) specified in paragraphs
(y)(2)(i) and (ii) of this section.
(v) If design information is not available for a process unit, then
the owner or operator shall determine the process unit's basic design
parameter(s) using the maximum value achieved by the process unit in the
five-year period immediately preceding the planned activity.
(vi) Efficiency of a process unit is not a basic design parameter.
(3) The replacement activity shall not cause the process unit to
exceed any emission limitation, or operational limitation that has the
effect of constraining emissions, that applies to the process unit and
that is legally enforceable.
Note to paragraph (y):
By a court order on December 24, 2003, this paragraph (y) is stayed
indefinitely. The stayed provisions will become effective immediately if
the court terminates the stay. At that time, EPA will publish a document
in the Federal Register advising the public of the termination of the
stay.
(Secs. 101(b)(1), 110, 160-169, 171-178, and 301(a), Clean Air Act, as
amended (42 U.S.C. 7401(b)(1), 7410, 7470-7479, 7501-7508, and 7601(a));
sec. 129(a), Clean Air Act Amendments of 1977 (Pub. L. 95-95, 91 Stat.
685 (Aug. 7, 1977)))
[43 FR 26382, June 19, 1978]
Editorial Note: For Federal Register citations affecting Sec.
51.166, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
Effective Date Notes: 1. At 76 FR 17553, Mar. 30, 2011, Sec. 51.166
paragraphs (b)(2)(v) and (b)(3)(iii)(d) are stayed indefinitely.
2. At 81 FR 35632, June 3, 2016, Sec. 51.166 was amended by
revising paragraph (b)(6), effective Aug. 2, 2016. For the convenience
of the user, the revised text is set forth as follows:
[[Page 294]]
Sec. 51.166 Prevention of significant deterioration of air quality.
* * * * *
(b) * * *
(6)(i) Building, structure, facility, or installation means all of
the pollutant-emitting activities which belong to the same industrial
grouping, are located on one or more contiguous or adjacent properties,
and are under the control of the same person (or persons under common
control) except the activities of any vessel. Pollutant-emitting
activities shall be considered as part of the same industrial grouping
if they belong to the same Major Group (i.e., which have the same two-
digit code) as described in the Standard Industrial Classification
Manual, 1972, as amended by the 1977 Supplement (U.S. Government
Printing Office stock numbers 4101-0066 and 003-005-00176-0,
respectively).
(ii) The plan may include the following provision: Notwithstanding
the provisions of paragraph (b)(6)(i) of this section, building,
structure, facility, or installation means, for onshore activities under
SIC Major Group 13: Oil and Gas Extraction, all of the pollutant-
emitting activities included in Major Group 13 that are located on one
or more contiguous or adjacent properties, and are under the control of
the same person (or persons under common control). Pollutant emitting
activities shall be considered adjacent if they are located on the same
surface site; or if they are located on surface sites that are located
within \1/4\ mile of one another (measured from the center of the
equipment on the surface site) and they share equipment. Shared
equipment includes, but is not limited to, produced fluids storage
tanks, phase separators, natural gas dehydrators or emissions control
devices. Surface site, as used in this paragraph (b)(6)(ii), has the
same meaning as in 40 CFR 63.761.
* * * * *
Subpart J_Ambient Air Quality Surveillance
Authority: Secs. 110, 301(a), 313, 319, Clean Air Act (42 U.S.C.
7410, 7601(a), 7613, 7619).
Sec. 51.190 Ambient air quality monitoring requirements.
The requirements for monitoring ambient air quality for purposes of
the plan are located in subpart C of part 58 of this chapter.
[44 FR 27569, May 10, 1979]
Subpart K_Source Survelliance
Source: 51 FR 40673, Nov. 7, 1986, unless otherwise noted.
Sec. 51.210 General.
Each plan must provide for monitoring the status of compliance with
any rules and regulations that set forth any portion of the control
strategy. Specifically, the plan must meet the requirements of this
subpart.
Sec. 51.211 Emission reports and recordkeeping.
The plan must provide for legally enforceable procedures for
requiring owners or operators of stationary sources to maintain records
of and periodically report to the State--
(a) Information on the nature and amount of emissions from the
stationary sources; and
(b) Other information as may be necessary to enable the State to
determine whether the sources are in compliance with applicable portions
of the control strategy.
Sec. 51.212 Testing, inspection, enforcement, and complaints.
The plan must provide for--
(a) Periodic testing and inspection of stationary sources; and
(b) Establishment of a system for detecting violations of any rules
and regulations through the enforcement of appropriate visible emission
limitations and for investigating complaints.
(c) Enforceable test methods for each emission limit specified in
the plan. For the purpose of submitting compliance certifications or
establishing whether or not a person has violated or is in violation of
any standard in this part, the plan must not preclude the use, including
the exclusive use, of any credible evidence or information, relevant to
whether a source would have been in compliance with applicable
requirements if the appropriate performance or compliance test or
procedure had been performed. As an enforceable method, States may use:
(1) Any of the appropriate methods in appendix M to this part,
Recommended Test Methods for State Implementation Plans; or
[[Page 295]]
(2) An alternative method following review and approval of that
method by the Administrator; or
(3) Any appropriate method in appendix A to 40 CFR part 60.
[51 FR 40673, Nov. 7, 1986, as amended at 55 FR 14249, Apr. 17, 1990; 62
FR 8328, Feb. 24, 1997]
Sec. 51.213 Transportation control measures.
(a) The plan must contain procedures for obtaining and maintaining
data on actual emissions reductions achieved as a result of implementing
transportation control measures.
(b) In the case of measures based on traffic flow changes or
reductions in vehicle use, the data must include observed changes in
vehicle miles traveled and average speeds.
(c) The data must be maintained in such a way as to facilitate
comparison of the planned and actual efficacy of the transportation
control measures.
[61 FR 30163, June 14, 1996]
Sec. 51.214 Continuous emission monitoring.
(a) The plan must contain legally enforceable procedures to--
(1) Require stationary sources subject to emission standards as part
of an applicable plan to install, calibrate, maintain, and operate
equipment for continuously monitoring and recording emissions; and
(2) Provide other information as specified in appendix P of this
part.
(b) The procedures must--
(1) Identify the types of sources, by source category and capacity,
that must install the equipment; and
(2) Identify for each source category the pollutants which must be
monitored.
(c) The procedures must, as a minimum, require the types of sources
set forth in appendix P of this part to meet the applicable requirements
set forth therein.
(d)(1) The procedures must contain provisions that require the owner
or operator of each source subject to continuous emission monitoring and
recording requirements to maintain a file of all pertinent information
for at least two years following the date of collection of that
information.
(2) The information must include emission measurements, continuous
monitoring system performance testing measurements, performance
evaluations, calibration checks, and adjustments and maintenance
performed on such monitoring systems and other reports and records
required by appendix P of this part.
(e) The procedures must require the source owner or operator to
submit information relating to emissions and operation of the emission
monitors to the State to the extent described in appendix P at least as
frequently as described therein.
(f)(1) The procedures must provide that sources subject to the
requirements of paragraph (c) of this section must have installed all
necessary equipment and shall have begun monitoring and recording within
18 months after either--
(i) The approval of a State plan requiring monitoring for that
source; or
(ii) Promulgation by the Agency of monitoring requirements for that
source.
(2) The State may grant reasonable extensions of this period to
sources that--
(i) Have made good faith efforts to purchases, install, and begin
the monitoring and recording of emission data; and
(ii) Have been unable to complete the installation within the
period.
Subpart L_Legal Authority
Source: 51 FR 40673, Nov. 7, 1986, unless otherwise noted.
Sec. 51.230 Requirements for all plans.
Each plan must show that the State has legal authority to carry out
the plan, including authority to:
(a) Adopt emission standards and limitations and any other measures
necessary for attainment and maintenance of national standards.
(b) Enforce applicable laws, regulations, and standards, and seek
injunctive relief.
(c) Abate pollutant emissions on an emergency basis to prevent
substantial endangerment to the health of persons, i.e., authority
comparable to that
[[Page 296]]
available to the Administrator under section 305 of the Act.
(d) Prevent construction, modification, or operation of a facility,
building, structure, or installation, or combination thereof, which
directly or indirectly results or may result in emissions of any air
pollutant at any location which will prevent the attainment or
maintenance of a national standard.
(e) Obtain information necessary to determine whether air pollution
sources are in compliance with applicable laws, regulations, and
standards, including authority to require recordkeeping and to make
inspections and conduct tests of air pollution sources.
(f) Require owners or operators of stationary sources to install,
maintain, and use emission monitoring devices and to make periodic
reports to the State on the nature and amounts of emissions from such
stationary sources; also authority for the State to make such data
available to the public as reported and as correlated with any
applicable emission standards or limitations.
Sec. 51.231 Identification of legal authority.
(a) The provisions of law or regulation which the State determines
provide the authorities required under this section must be specifically
identified, and copies of such laws or regulations be submitted with the
plan.
(b) The plan must show that the legal authorities specified in this
subpart are available to the State at the time of submission of the
plan.
(c) Legal authority adequate to fulfill the requirements of Sec.
51.230 (e) and (f) of this subpart may be delegated to the State under
section 114 of the Act.
Sec. 51.232 Assignment of legal authority to local agencies.
(a) A State government agency other than the State air pollution
control agency may be assigned responsibility for carrying out a portion
of a plan if the plan demonstrates to the Administrator's satisfaction
that the State governmental agency has the legal authority necessary to
carry out the portion of plan.
(b) The State may authorize a local agency to carry out a plan, or
portion thereof, within such local agency's jurisdiction if--
(1) The plan demonstrates to the Administrator's satisfaction that
the local agency has the legal authority necessary to implement the plan
or portion of it; and
(2) This authorization does not relieve the State of responsibility
under the Act for carrying out such plan, or portion thereof.
Subpart M_Intergovernmental Consultation
Authority: Secs. 110, 121, 174(a), 301(a), Clean Air Act, as amended
(42 U.S.C. 7410, 7421, 7504, and 7601(a)).
Source: 44 FR 35179, June 18, 1979, unless otherwise noted.
Agency Designation
Sec. 51.240 General plan requirements.
Each State implementation plan must identify organizations, by
official title, that will participate in developing, implementing, and
enforcing the plan and the responsibilities of such organizations. The
plan shall include any related agreements or memoranda of understanding
among the organizations.
Sec. 51.241 Nonattainment areas for carbon monoxide and ozone.
(a) For each AQCR or portion of an AQCR in which the national
primary standard for carbon monoxide or ozone will not be attained by
July 1, 1979, the Governor (or Governors for interstate areas) shall
certify, after consultation with local officials, the organization
responsible for developing the revised implementation plan or portions
thereof for such AQCR.
(b)-(f) [Reserved]
[44 FR 35179, June 18, 1979, as amended at 48 FR 29302, June 24, 1983;
60 FR 33922, June 29, 1995; 61 FR 16060, Apr. 11, 1996]
Sec. 51.242 [Reserved]
Subpart N_Compliance Schedules
Source: 51 FR 40673, Nov. 7, 1986, unless otherwise noted.
[[Page 297]]
Sec. 51.260 Legally enforceable compliance schedules.
(a) Each plan shall contain legally enforceable compliance schedules
setting forth the dates by which all stationary and mobile sources or
categories of such sources must be in compliance with any applicable
requirement of the plan.
(b) The compliance schedules must contain increments of progress
required by Sec. 51.262 of this subpart.
Sec. 51.261 Final compliance schedules.
(a) Unless EPA grants an extension under subpart R, compliance
schedules designed to provide for attainment of a primary standard
must--
(1) Provide for compliance with the applicable plan requirements as
soon as practicable; or
(2) Provide for compliance no later than the date specified for
attainment of the primary standard under;
(b) Unless EPA grants an extension under subpart R, compliance
schedules designed to provide for attainment of a secondary standard
must--
(1) Provide for compliance with the applicable plan requirements in
a reasonable time; or
(2) Provide for compliance no later than the date specified for the
attainment of the secondary standard under Sec. 51.110(c).
Sec. 51.262 Extension beyond one year.
(a) Any compliance schedule or revision of it extending over a
period of more than one year from the date of its adoption by the State
agency must provide for legally enforceable increments of progress
toward compliance by each affected source or category of sources. The
increments of progress must include--
(1) Each increment of progress specified in Sec. 51.100(q); and
(2) Additional increments of progress as may be necessary to permit
close and effective supervision of progress toward timely compliance.
(b) [Reserved]
Subpart O_Miscellaneous Plan Content Requirements
Authority: Secs. 110, 301(a), 313, 319, Clean Air Act (42 U.S.C.
7410, 7601(a), 7613, 7619).
Sec. 51.280 Resources.
Each plan must include a description of the resources available to
the State and local agencies at the date of submission of the plan and
of any additional resources needed to carry out the plan during the 5-
year period following its submission. The description must include
projections of the extent to which resources will be acquired at 1-, 3-,
and 5-year intervals.
[51 FR 40674, Nov. 7, 1986]
Sec. 51.281 Copies of rules and regulations.
Emission limitations and other measures necessary for attainment and
maintenance of any national standard, including any measures necessary
to implement the requirements of subpart L must be adopted as rules and
regulations enforceable by the State agency. Copies of all such rules
and regulations must be submitted with the plan. Submittal of a plan
setting forth proposed rules and regulations will not satisfy the
requirements of this section nor will it be considered a timely
submittal.
[51 FR 40674, Nov. 7, 1986]
Sec. 51.285 Public notification.
By March 1, 1980, the State shall submit a plan revision that
contains provisions for:
(a) Notifying the public on a regular basis of instances or areas in
which any primary standard was exceeded during any portion of the
preceding calendar year,
(b) Advising the public of the health hazards associated with such
an exceedance of a primary standard, and
(c) Increasing public awareness of:
(1) Measures which can be taken to prevent a primary standard from
being exceeded, and
(2) Ways in which the public can participate in regulatory and other
efforts to improve air quality.
[44 FR 27569, May 10, 1979]
[[Page 298]]
Sec. 51.286 Electronic reporting.
States that wish to receive electronic documents must revise the
State Implementation Plan to satisfy the requirements of 40 CFR Part 3--
(Electronic reporting).
[70 FR 59887, Oct. 13, 2005]
Subpart P_Protection of Visibility
Authority: Secs. 110, 114, 121, 160-169, 169A, and 301 of the Clean
Air Act, (42 U.S.C. 7410, 7414, 7421, 7470-7479, and 7601).
Source: 45 FR 80089, Dec. 2, 1980, unless otherwise noted.
Sec. 51.300 Purpose and applicability.
(a) Purpose. The primary purposes of this subpart are to require
States to develop programs to assure reasonable progress toward meeting
the national goal of preventing any future, and remedying any existing,
impairment of visibility in mandatory Class I Federal areas which
impairment results from manmade air pollution; and to establish
necessary additional procedures for new source permit applicants, States
and Federal Land Managers to use in conducting the visibility impact
analysis required for new sources under Sec. 51.166. This subpart sets
forth requirements addressing visibility impairment in its two principal
forms: ``reasonably attributable'' impairment (i.e., impairment
attributable to a single source/small group of sources) and regional
haze (i.e., widespread haze from a multitude of sources which impairs
visibility in every direction over a large area).
(b) Applicability--(1) General Applicability. The provisions of this
subpart pertaining to implementation plan requirements for assuring
reasonable progress in preventing any future and remedying any existing
visibility impairment are applicable to:
(i) Each State which has a mandatory Class I Federal area identified
in part 81, subpart D, of this title, and (ii) each State in which there
is any source the emissions from which may reasonably be anticipated to
cause or contribute to any impairment of visibility in any such area.
(2) The provisions of this subpart pertaining to implementation
plans to address reasonably attributable visibility impairment are
applicable to the following States:
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Florida,
Georgia, Hawaii, Idaho, Kentucky, Louisiana, Maine, Michigan,
Minnesota, Missouri, Montana, Nevada, New Hampshire, New Jersey, New
Mexico, North Carolina, North Dakota, Oklahoma, Oregon, South
Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia,
Virgin Islands, Washington, West Virginia, Wyoming.
(3) The provisions of this subpart pertaining to implementation
plans to address regional haze visibility impairment are applicable to
all States as defined in section 302(d) of the Clean Air Act (CAA)
except Guam, Puerto Rico, American Samoa, and the Northern Mariana
Islands.
[45 FR 80089, Dec. 2, 1980, as amended at 64 FR 35763, July 1, 1999]
Sec. 51.301 Definitions.
For purposes of this subpart:
Adverse impact on visibility means, for purposes of section 307,
visibility impairment which interferes with the management, protection,
preservation, or enjoyment of the visitor's visual experience of the
Federal Class I area. This determination must be made on a case-by-case
basis taking into account the geographic extent, intensity, duration,
frequency and time of visibility impairments, and how these factors
correlate with (1) times of visitor use of the Federal Class I area, and
(2) the frequency and timing of natural conditions that reduce
visibility. This term does not include effects on integral vistas.
Agency means the U.S. Environmental Protection Agency.
BART-eligible source means an existing stationary facility as
defined in this section.
Best Available Retrofit Technology (BART) means an emission
limitation based on the degree of reduction achievable through the
application of the best system of continuous emission reduction for each
pollutant which is emitted by an existing stationary facility. The
emission limitation must be
[[Page 299]]
established, on a case-by-case basis, taking into consideration the
technology available, the costs of compliance, the energy and nonair
quality environmental impacts of compliance, any pollution control
equipment in use or in existence at the source, the remaining useful
life of the source, and the degree of improvement in visibility which
may reasonably be anticipated to result from the use of such technology.
Building, structure, or facility means all of the pollutant-emitting
activities which belong to the same industrial grouping, are located on
one or more contiguous or adjacent properties, and are under the control
of the same person (or persons under common control). Pollutant-emitting
activities must be considered as part of the same industrial grouping if
they belong to the same Major Group (i.e., which have the same two-digit
code) as described in the Standard Industrial Classification Manual,
1972 as amended by the 1977 Supplement (U.S. Government Printing Office
stock numbers 4101-0066 and 003-005-00176-0 respectively).
Deciview means a measurement of visibility impairment. A deciview is
a haze index derived from calculated light extinction, such that uniform
changes in haziness correspond to uniform incremental changes in
perception across the entire range of conditions, from pristine to
highly impaired. The deciview haze index is calculated based on the
following equation (for the purposes of calculating deciview, the
atmospheric light extinction coefficient must be calculated from aerosol
measurements):
Deciview haze index = 10 lne (bext/10
Mm-1).
bext = the atmospheric light extinction coefficient,
expressed in inverse megameters (Mm-1).
Existing stationary facility means any of the following stationary
sources of air pollutants, including any reconstructed source, which was
not in operation prior to August 7, 1962, and was in existence on August
7, 1977, and has the potential to emit 250 tons per year or more of any
air pollutant. In determining potential to emit, fugitive emissions, to
the extent quantifiable, must be counted.
Fossil-fuel fired steam electric plants of more than 250 million
British thermal units per hour heat input,
Coal cleaning plants (thermal dryers),
Kraft pulp mills,
Portland cement plants,
Primary zinc smelters,
Iron and steel mill plants,
Primary aluminum ore reduction plants,
Primary copper smelters,
Municipal incinerators capable of charging more than 250 tons of
refuse per day,
Hydrofluoric, sulfuric, and nitric acid plants,
Petroleum refineries,
Lime plants,
Phosphate rock processing plants,
Coke oven batteries,
Sulfur recovery plants,
Carbon black plants (furnace process),
Primary lead smelters,
Fuel conversion plants,
Sintering plants,
Secondary metal production facilities,
Chemical process plants,
Fossil-fuel boilers of more than 250 million British thermal units
per hour heat input,
Petroleum storage and transfer facilities with a capacity exceeding
300,000 barrels,
Taconite ore processing facilities,
Glass fiber processing plants, and
Charcoal production facilities.
Federal Class I area means any Federal land that is classified or
reclassified Class I.
Federal Land Manager means the Secretary of the department with
authority over the Federal Class I area (or the Secretary's designee)
or, with respect to Roosevelt-Campobello International Park, the
Chairman of the Roosevelt-Campobello International Park Commission.
Federally enforceable means all limitations and conditions which are
enforceable by the Administrator under the Clean Air Act including those
requirements developed pursuant to
[[Page 300]]
parts 60 and 61 of this title, requirements within any applicable State
Implementation Plan, and any permit requirements established pursuant to
Sec. 52.21 of this chapter or under regulations approved pursuant to
part 51, 52, or 60 of this title.
Fixed capital cost means the capital needed to provide all of the
depreciable components.
Fugitive Emissions means those emissions which could not reasonably
pass through a stack, chimney, vent, or other functionally equivalent
opening.
Geographic enhancement for the purpose of Sec. 51.308 means a
method, procedure, or process to allow a broad regional strategy, such
as an emissions trading program designed to achieve greater reasonable
progress than BART for regional haze, to accommodate BART for reasonably
attributable impairment.
Implementation plan means, for the purposes of this part, any State
Implementation Plan, Federal Implementation Plan, or Tribal
Implementation Plan.
Indian tribe or tribe means any Indian tribe, band, nation, or other
organized group or community, including any Alaska Native village, which
is federally recognized as eligible for the special programs and
services provided by the United States to Indians because of their
status as Indians.
In existence means that the owner or operator has obtained all
necessary preconstruction approvals or permits required by Federal,
State, or local air pollution emissions and air quality laws or
regulations and either has (1) begun, or caused to begin, a continuous
program of physical on-site construction of the facility or (2) entered
into binding agreements or contractual obligations, which cannot be
cancelled or modified without substantial loss to the owner or operator,
to undertake a program of construction of the facility to be completed
in a reasonable time.
In operation means engaged in activity related to the primary design
function of the source.
Installation means an identifiable piece of process equipment.
Integral vista means a view perceived from within the mandatory
Class I Federal area of a specific landmark or panorama located outside
the boundary of the mandatory Class I Federal area.
Least impaired days means the average visibility impairment
(measured in deciviews) for the twenty percent of monitored days in a
calendar year with the lowest amount of visibility impairment.
Major stationary source and major modification mean major stationary
source and major modification, respectively, as defined in Sec. 51.166.
Mandatory Class I Federal Area means any area identified in part 81,
subpart D of this title.
Most impaired days means the average visibility impairment (measured
in deciviews) for the twenty percent of monitored days in a calendar
year with the highest amount of visibility impairment.
Natural conditions includes naturally occurring phenomena that
reduce visibility as measured in terms of light extinction, visual
range, contrast, or coloration.
Potential to emit means the maximum capacity of a stationary source
to emit a pollutant under its physical and operational design. Any
physical or operational limitation on the capacity of the 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 part of its design if the
limitation or the effect it would have on emissions is federally
enforceable. Secondary emissions do not count in determining the
potential to emit of a stationary source.
Reasonably attributable means attributable by visual observation or
any other technique the State deems appropriate.
Reasonably attributable visibility impairment means visibility
impairment that is caused by the emission of air pollutants from one, or
a small number of sources.
Reconstruction will be presumed to have taken place where the fixed
capital cost of the new component exceeds 50 percent of the fixed
capital cost of a comparable entirely new source. Any
[[Page 301]]
final decision as to whether reconstruction has occurred must be made in
accordance with the provisions of Sec. 60.15 (f) (1) through (3) of
this title.
Regional haze means visibility impairment that is caused by the
emission of air pollutants from numerous sources located over a wide
geographic area. Such sources include, but are not limited to, major and
minor stationary sources, mobile sources, and area sources.
Secondary emissions means emissions which occur as a result of the
construction or operation of an existing stationary facility but do not
come from the existing stationary facility. Secondary emissions may
include, but are not limited to, emissions from ships or trains coming
to or from the existing stationary facility.
Significant impairment means, for purposes of Sec. 51.303,
visibility impairment which, in the judgment of the Administrator,
interferes with the management, protection, preservation, or enjoyment
of the visitor's visual experience of the mandatory Class I Federal
area. This determination must be made on a case-by-case basis taking
into account the geographic extent, intensity, duration, frequency and
time of the visibility impairment, and how these factors correlate with
(1) times of visitor use of the mandatory Class I Federal area, and (2)
the frequency and timing of natural conditions that reduce visibility.
State means ``State'' as defined in section 302(d) of the CAA.
Stationary Source means any building, structure, facility, or
installation which emits or may emit any air pollutant.
Visibility impairment means any humanly perceptible change in
visibility (light extinction, visual range, contrast, coloration) from
that which would have existed under natural conditions.
Visibility in any mandatory Class I Federal area includes any
integral vista associated with that area.
[45 FR 80089, Dec. 2, 1980, as amended at 64 FR 35763, 35774, July 1,
1999]
Sec. 51.302 Implementation control strategies for reasonably attributable visibility impairment.
(a) Plan Revision Procedures. (1) Each State identified in Sec.
51.300(b)(2) must have submitted, not later than September 2, 1981, an
implementation plan meeting the requirements of this subpart pertaining
to reasonably attributable visibility impairment.
(2)(i) The State, prior to adoption of any implementation plan to
address reasonably attributable visibility impairment required by this
subpart, must conduct one or more public hearings on such plan in
accordance with Sec. 51.102.
(ii) In addition to the requirements in Sec. 51.102, the State must
provide written notification of such hearings to each affected Federal
Land Manager, and other affected States, and must state where the public
can inspect a summary prepared by the Federal Land Managers of their
conclusions and recommendations, if any, on the proposed plan revision.
(3) Submission of plans as required by this subpart must be
conducted in accordance with the procedures in Sec. 51.103.
(b) State and Federal Land Manager Coordination. (1) The State must
identify to the Federal Land Managers, in writing and within 30 days of
the date of promulgation of these regulations, the title of the official
to which the Federal Land Manager of any mandatory Class I Federal area
can submit a recommendation on the implementation of this subpart
including, but not limited to:
(i) A list of integral vistas that are to be listed by the State for
the purpose of implementing section 304,
(ii) Identification of impairment of visibility in any mandatory
Class I Federal area(s), and
(iii) Identification of elements for inclusion in the visibility
monitoring strategy required by section 305.
(2) The State must provide opportunity for consultation, in person
and at least 60 days prior to holding any public hearing on the plan,
with the Federal Land Manager on the proposed SIP revision required by
this subpart.
[[Page 302]]
This consultation must include the opportunity for the affected Federal
Land Managers to discuss their:
(i) Assessment of impairment of visibility in any mandatory Class I
Federal area, and
(ii) Recommendations on the development of the long-term strategy.
(3) The plan must provide procedures for continuing consultation
between the State and Federal Land Manager on the implementation of the
visibility protection program required by this subpart.
(c) General plan requirements for reasonably attributable visibility
impairment. (1) The affected Federal Land Manager may certify to the
State, at any time, that there exists reasonably attributable impairment
of visibility in any mandatory Class I Federal area.
(2) The plan must contain the following to address reasonably
attributable impairment:
(i) A long-term (10-15 years) strategy, as specified in Sec. 51.305
and Sec. 51.306, including such emission limitations, schedules of
compliance, and such other measures including schedules for the
implementation of the elements of the long-term strategy as may be
necessary to make reasonable progress toward the national goal specified
in Sec. 51.300(a).
(ii) An assessment of visibility impairment and a discussion of how
each element of the plan relates to the preventing of future or
remedying of existing impairment of visibility in any mandatory Class I
Federal area within the State.
(iii) Emission limitations representing BART and schedules for
compliance with BART for each existing stationary facility identified
according to paragraph (c)(4) of this section.
(3) The plan must require each source to maintain control equipment
required by this subpart and establish procedures to ensure such control
equipment is properly operated and maintained.
(4) For any existing reasonably attributable visibility impairment
the Federal Land Manager certifies to the State under paragraph (c)(1)
of this section, at least 6 months prior to plan submission or revision:
(i) The State must identify and analyze for BART each existing
stationary facility which may reasonably be anticipated to cause or
contribute to impairment of visibility in any mandatory Class I Federal
area where the impairment in the mandatory Class I Federal area is
reasonably attributable to that existing stationary facility. The State
need not consider any integral vista the Federal Land Manager did not
identify pursuant to Sec. 51.304(b) at least 6 months before plan
submission.
(ii) If the State determines that technologicial or economic
limitations on the applicability of measurement methodology to a
particular existing stationary facility would make the imposition of an
emission standard infeasible it may instead prescribe a design,
equipment, work practice, or other operational standard, or combination
thereof, to require the application of BART. Such standard, to the
degree possible, is to set forth the emission reduction to be achieved
by implementation of such design, equipment, work practice or operation,
and must provide for compliance by means which achieve equivalent
results.
(iii) BART must be determined for fossil-fuel fired generating
plants having a total generating capacity in excess of 750 megawatts
pursuant to ``Guidelines for Determining Best Available Retrofit
Technology for Coal-fired Power Plants and Other Existing Stationary
Facilities'' (1980), which is incorporated by reference, exclusive of
appendix E to the Guidelines, except that options more stringent than
NSPS must be considered. Establishing a BART emission limitation
equivalent to the NSPS level of control is not a sufficient basis to
avoid the analysis of control options required by the guidelines. This
document is EPA publication No. 450/3-80-009b and has been approved for
incorporation by reference by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. It is for sale from
the U.S. Department of Commerce, National Technical Information Service,
5285 Port Royal Road, Springfield, Virginia 22161. It is also available
for inspection from the National Archives and Records Administration
[[Page 303]]
(NARA). For information on the availability of this material at NARA,
call 202-741-6030, or go to: http://www.archives.gov/federal--register/
index.html.
(iv) The plan must require that each existing stationary facility
required to install and operate BART do so as expeditiously as
practicable but in no case later than five years after plan approval.
(v) The plan must provide for a BART analysis of any existing
stationary facility that might cause or contribute to impairment of
visibility in any mandatory Class I Federal area identified under this
paragraph (c)(4) at such times, as determined by the Administrator, as
new technology for control of the pollutant becomes reasonably available
if:
(A) The pollutant is emitted by that existing stationary facility,
(B) Controls representing BART for the pollutant have not previously
been required under this subpart, and
(C) The impairment of visibility in any mandatory Class I Federal
area is reasonably attributable to the emissions of that pollutant.
[45 FR 80089, Dec. 2, 1980, as amended at 57 FR 40042, Sept. 1, 1992; 64
FR 35764, 35774, July 1, 1999; 69 FR 18803, Apr. 9, 2004; 70 FR 39156,
July 6, 2005]
Sec. 51.303 Exemptions from control.
(a)(1) Any existing stationary facility subject to the requirement
under Sec. 51.302 to install, operate, and maintain BART may apply to
the Administrator for an exemption from that requirement.
(2) An application under this section must include all available
documentation relevant to the impact of the source's emissions on
visibility in any mandatory Class I Federal area and a demonstration by
the existing stationary facility that it does not or will not, by itself
or in combination with other sources, emit any air pollutant which may
be reasonably anticipated to cause or contribute to a significant
impairment of visibility in any mandatory Class I Federal area.
(b) Any fossil-fuel fired power plant with a total generating
capacity of 750 megawatts or more may receive an exemption from BART
only if the owner or operator of such power plant demonstrates to the
satisfaction of the Administrator that such power plant is located at
such a distance from all mandatory Class I Federal areas that such power
plant does not or will not, by itself or in combination with other
sources, emit any air pollutant which may reasonably be anticipated to
cause or contribute to significant impairment of visibility in any such
mandatory Class I Federal area.
(c) Application under this Sec. 51.303 must be accompanied by a
written concurrence from the State with regulatory authority over the
source.
(d) The existing stationary facility must give prior written notice
to all affected Federal Land Managers of any application for exemption
under this Sec. 51.303.
(e) The Federal Land Manager may provide an initial recommendation
or comment on the disposition of such application. Such recommendation,
where provided, must be part of the exemption application. This
recommendation is not to be construed as the concurrence required under
paragraph (h) of this section.
(f) The Administrator, within 90 days of receipt of an application
for exemption from control, will provide notice of receipt of an
exemption application and notice of opportunity for public hearing on
the application.
(g) After notice and opportunity for public hearing, the
Administrator may grant or deny the exemption. For purposes of judicial
review, final EPA action on an application for an exemption under this
Sec. 51.303 will not occur until EPA approves or disapproves the State
Implementation Plan revision.
(h) An exemption granted by the Administrator under this Sec.
51.303 will be effective only upon concurrence by all affected Federal
Land Managers with the Administrator's determination.
[45 FR 80089, Dec. 2, 1980, as amended at 64 FR 35774, July 1, 1999]
Sec. 51.304 Identification of integral vistas.
(a) On or before December 31, 1985 the Federal Land Manager may
identify any integral vista. The integral vista must be identified
according to criteria the Federal Land Manager develops.
[[Page 304]]
These criteria must include, but are not limited to, whether the
integral vista is important to the visitor's visual experience of the
mandatory Class I Federal area. Adoption of criteria must be preceded by
reasonable notice and opportunity for public comment on the proposed
criteria.
(b) The Federal Land Manager must notify the State of any integral
vistas identified under paragraph (a) of this section, and the reasons
therefor.
(c) The State must list in its implementation plan any integral
vista the Federal Land Manager identifies at least six months prior to
plan submission, and must list in its implementation plan at its
earliest opportunity, and in no case later than at the time of the
periodic review of the SIP required by Sec. 51.306(c), any integral
vista the Federal Land Manager identifies after that time.
(d) The State need not in its implementation plan list any integral
vista the indentification of which was not made in accordance with the
criteria in paragraph (a) of this section. In making this finding, the
State must carefully consider the expertise of the Federal Land Manager
in making the judgments called for by the criteria for identification.
Where the State and the Federal Land Manager disagree on the
identification of any integral vista, the State must give the Federal
Land Manager an opportunity to consult with the Governor of the State.
[45 FR 80089, Dec. 2, 1980, as amended at 64 FR 35774, July 1, 1999]
Sec. 51.305 Monitoring for reasonably attributable visibility impairment.
(a) For the purposes of addressing reasonably attributable
visibility impairment, each State containing a mandatory Class I Federal
area must include in the plan a strategy for evaluating reasonably
attributable visibility impairment in any mandatory Class I Federal area
by visual observation or other appropriate monitoring techniques. Such
strategy must take into account current and anticipated visibility
monitoring research, the availability of appropriate monitoring
techniques, and such guidance as is provided by the Agency.
(b) The plan must provide for the consideration of available
visibility data and must provide a mechanism for its use in decisions
required by this subpart.
[45 FR 80089, Dec. 2, 1980, as amended at 64 FR 35764, July 1, 1999]
Sec. 51.306 Long-term strategy requirements for reasonably attributable
visibility impairment.
(a)(1) For the purposes of addressing reasonably attributable
visibility impairment, each plan must include a long-term (10-15 years)
strategy for making reasonable progress toward the national goal
specified in Sec. 51.300(a). This strategy must cover any existing
impairment the Federal Land Manager certifies to the State at least 6
months prior to plan submission, and any integral vista of which the
Federal Land Manager notifies the State at least 6 months prior to plan
submission.
(2) A long-term strategy must be developed for each mandatory Class
I Federal area located within the State and each mandatory Class I
Federal area located outside the State which may be affected by sources
within the State. This does not preclude the development of a single
comprehensive plan for all such areas.
(3) The plan must set forth with reasonable specificity why the
long-term strategy is adequate for making reasonable progress toward the
national visibility goal, including remedying existing and preventing
future impairment.
(b) The State must coordinate its long-term strategy for an area
with existing plans and goals, including those provided by the affected
Federal Land Managers, that may affect impairment of visibility in any
mandatory Class I Federal area.
(c) The plan must provide for periodic review and revision, as
appropriate, of the long-term strategy for addressing reasonably
attributable visibility impairment. The plan must provide for such
periodic review and revision not less frequently than every 3 years
until the date of submission of the State's first plan addressing
regional haze visibility impairment in accordance with Sec. 51.308(b)
and (c). On
[[Page 305]]
or before this date, the State must revise its plan to provide for
review and revision of a coordinated long-term strategy for addressing
reasonably attributable and regional haze visibility impairment, and the
State must submit the first such coordinated long-term strategy. Future
coordinated long-term strategies must be submitted consistent with the
schedule for periodic progress reports set forth in Sec. 51.308(g).
Until the State revises its plan to meet this requirement, the State
must continue to comply with existing requirements for plan review and
revision, and with all emission management requirements in the plan to
address reasonably attributable impairment. This requirement does not
affect any preexisting deadlines for State submittal of a long-term
strategy review (or element thereof) between August 30, 1999, and the
date required for submission of the State's first regional haze plan. In
addition, the plan must provide for review of the long-term strategy as
it applies to reasonably attributable impairment, and revision as
appropriate, within 3 years of State receipt of any certification of
reasonably attributable impairment from a Federal Land Manager. The
review process must include consultation with the appropriate Federal
Land Managers, and the State must provide a report to the public and the
Administrator on progress toward the national goal. This report must
include an assessment of:
(1) The progress achieved in remedying existing impairment of
visibility in any mandatory Class I Federal area;
(2) The ability of the long-term strategy to prevent future
impairment of visibility in any mandatory Class I Federal area;
(3) Any change in visibility since the last such report, or, in the
case of the first report, since plan approval;
(4) Additional measures, including the need for SIP revisions, that
may be necessary to assure reasonable progress toward the national
visibility goal;
(5) The progress achieved in implementing BART and meeting other
schedules set forth in the long-term strategy;
(6) The impact of any exemption granted under Sec. 51.303;
(7) The need for BART to remedy existing visibility impairment of
any integral vista listed in the plan since the last such report, or, in
the case of the first report, since plan approval.
(d) The long-term strategy must provide for review of the impacts
from any new major stationary source or major modifications on
visibility in any mandatory Class I Federal area. This review of major
stationary sources or major modifications must be in accordance with
Sec. 51.307, Sec. 51.166, Sec. 51.160, and any other binding guidance
provided by the Agency insofar as these provisions pertain to protection
of visibility in any mandatory Class I Federal areas.
(e) The State must consider, at a minimum, the following factors
during the development of its long-term strategy:
(1) Emission reductions due to ongoing air pollution control
programs,
(2) Additional emission limitations and schedules for compliance,
(3) Measures to mitigate the impacts of construction activities,
(4) Source retirement and replacement schedules,
(5) Smoke management techniques for agricultural and forestry
management purposes including such plans as currently exist within the
State for these purposes, and
(6) Enforceability of emission limitations and control measures.
(f) The plan must discuss the reasons why the above and other
reasonable measures considered in the development of the long-term
strategy were or were not adopted as part of the long-term strategy.
(g) The State, in developing the long-term strategy, must take into
account the effect of new sources, and the costs of compliance, the time
necessary for compliance, the energy and nonair quality environmental
impacts of compliance, and the remaining useful life of any affected
existing source and equipment therein.
[45 FR 80089, Dec. 2, 1980, as amended at 64 FR 35764, 35774, July 1,
1999]
Sec. 51.307 New source review.
(a) For purposes of new source review of any new major stationary
source or
[[Page 306]]
major modification that would be constructed in an area that is
designated attainment or unclassified under section 107(d)(1)(D) or (E)
of the CAA, the State plan must, in any review under Sec. 51.166 with
respect to visibility protection and analyses, provide for:
(1) Written notification of all affected Federal Land Managers of
any proposed new major stationary source or major modification that may
affect visibility in any Federal Class I area. Such notification must be
made in writing and include a copy of all information relevant to the
permit application within 30 days of receipt of and at least 60 days
prior to public hearing by the State on the application for permit to
construct. Such notification must include an analysis of the anticipated
impacts on visibility in any Federal Class I area,
(2) Where the State requires or receives advance notification (e.g.
early consultation with the source prior to submission of the
application or notification of intent to monitor under Sec. 51.166) of
a permit application of a source that may affect visibility the State
must notify all affected Federal Land Managers within 30 days of such
advance notification, and
(3) Consideration of any analysis performed by the Federal Land
Manager, provided within 30 days of the notification and analysis
required by paragraph (a)(1) of this section, that such proposed new
major stationary source or major modification may have an adverse impact
on visibility in any Federal Class I area. Where the State finds that
such an analysis does not demonstrate to the satisfaction of the State
that an adverse impact will result in the Federal Class I area, the
State must, in the notice of public hearing, either explain its decision
or give notice as to where the explanation can be obtained.
(b) The plan shall also provide for the review of any new major
stationary source or major modification:
(1) That may have an impact on any integral vista of a mandatory
Class I Federal area, if it is identified in accordance with Sec.
51.304 by the Federal Land Manager at least 12 months before submission
of a complete permit application, except where the Federal Land Manager
has provided notice and opportunity for public comment on the integral
vista in which case the review must include impacts on any integral
vista identified at least 6 months prior to submission of a complete
permit application, unless the State determines under Sec. 51.304(d)
that the identification was not in accordance with the identification
criteria, or
(2) That proposes to locate in an area classified as nonattainment
under section 107(d)(1)(A), (B), or (C) of the Clean Air Act that may
have an impact on visibility in any mandatory Class I Federal area.
(c) Review of any major stationary source or major modification
under paragraph (b) of this section, shall be conducted in accordance
with paragraph (a) of this section, and Sec. 51.166(o), (p)(1) through
(2), and (q). In conducting such reviews the State must ensure that the
source's emissions will be consistent with making reasonable progress
toward the national visibility goal referred to in Sec. 51.300(a). The
State may take into account the costs of compliance, the time necessary
for compliance, the energy and nonair quality environmental impacts of
compliance, and the useful life of the source.
(d) The State may require monitoring of visibility in any Federal
Class I area near the proposed new stationary source or major
modification for such purposes and by such means as the State deems
necessary and appropriate.
[45 FR 80089, Dec. 2, 1980, as amended at 64 FR 35765, 35774, July 1,
1999]
Sec. 51.308 Regional haze program requirements.
(a) What is the purpose of this section? This section establishes
requirements for implementation plans, plan revisions, and periodic
progress reviews to address regional haze.
(b) When are the first implementation plans due under the regional
haze program? Except as provided in Sec. 51.309(c), each State
identified in Sec. 51.300(b)(3) must submit, for the entire State, an
implementation plan for regional haze meeting the requirements of
paragraphs (d) and (e) of this section no later than December 17, 2007.
[[Page 307]]
(c) [Reserved]
(d) What are the core requirements for the implementation plan for
regional haze? The State must address regional haze in each mandatory
Class I Federal area located within the State and in each mandatory
Class I Federal area located outside the State which may be affected by
emissions from within the State. To meet the core requirements for
regional haze for these areas, the State must submit an implementation
plan containing the following plan elements and supporting documentation
for all required analyses:
(1) Reasonable progress goals. For each mandatory Class I Federal
area located within the State, the State must establish goals (expressed
in deciviews) that provide for reasonable progress towards achieving
natural visibility conditions. The reasonable progress goals must
provide for an improvement in visibility for the most impaired days over
the period of the implementation plan and ensure no degradation in
visibility for the least impaired days over the same period.
(i) In establishing a reasonable progress goal for any mandatory
Class I Federal area within the State, the State must:
(A) Consider the costs of compliance, the time necessary for
compliance, the energy and non-air quality environmental impacts of
compliance, and the remaining useful life of any potentially affected
sources, and include a demonstration showing how these factors were
taken into consideration in selecting the goal.
(B) Analyze and determine the rate of progress needed to attain
natural visibility conditions by the year 2064. To calculate this rate
of progress, the State must compare baseline visibility conditions to
natural visibility conditions in the mandatory Federal Class I area and
determine the uniform rate of visibility improvement (measured in
deciviews) that would need to be maintained during each implementation
period in order to attain natural visibility conditions by 2064. In
establishing the reasonable progress goal, the State must consider the
uniform rate of improvement in visibility and the emission reduction
measures needed to achieve it for the period covered by the
implementation plan.
(ii) For the period of the implementation plan, if the State
establishes a reasonable progress goal that provides for a slower rate
of improvement in visibility than the rate that would be needed to
attain natural conditions by 2064, the State must demonstrate, based on
the factors in paragraph (d)(1)(i)(A) of this section, that the rate of
progress for the implementation plan to attain natural conditions by
2064 is not reasonable; and that the progress goal adopted by the State
is reasonable. The State must provide to the public for review as part
of its implementation plan an assessment of the number of years it would
take to attain natural conditions if visibility improvement continues at
the rate of progress selected by the State as reasonable.
(iii) In determining whether the State's goal for visibility
improvement provides for reasonable progress towards natural visibility
conditions, the Administrator will evaluate the demonstrations developed
by the State pursuant to paragraphs (d)(1)(i) and (d)(1)(ii) of this
section.
(iv) In developing each reasonable progress goal, the State must
consult with those States which may reasonably be anticipated to cause
or contribute to visibility impairment in the mandatory Class I Federal
area. In any situation in which the State cannot agree with another such
State or group of States that a goal provides for reasonable progress,
the State must describe in its submittal the actions taken to resolve
the disagreement. In reviewing the State's implementation plan
submittal, the Administrator will take this information into account in
determining whether the State's goal for visibility improvement provides
for reasonable progress towards natural visibility conditions.
(v) The reasonable progress goals established by the State are not
directly enforceable but will be considered by the Administrator in
evaluating the adequacy of the measures in the implementation plan to
achieve the progress goal adopted by the State.
(vi) The State may not adopt a reasonable progress goal that
represents
[[Page 308]]
less visibility improvement than is expected to result from
implementation of other requirements of the CAA during the applicable
planning period.
(2) Calculations of baseline and natural visibility conditions. For
each mandatory Class I Federal area located within the State, the State
must determine the following visibility conditions (expressed in
deciviews):
(i) Baseline visibility conditions for the most impaired and least
impaired days. The period for establishing baseline visibility
conditions is 2000 to 2004. Baseline visibility conditions must be
calculated, using available monitoring data, by establishing the average
degree of visibility impairment for the most and least impaired days for
each calendar year from 2000 to 2004. The baseline visibility conditions
are the average of these annual values. For mandatory Class I Federal
areas without onsite monitoring data for 2000-2004, the State must
establish baseline values using the most representative available
monitoring data for 2000-2004, in consultation with the Administrator or
his or her designee;
(ii) For an implementation plan that is submitted by 2003, the
period for establishing baseline visibility conditions for the period of
the first long-term strategy is the most recent 5-year period for which
visibility monitoring data are available for the mandatory Class I
Federal areas addressed by the plan. For mandatory Class I Federal areas
without onsite monitoring data, the State must establish baseline values
using the most representative available monitoring data, in consultation
with the Administrator or his or her designee;
(iii) Natural visibility conditions for the most impaired and least
impaired days. Natural visibility conditions must be calculated by
estimating the degree of visibility impairment existing under natural
conditions for the most impaired and least impaired days, based on
available monitoring information and appropriate data analysis
techniques; and
(iv)(A) For the first implementation plan addressing the
requirements of paragraphs (d) and (e) of this section, the number of
deciviews by which baseline conditions exceed natural visibility
conditions for the most impaired and least impaired days; or
(B) For all future implementation plan revisions, the number of
deciviews by which current conditions, as calculated under paragraph
(f)(1) of this section, exceed natural visibility conditions for the
most impaired and least impaired days.
(3) Long-term strategy for regional haze. Each State listed in Sec.
51.300(b)(3) must submit a long-term strategy that addresses regional
haze visibility impairment for each mandatory Class I Federal area
within the State and for each mandatory Class I Federal area located
outside the State which may be affected by emissions from the State. The
long-term strategy must include enforceable emissions limitations,
compliance schedules, and other measures as necessary to achieve the
reasonable progress goals established by States having mandatory Class I
Federal areas. In establishing its long-term strategy for regional haze,
the State must meet the following requirements:
(i) Where the State has emissions that are reasonably anticipated to
contribute to visibility impairment in any mandatory Class I Federal
area located in another State or States, the State must consult with the
other State(s) in order to develop coordinated emission management
strategies. The State must consult with any other State having emissions
that are reasonably anticipated to contribute to visibility impairment
in any mandatory Class I Federal area within the State.
(ii) Where other States cause or contribute to impairment in a
mandatory Class I Federal area, the State must demonstrate that it has
included in its implementation plan all measures necessary to obtain its
share of the emission reductions needed to meet the progress goal for
the area. If the State has participated in a regional planning process,
the State must ensure it has included all measures needed to achieve its
apportionment of emission reduction obligations agreed upon through that
process.
(iii) The State must document the technical basis, including
modeling, monitoring and emissions information,
[[Page 309]]
on which the State is relying to determine its apportionment of emission
reduction obligations necessary for achieving reasonable progress in
each mandatory Class I Federal area it affects. The State may meet this
requirement by relying on technical analyses developed by the regional
planning organization and approved by all State participants. The State
must identify the baseline emissions inventory on which its strategies
are based. The baseline emissions inventory year is presumed to be the
most recent year of the consolidate periodic emissions inventory.
(iv) The State must identify all anthropogenic sources of visibility
impairment considered by the State in developing its long-term strategy.
The State should consider major and minor stationary sources, mobile
sources, and area sources.
(v) The State must consider, at a minimum, the following factors in
developing its long-term strategy:
(A) Emission reductions due to ongoing air pollution control
programs, including measures to address reasonably attributable
visibility impairment;
(B) Measures to mitigate the impacts of construction activities;
(C) Emissions limitations and schedules for compliance to achieve
the reasonable progress goal;
(D) Source retirement and replacement schedules;
(E) Smoke management techniques for agricultural and forestry
management purposes including plans as currently exist within the State
for these purposes;
(F) Enforceability of emissions limitations and control measures;
and
(G) The anticipated net effect on visibility due to projected
changes in point, area, and mobile source emissions over the period
addressed by the long-term strategy.
(4) Monitoring strategy and other implementation plan requirements.
The State must submit with the implementation plan a monitoring strategy
for measuring, characterizing, and reporting of regional haze visibility
impairment that is representative of all mandatory Class I Federal areas
within the State. This monitoring strategy must be coordinated with the
monitoring strategy required in Sec. 51.305 for reasonably attributable
visibility impairment. Compliance with this requirement may be met
through participation in the Interagency Monitoring of Protected Visual
Environments network. The implementation plan must also provide for the
following:
(i) The establishment of any additional monitoring sites or
equipment needed to assess whether reasonable progress goals to address
regional haze for all mandatory Class I Federal areas within the State
are being achieved.
(ii) Procedures by which monitoring data and other information are
used in determining the contribution of emissions from within the State
to regional haze visibility impairment at mandatory Class I Federal
areas both within and outside the State.
(iii) For a State with no mandatory Class I Federal areas,
procedures by which monitoring data and other information are used in
determining the contribution of emissions from within the State to
regional haze visibility impairment at mandatory Class I Federal areas
in other States.
(iv) The implementation plan must provide for the reporting of all
visibility monitoring data to the Administrator at least annually for
each mandatory Class I Federal area in the State. To the extent
possible, the State should report visibility monitoring data
electronically.
(v) A statewide inventory of emissions of pollutants that are
reasonably anticipated to cause or contribute to visibility impairment
in any mandatory Class I Federal area. The inventory must include
emissions for a baseline year, emissions for the most recent year for
which data are available, and estimates of future projected emissions.
The State must also include a commitment to update the inventory
periodically.
(vi) Other elements, including reporting, recordkeeping, and other
measures, necessary to assess and report on visibility.
(e) Best Available Retrofit Technology (BART) requirements for
regional haze visibility impairment. The State must
[[Page 310]]
submit an implementation plan containing emission limitations
representing BART and schedules for compliance with BART for each BART-
eligible source that may reasonably be anticipated to cause or
contribute to any impairment of visibility in any mandatory Class I
Federal area, unless the State demonstrates that an emissions trading
program or other alternative will achieve greater reasonable progress
toward natural visibility conditions.
(1) To address the requirements for BART, the State must submit an
implementation plan containing the following plan elements and include
documentation for all required analyses:
(i) A list of all BART-eligible sources within the State.
(ii) A determination of BART for each BART-eligible source in the
State that emits any air pollutant which may reasonably be anticipated
to cause or contribute to any impairment of visibility in any mandatory
Class I Federal area. All such sources are subject to BART.
(A) The determination of BART must be based on an analysis of the
best system of continuous emission control technology available and
associated emission reductions achievable for each BART-eligible source
that is subject to BART within the State. In this analysis, the State
must take into consideration the technology available, the costs of
compliance, the energy and nonair quality environmental impacts of
compliance, any pollution control equipment in use at the source, the
remaining useful life of the source, and the degree of improvement in
visibility which may reasonably be anticipated to result from the use of
such technology.
(B) The determination of BART for fossil-fuel fired power plants
having a total generating capacity greater than 750 megawatts must be
made pursuant to the guidelines in appendix Y of this part (Guidelines
for BART Determinations Under the Regional Haze Rule).
(C) Exception. A State is not required to make a determination of
BART for SO2 or for NOX if a BART-eligible source
has the potential to emit less than 40 tons per year of such
pollutant(s), or for PM10 if a BART-eligible source has the
potential to emit less than 15 tons per year of such pollutant.
(iii) If the State determines in establishing BART that
technological or economic limitations on the applicability of
measurement methodology to a particular source would make the imposition
of an emission standard infeasible, it may instead prescribe a design,
equipment, work practice, or other operational standard, or combination
thereof, to require the application of BART. Such standard, to the
degree possible, is to set forth the emission reduction to be achieved
by implementation of such design, equipment, work practice or operation,
and must provide for compliance by means which achieve equivalent
results.
(iv) A requirement that each source subject to BART be required to
install and operate BART as expeditiously as practicable, but in no
event later than 5 years after approval of the implementation plan
revision.
(v) A requirement that each source subject to BART maintain the
control equipment required by this subpart and establish procedures to
ensure such equipment is properly operated and maintained.
(2) A State may opt to implement or require participation in an
emissions trading program or other alternative measure rather than to
require sources subject to BART to install, operate, and maintain BART.
Such an emissions trading program or other alternative measure must
achieve greater reasonable progress than would be achieved through the
installation and operation of BART. For all such emission trading
programs or other alternative measures, the State must submit an
implementation plan containing the following plan elements and include
documentation for all required analyses:
(i) A demonstration that the emissions trading program or other
alternative measure will achieve greater reasonable progress than would
have resulted from the installation and operation of BART at all sources
subject to BART in the State and covered by the alternative program.
This demonstration must be based on the following:
[[Page 311]]
(A) A list of all BART-eligible sources within the State.
(B) A list of all BART-eligible sources and all BART source
categories covered by the alternative program. The State is not required
to include every BART source category or every BART-eligible source
within a BART source category in an alternative program, but each BART-
eligible source in the State must be subject to the requirements of the
alternative program, have a federally enforceable emission limitation
determined by the State and approved by EPA as meeting BART in
accordance with section 302(c) or paragraph (e)(1) of this section, or
otherwise addressed under paragraphs (e)(1) or (e)(4)of this section.
(C) An analysis of the best system of continuous emission control
technology available and associated emission reductions achievable for
each source within the State subject to BART and covered by the
alternative program. This analysis must be conducted by making a
determination of BART for each source subject to BART and covered by the
alternative program as provided for in paragraph (e)(1) of this section,
unless the emissions trading program or other alternative measure has
been designed to meet a requirement other than BART (such as the core
requirement to have a long-term strategy to achieve the reasonable
progress goals established by States). In this case, the State may
determine the best system of continuous emission control technology and
associated emission reductions for similar types of sources within a
source category based on both source-specific and category-wide
information, as appropriate.
(D) An analysis of the projected emissions reductions achievable
through the trading program or other alternative measure.
(E) A determination under paragraph (e)(3) of this section or
otherwise based on the clear weight of evidence that the trading program
or other alternative measure achieves greater reasonable progress than
would be achieved through the installation and operation of BART at the
covered sources.
(ii) [Reserved]
(iii) A requirement that all necessary emission reductions take
place during the period of the first long-term strategy for regional
haze. To meet this requirement, the State must provide a detailed
description of the emissions trading program or other alternative
measure, including schedules for implementation, the emission reductions
required by the program, all necessary administrative and technical
procedures for implementing the program, rules for accounting and
monitoring emissions, and procedures for enforcement.
(iv) A demonstration that the emission reductions resulting from the
emissions trading program or other alternative measure will be surplus
to those reductions resulting from measures adopted to meet requirements
of the CAA as of the baseline date of the SIP.
(v) At the State's option, a provision that the emissions trading
program or other alternative measure may include a geographic
enhancement to the program to address the requirement under Sec.
51.302(c) related to BART for reasonably attributable impairment from
the pollutants covered under the emissions trading program or other
alternative measure.
(vi) For plans that include an emissions trading program that
establishes a cap on total annual emissions of SO2 or
NOX from sources subject to the program, requires the owners
and operators of sources to hold allowances or authorizations to emit
equal to emissions, and allows the owners and operators of sources and
other entities to purchase, sell, and transfer allowances, the following
elements are required concerning the emissions covered by the cap:
(A) Applicability provisions defining the sources subject to the
program. The State must demonstrate that the applicability provisions
(including the size criteria for including sources in the program) are
designed to prevent any significant potential shifting within the State
of production and emissions from sources in the program to sources
outside the program. In the case of a program covering sources in
[[Page 312]]
multiple States, the States must demonstrate that the applicability
provisions in each State cover essentially the same size facilities and,
if source categories are specified, cover the same source categories and
prevent any significant, potential shifting within such States of
production and emissions to sources outside the program.
(B) Allowance provisions ensuring that the total value of allowances
(in tons) issued each year under the program will not exceed the
emissions cap (in tons) on total annual emissions from the sources in
the program.
(C) Monitoring provisions providing for consistent and accurate
measurements of emissions from sources in the program to ensure that
each allowance actually represents the same specified tonnage of
emissions and that emissions are measured with similar accuracy at all
sources in the program. The monitoring provisions must require that
boilers, combustion turbines, and cement kilns in the program allowed to
sell or transfer allowances must comply with the requirements of part 75
of this chapter. The monitoring provisions must require that other
sources in the program allowed to sell or transfer allowances must
provide emissions information with the same precision, reliability,
accessibility, and timeliness as information provided under part 75 of
this chapter.
(D) Recordkeeping provisions that ensure the enforceability of the
emissions monitoring provisions and other program requirements. The
recordkeeping provisions must require that boilers, combustion turbines,
and cement kilns in the program allowed to sell or transfer allowances
must comply with the recordkeeping provisions of part 75 of this
chapter. The recordkeeping provisions must require that other sources in
the program allowed to sell or transfer allowances must comply with
recordkeeping requirements that, as compared with the recordkeeping
provisions under part 75 of this chapter, are of comparable stringency
and require recording of comparable types of information and retention
of the records for comparable periods of time.
(E) Reporting provisions requiring timely reporting of monitoring
data with sufficient frequency to ensure the enforceability of the
emissions monitoring provisions and other program requirements and the
ability to audit the program. The reporting provisions must require that
boilers, combustion turbines, and cement kilns in the program allowed to
sell or transfer allowances must comply with the reporting provisions of
part 75 of this chapter, except that, if the Administrator is not the
tracking system administrator for the program, emissions may be reported
to the tracking system administrator, rather than to the Administrator.
The reporting provisions must require that other sources in the program
allowed to sell or transfer allowances must comply with reporting
requirements that, as compared with the reporting provisions under part
75 of this chapter, are of comparable stringency and require reporting
of comparable types of information and require comparable timeliness and
frequency of reporting.
(F) Tracking system provisions which provide for a tracking system
that is publicly available in a secure, centralized database to track in
a consistent manner all allowances and emissions in the program.
(G) Authorized account representative provisions ensuring that the
owners and operators of a source designate one individual who is
authorized to represent the owners and operators in all matters
pertaining to the trading program.
(H) Allowance transfer provisions providing procedures that allow
timely transfer and recording of allowances, minimize administrative
barriers to the operation of the allowance market, and ensure that such
procedures apply uniformly to all sources and other potential
participants in the allowance market.
(I) Compliance provisions prohibiting a source from emitting a total
tonnage of a pollutant that exceeds the tonnage value of its allowance
holdings, including the methods and procedures for determining whether
emissions exceed allowance holdings. Such method and procedures shall
apply consistently from source to source.
(J) Penalty provisions providing for mandatory allowance deductions
for
[[Page 313]]
excess emissions that apply consistently from source to source. The
tonnage value of the allowances deducted shall equal at least three
times the tonnage of the excess emissions.
(K) For a trading program that allows banking of allowances,
provisions clarifying any restrictions on the use of these banked
allowances.
(L) Program assessment provisions providing for periodic program
evaluation to assess whether the program is accomplishing its goals and
whether modifications to the program are needed to enhance performance
of the program.
(3) A State which opts under 40 CFR 51.308(e)(2) to implement an
emissions trading program or other alternative measure rather than to
require sources subject to BART to install, operate, and maintain BART
may satisfy the final step of the demonstration required by that section
as follows: If the distribution of emissions is not substantially
different than under BART, and the alternative measure results in
greater emission reductions, then the alternative measure may be deemed
to achieve greater reasonable progress. If the distribution of emissions
is significantly different, the State must conduct dispersion modeling
to determine differences in visibility between BART and the trading
program for each impacted Class I area, for the worst and best 20
percent of days. The modeling would demonstrate ``greater reasonable
progress'' if both of the following two criteria are met:
(i) Visibility does not decline in any Class I area, and
(ii) There is an overall improvement in visibility, determined by
comparing the average differences between BART and the alternative over
all affected Class I areas.
(4) A State subject to a trading program established in accordance
with Sec. 52.38 or Sec. 52.39 under a Transport Rule Federal
Implementation Plan need not require BART-eligible fossil fuel-fired
steam electric plants in the State to install, operate, and maintain
BART for the pollutant covered by such trading program in the State. A
State that chooses to meet the emission reduction requirements of the
Transport Rule by submitting a SIP revision that establishes a trading
program and is approved as meeting the requirements of Sec. 52.38 or
Sec. 52.39 also need not require BART-eligible fossil fuel-fired steam
electric plants in the State to install, operate, and maintain BART for
the pollutant covered by such trading program in the State. A State may
adopt provisions, consistent with the requirements applicable to the
State for a trading program established in accordance with Sec. 52.38
or Sec. 52.39 under the Transport Rule Federal Implementation Plan or
established under a SIP revision that is approved as meeting the
requirements of Sec. 52.38 or Sec. 52.39, for a geographic enhancement
to the program to address the requirement under Sec. 51.302(c) related
to BART for reasonably attributable impairment from the pollutant
covered by such trading program in that State.
(5) After a State has met the requirements for BART or implemented
emissions trading program or other alternative measure that achieves
more reasonable progress than the installation and operation of BART,
BART-eligible sources will be subject to the requirements of paragraph
(d) of this section in the same manner as other sources.
(6) Any BART-eligible facility subject to the requirement under
paragraph (e) of this section to install, operate, and maintain BART may
apply to the Administrator for an exemption from that requirement. An
application for an exemption will be subject to the requirements of
Sec. 51.303(a)(2)-(h).
(f) Requirements for comprehensive periodic revisions of
implementation plans for regional haze. Each State identified in Sec.
51.300(b)(3) must revise and submit its regional haze implementation
plan revision to EPA by July 31, 2018 and every ten years thereafter. In
each plan revision, the State must evaluate and reassess all of the
elements required in paragraph (d) of this section, taking into account
improvements in monitoring data collection and analysis techniques,
control technologies, and other relevant factors. In evaluating and
reassessing these elements, the State must address the following:
(1) Current visibility conditions for the most impaired and least
impaired days, and actual progress made towards natural conditions
during the
[[Page 314]]
previous implementation period. The period for calculating current
visibility conditions is the most recent five year period preceding the
required date of the implementation plan submittal for which data are
available. Current visibility conditions must be calculated based on the
annual average level of visibility impairment for the most and least
impaired days for each of these five years. Current visibility
conditions are the average of these annual values.
(2) The effectiveness of the long-term strategy for achieving
reasonable progress goals over the prior implementation period(s); and
(3) Affirmation of, or revision to, the reasonable progress goal in
accordance with the procedures set forth in paragraph (d)(1) of this
section. If the State established a reasonable progress goal for the
prior period which provided a slower rate of progress than that needed
to attain natural conditions by the year 2064, the State must evaluate
and determine the reasonableness, based on the factors in paragraph
(d)(1)(i)(A) of this section, of additional measures that could be
adopted to achieve the degree of visibility improvement projected by the
analysis contained in the first implementation plan described in
paragraph (d)(1)(i)(B) of this section.
(g) Requirements for periodic reports describing progress towards
the reasonable progress goals. Each State identified in Sec.
51.300(b)(3) must submit a report to the Administrator every 5 years
evaluating progress towards the reasonable progress goal for each
mandatory Class I Federal area located within the State and in each
mandatory Class I Federal area located outside the State which may be
affected by emissions from within the State. The first progress report
is due 5 years from submittal of the initial implementation plan
addressing paragraphs (d) and (e) of this section. The progress reports
must be in the form of implementation plan revisions that comply with
the procedural requirements of Sec. 51.102 and Sec. 51.103. Periodic
progress reports must contain at a minimum the following elements:
(1) A description of the status of implementation of all measures
included in the implementation plan for achieving reasonable progress
goals for mandatory Class I Federal areas both within and outside the
State.
(2) A summary of the emissions reductions achieved throughout the
State through implementation of the measures described in paragraph
(g)(1) of this section.
(3) For each mandatory Class I Federal area within the State, the
State must assess the following visibility conditions and changes, with
values for most impaired and least impaired days expressed in terms of
5-year averages of these annual values.
(i) The current visibility conditions for the most impaired and
least impaired days;
(ii) The difference between current visibility conditions for the
most impaired and least impaired days and baseline visibility
conditions;
(iii) The change in visibility impairment for the most impaired and
least impaired days over the past 5 years;
(4) An analysis tracking the change over the past 5 years in
emissions of pollutants contributing to visibility impairment from all
sources and activities within the State. Emissions changes should be
identified by type of source or activity. The analysis must be based on
the most recent updated emissions inventory, with estimates projected
forward as necessary and appropriate, to account for emissions changes
during the applicable 5-year period.
(5) An assessment of any significant changes in anthropogenic
emissions within or outside the State that have occurred over the past 5
years that have limited or impeded progress in reducing pollutant
emissions and improving visibility.
(6) An assessment of whether the current implementation plan
elements and strategies are sufficient to enable the State, or other
States with mandatory Federal Class I areas affected by emissions from
the State, to meet all established reasonable progress goals.
(7) A review of the State's visibility monitoring strategy and any
modifications to the strategy as necessary.
(h) Determination of the adequacy of existing implementation plan.
At the same time the State is required to submit any 5-year progress
report to EPA in accordance with paragraph (g) of
[[Page 315]]
this section, the State must also take one of the following actions
based upon the information presented in the progress report:
(1) If the State determines that the existing implementation plan
requires no further substantive revision at this time in order to
achieve established goals for visibility improvement and emissions
reductions, the State must provide to the Administrator a negative
declaration that further revision of the existing implementation plan is
not needed at this time.
(2) If the State determines that the implementation plan is or may
be inadequate to ensure reasonable progress due to emissions from
sources in another State(s) which participated in a regional planning
process, the State must provide notification to the Administrator and to
the other State(s) which participated in the regional planning process
with the States. The State must also collaborate with the other State(s)
through the regional planning process for the purpose of developing
additional strategies to address the plan's deficiencies.
(3) Where the State determines that the implementation plan is or
may be inadequate to ensure reasonable progress due to emissions from
sources in another country, the State shall provide notification, along
with available information, to the Administrator.
(4) Where the State determines that the implementation plan is or
may be inadequate to ensure reasonable progress due to emissions from
sources within the State, the State shall revise its implementation plan
to address the plan's deficiencies within one year.
(i) What are the requirements for State and Federal Land Manager
coordination? (1) By November 29, 1999, the State must identify in
writing to the Federal Land Managers the title of the official to which
the Federal Land Manager of any mandatory Class I Federal area can
submit any recommendations on the implementation of this subpart
including, but not limited to:
(i) Identification of impairment of visibility in any mandatory
Class I Federal area(s); and
(ii) Identification of elements for inclusion in the visibility
monitoring strategy required by Sec. 51.305 and this section.
(2) The State must provide the Federal Land Manager with an
opportunity for consultation, in person and at least 60 days prior to
holding any public hearing on an implementation plan (or plan revision)
for regional haze required by this subpart. This consultation must
include the opportunity for the affected Federal Land Managers to
discuss their:
(i) Assessment of impairment of visibility in any mandatory Class I
Federal area; and
(ii) Recommendations on the development of the reasonable progress
goal and on the development and implementation of strategies to address
visibility impairment.
(3) In developing any implementation plan (or plan revision), the
State must include a description of how it addressed any comments
provided by the Federal Land Managers.
(4) The plan (or plan revision) must provide procedures for
continuing consultation between the State and Federal Land Manager on
the implementation of the visibility protection program required by this
subpart, including development and review of implementation plan
revisions and 5-year progress reports, and on the implementation of
other programs having the potential to contribute to impairment of
visibility in mandatory Class I Federal areas.
[64 FR 35765, July 1, 1999, as amended at 70 FR 39156, July 6, 2005; 71
FR 60631, Oct. 13, 2006; 77 FR 33656, June 7, 2012]
Sec. 51.309 Requirements related to the Grand Canyon Visibility
Transport Commission.
(a) What is the purpose of this section? This section establishes
the requirements for the first regional haze implementation plan to
address regional haze visibility impairment in the 16 Class I areas
covered by the Grand Canyon Visibility Transport Commission Report. For
the period through 2018, certain States (defined in paragraph (b) of
this section as Transport Region States) may choose to implement the
Commission's recommendations within the framework of the national
regional haze program
[[Page 316]]
and applicable requirements of the Act by complying with the provisions
of this section. If a Transport Region State submits an implementation
plan which is approved by EPA as meeting the requirements of this
section, it will be deemed to comply with the requirements for
reasonable progress with respect to the 16 Class I areas for the period
from approval of the plan through 2018. Any Transport Region State
electing not to submit an implementation plan under this section is
subject to the requirements of Sec. 51.308 in the same manner and to
the same extent as any State not included within the Transport Region.
Except as provided in paragraph (g) of this section, each Transport
Region State is also subject to the requirements of Sec. 51.308 with
respect to any other Federal mandatory Class I areas within the State or
affected by emissions from the State.
(b) Definitions. For the purposes of this section:
(1) 16 Class I areas means the following mandatory Class I Federal
areas on the Colorado Plateau: Grand Canyon National Park, Sycamore
Canyon Wilderness, Petrified Forest National Park, Mount Baldy
Wilderness, San Pedro Parks Wilderness, Mesa Verde National Park,
Weminuche Wilderness, Black Canyon of the Gunnison Wilderness, West Elk
Wilderness, Maroon Bells Wilderness, Flat Tops Wilderness, Arches
National Park, Canyonlands National Park, Capital Reef National Park,
Bryce Canyon National Park, and Zion National Park.
(2) Transport Region State means one of the States that is included
within the Transport Region addressed by the Grand Canyon Visibility
Transport Commission (Arizona, California, Colorado, Idaho, Nevada, New
Mexico, Oregon, Utah, and Wyoming).
(3) Commission Report means the report of the Grand Canyon
Visibility Transport Commission entitled ``Recommendations for Improving
Western Vistas,'' dated June 10, 1996.
(4) Fire means wildfire, wildland fire (including prescribed natural
fire), prescribed fire, and agricultural burning conducted and occurring
on Federal, State, and private wildlands and farmlands.
(5) Milestone means the maximum level of annual regional
SO2 emissions, in tons per year, for a given year, assessed
annually, through the year 2018, consistent with paragraph (d)(4) of
this section.
(6) Continuous decline in total mobile source emissions means that
the projected level of emissions from mobile sources of each listed
pollutant in 2008, 2013, and 2018, are less than the projected level of
emissions from mobile sources of each listed pollutant for the previous
period (i.e., 2008 less than 2003; 2013 less than 2008; and 2018 less
than 2013).
(7) Base year means the year for which data for a source included
within the program were used by the WRAP to calculate emissions as a
starting point for development of the milestone required by paragraph
(d)(4)(i) of this section.
(8) Base year means the year, generally a year between 1996 and
1998, for which data for a source included within the program were used
by the WRAP to calculate base year emissions as a starting point for
development of the Annex required by paragraph (f) of this section.
(9)-(12) [Reserved]
(13) Eligible renewable energy resource, for purposes of 40 CFR
51.309, means electricity generated by non-nuclear and non-fossil low or
no air emission technologies.
(c) Implementation Plan Schedule. Each Transport Region State
electing to submit an implementation plan under this section must submit
such a plan no later than December 17, 2007. Indian Tribes may submit
implementation plans after this deadline.
(d) Requirements of the first implementation plan for States
electing to adopt all of the recommendations of the Commission Report.
Except as provided for in paragraph (e) of this section, each Transport
Region State must submit an implementation plan that meets the following
requirements:
(1) Time period covered. The implementation plan must be effective
through December 31, 2018 and continue in effect until an implementation
plan revision is approved by EPA in accordance with Sec. 51.308(f).
[[Page 317]]
(2) Projection of visibility improvement. For each of the 16
mandatory Class I areas located within the Transport Region State, the
plan must include a projection of the improvement in visibility
conditions (expressed in deciviews, and in any additional ambient
visibility metrics deemed appropriate by the State) expected through the
year 2018 for the most impaired and least impaired days, based on the
implementation of all measures as required in the Commission report and
the provisions in this section. The projection must be made in
consultation with other Transport Region States with sources which may
be reasonably anticipated to contribute to visibility impairment in the
relevant Class I area. The projection may be based on a satisfactory
regional analysis.
(3) Treatment of clean-air corridors. The plan must describe and
provide for implementation of comprehensive emission tracking strategies
for clean-air corridors to ensure that the visibility does not degrade
on the least-impaired days at any of the 16 Class I areas. The strategy
must include:
(i) An identification of clean-air corridors. The EPA will evaluate
the State's identification of such corridors based upon the reports of
the Commission's Meteorology Subcommittee and any future updates by a
successor organization;
(ii) Within areas that are clean-air corridors, an identification of
patterns of growth or specific sites of growth that could cause, or are
causing, significant emissions increases that could have, or are having,
visibility impairment at one or more of the 16 Class I areas.
(iii) In areas outside of clean-air corridors, an identification of
significant emissions growth that could begin, or is beginning, to
impair the quality of air in the corridor and thereby lead to visibility
degradation for the least-impaired days in one or more of the 16 Class I
areas.
(iv) If impairment of air quality in clean air corridors is
identified pursuant to paragraphs (d)(3)(ii) and (iii) of this section,
an analysis of the effects of increased emissions, including provisions
for the identification of the need for additional emission reductions
measures, and implementation of the additional measures where necessary.
(v) A determination of whether other clean air corridors exist for
any of the 16 Class I areas. For any such clean air corridors, an
identification of the necessary measures to protect against future
degradation of air quality in any of the 16 Class I areas.
(4) Implementation of stationary source reductions. The first
implementation plan submission must include:
(i) Provisions for stationary source emissions of SO2.
The plan submission must include a SO2 program that contains
quantitative emissions milestones for stationary source SO2
emissions for each year through 2018. After the first two years of the
program, compliance with the annual milestones may be measured by
comparing a three-year rolling average of actual emissions with a
rolling average of the emissions milestones for the same three years.
During the first two years of the program, compliance with the
milestones may be measured by a methodology of the States' choosing, so
long as all States in the program use the same methodology. Compliance
with the 2018 milestone shall be measured by comparing actual emissions
from the year 2018 with the 2018 milestone. The milestones must provide
for steady and continuing emissions reductions through 2018 consistent
with the Commission's definition of reasonable progress, its goal of 50
to 70 percent reduction in SO2 emissions from 1990 actual
emission levels by 2040, applicable requirements under the CAA, and the
timing of implementation plan assessments of progress and identification
of any deficiencies which will be due in the years 2013 and 2018. The
milestones must be shown to provide for greater reasonable progress than
would be achieved by application of BART pursuant to Sec. 51.308(e)(2).
(ii) Documentation of emissions calculation methods for
SO2. The plan submission must include documentation of the
specific methodology used to calculate SO2 emissions during
the base year for each emitting unit included in the program. The
implementation plan must also provide for documentation of any change to
the specific
[[Page 318]]
methodology used to calculate emissions at any emitting unit for any
year after the base year.
(iii) Monitoring, recordkeeping, and reporting of SO2
emissions. The plan submission must include provisions requiring the
monitoring, recordkeeping, and annual reporting of actual stationary
source SO2 emissions within the State. The monitoring,
recordkeeping, and reporting data must be sufficient to determine
annually whether the milestone for each year through 2018 is achieved.
The plan submission must provide for reporting of these data by the
State to the Administrator and to the regional planning organization.
The plan must provide for retention of records for at least 10 years
from the establishment of the record.
(iv) Criteria and Procedures for a Market Trading Program. The plan
must include the criteria and procedures for conducting an annual
evaluation of whether the milestone is achieved and, in accordance with
paragraph (d)(4)(v) of this section, for activating a market trading
program in the event the milestone is not achieved. A draft of the
annual report evaluating whether the milestone for each year is achieved
shall be completed no later than 12 months from the end of each
milestone year. The plan must also provide for assessments of the
program in the years 2013 and 2018.
(v) Market Trading Program. The implementation plan must include
requirements for a market trading program to be implemented in the event
that a milestone is not achieved. The plan shall require that the market
trading program be activated beginning no later than 15 months after the
end of the first year in which the milestone is not achieved. The plan
shall also require that sources comply, as soon as practicable, with the
requirement to hold allowances covering their emissions. Such market
trading program must be sufficient to achieve the milestones in
paragraph (d)(4)(i) of this section, and must be consistent with the
elements for such programs outlined in Sec. 51.308(e)(2)(vi). Such a
program may include a geographic enhancement to the program to address
the requirement under Sec. 51.302(c) related to BART for reasonably
attributable impairment from the pollutants covered under the program.
(vi) Provision for the 2018 milestone.
(A) Unless and until a revised implementation plan is submitted in
accordance with Sec. 51.308(f) and approved by EPA, the implementation
plan shall prohibit emissions from covered stationary sources in any
year beginning in 2018 that exceed the year 2018 milestone. In no event
shall a market-based program approved under Sec. 51.308(f) allow an
emissions cap for SO2 that is less stringent than the 2018
milestone, unless the milestones are replaced by a different program
approved by EPA as meeting the BART and reasonable progress requirements
established in Sec. 51.308.
(B) The implementation plan must provide a framework, including
financial penalties for excess emissions based on the 2018 milestone,
sufficient to ensure that the 2018 milestone will be met even if the
implementation of the market trading program in paragraph (d)(4)(v) of
this section has not yet been triggered, or the source allowance
compliance provision of the trading program is not yet in effect.
(vii) Provisions for stationary source emissions of NOX
and PM. The implementation plan must contain any necessary long term
strategies and BART requirements for stationary source PM and
NOX emissions. Any such BART provisions may be submitted
pursuant to either Sec. 51.308(e)(1) or '51.308(e)(2).
(5) Mobile sources. The plan submission must provide for:
(i) Statewide inventories of onroad and nonroad mobile source
emissions of VOC, NOX, SO2, PM2.5,
elemental carbon, and organic carbon for the years 2003, 2008, 2013, and
2018.
(A) The inventories must demonstrate a continuous decline in total
mobile source emissions (onroad plus nonroad; tailpipe and evaporative)
of VOC, NOX, PM2.5, elemental carbon, and organic
carbon, evaluated separately. If the inventories show a continuous
decline in total mobile source emissions of each of these pollutants
over the period 2003-2018, no further action is required as part of this
plan to address mobile source emissions of
[[Page 319]]
these pollutants. If the inventories do not show a continuous decline in
mobile source emissions of one or more of these pollutants over the
period 2003-2018, the plan submission must provide for an implementation
plan revision by no later than December 31, 2008 containing any
necessary long-term strategies to achieve a continuous decline in total
mobile source emissions of the pollutant(s), to the extent practicable,
considering economic and technological reasonableness and federal
preemption of vehicle standards and fuel standards under title II of the
CAA.
(B) The plan submission must also provide for an implementation plan
revision by no later than December 31, 2008 containing any long-term
strategies necessary to reduce emissions of SO2 from nonroad
mobile sources, consistent with the goal of reasonable progress. In
assessing the need for such long-term strategies, the State may consider
emissions reductions achieved or anticipated from any new Federal
standards for sulfur in nonroad diesel fuel.
(ii) Interim reports to EPA and the public in years 2003, 2008,
2013, and 2018 on the implementation status of the regional and local
strategies recommended by the Commission Report to address mobile source
emissions.
(6) Programs related to fire. The plan must provide for:
(i) Documentation that all Federal, State, and private prescribed
fire programs within the State evaluate and address the degree
visibility impairment from smoke in their planning and application. In
addition the plan must include smoke management programs that include
all necessary components including, but not limited to, actions to
minimize emissions, evaluation of smoke dispersion, alternatives to
fire, public notification, air quality monitoring, surveillance and
enforcement, and program evaluation.
(ii) A statewide inventory and emissions tracking system (spatial
and temporal) of VOC, NOX, elemental and organic carbon, and
fine particle emissions from fire. In reporting and tracking emissions
from fire from within the State, States may use information from
regional data-gathering and tracking initiatives.
(iii) Identification and removal wherever feasible of any
administrative barriers to the use of alternatives to burning in
Federal, State, and private prescribed fire programs within the State.
(iv) Enhanced smoke management programs for fire that consider
visibility effects, not only health and nuisance objectives, and that
are based on the criteria of efficiency, economics, law, emission
reduction opportunities, land management objectives, and reduction of
visibility impact.
(v) Establishment of annual emission goals for fire, excluding
wildfire, that will minimize emission increases from fire to the maximum
extent feasible and that are established in cooperation with States,
tribes, Federal land management agencies, and private entities.
(7) Area sources of dust emissions from paved and unpaved roads. The
plan must include an assessment of the impact of dust emissions from
paved and unpaved roads on visibility conditions in the 16 Class I
Areas. If such dust emissions are determined to be a significant
contributor to visibility impairment in the 16 Class I areas, the State
must implement emissions management strategies to address the impact as
necessary and appropriate.
(8) Pollution prevention. The plan must provide for:
(i) An initial summary of all pollution prevention programs
currently in place, an inventory of all renewable energy generation
capacity and production in use, or planned as of the year 2002
(expressed in megawatts and megawatt-hours), the total energy generation
capacity and production for the State, the percent of the total that is
renewable energy, and the State's anticipated contribution toward the
renewable energy goals for 2005 and 2015, as provided in paragraph
(d)(8)(vi) of this section.
(ii) Programs to provide incentives that reward efforts that go
beyond compliance and/or achieve early compliance with air-pollution
related requirements.
(iii) Programs to preserve and expand energy conservation efforts.
(iv) The identification of specific areas where renewable energy has
the potential to supply power where it is
[[Page 320]]
now lacking and where renewable energy is most cost-effective.
(v) Projections of the short- and long-term emissions reductions,
visibility improvements, cost savings, and secondary benefits associated
with the renewable energy goals, energy efficiency and pollution
prevention activities.
(vi) A description of the programs relied on to achieve the State's
contribution toward the Commission's goal that renewable energy will
comprise 10 percent of the regional power needs by 2005 and 20 percent
by 2015, and a demonstration of the progress toward achievement of the
renewable energy goals in the years 2003, 2008, 2013, and 2018. This
description must include documentation of the potential for renewable
energy resources, the percentage of renewable energy associated with new
power generation projects implemented or planned, and the renewable
energy generation capacity and production in use and planned in the
State. To the extent that it is not feasible for a State to meet its
contribution to the regional renewable energy goals, the State must
identify in the progress reports the measures implemented to achieve its
contribution and explain why meeting the State's contribution was not
feasible.
(9) Implementation of additional recommendations. The plan must
provide for implementation of all other recommendations in the
Commission report that can be practicably included as enforceable
emission limits, schedules of compliance, or other enforceable measures
(including economic incentives) to make reasonable progress toward
remedying existing and preventing future regional haze in the 16 Class I
areas. The State must provide a report to EPA and the public in 2003,
2008, 2013, and 2018 on the progress toward developing and implementing
policy or strategy options recommended in the Commission Report.
(10) Periodic implementation plan revisions. Each Transport Region
State must submit to the Administrator periodic reports in the years
2013 and 2018. The progress reports must be in the form of
implementation plan revisions that comply with the procedural
requirements of Sec. Sec. 51.102 and 51.103.
(i) The report will assess the area for reasonable progress as
provided in this section for mandatory Class I Federal area(s) located
within the State and for mandatory Class I Federal area(s) located
outside the State which may be affected by emissions from within the
State. This demonstration may be based on assessments conducted by the
States and/or a regional planning body. The progress reports must
contain at a minimum the following elements:
(A) A description of the status of implementation of all measures
included in the implementation plan for achieving reasonable progress
goals for mandatory Class I Federal areas both within and outside the
State.
(B) A summary of the emissions reductions achieved throughout the
State through implementation of the measures described in paragraph
(d)(10)(i)(A) of this section.
(C) For each mandatory Class I Federal area within the State, an
assessment of the following: the current visibility conditions for the
most impaired and least impaired days; the difference between current
visibility conditions for the most impaired and least impaired days and
baseline visibility conditions; the change in visibility impairment for
the most impaired and least impaired days over the past 5 years.
(D) An analysis tracking the change over the past 5 years in
emissions of pollutants contributing to visibility impairment from all
sources and activities within the State. Emissions changes should be
identified by type of source or activity. The analysis must be based on
the most recent updated emissions inventory, with estimates projected
forward as necessary and appropriate, to account for emissions changes
during the applicable 5-year period.
(E) An assessment of any significant changes in anthropogenic
emissions within or outside the State that have occurred over the past 5
years that have limited or impeded progress in reducing pollutant
emissions and improving visibility.
(F) An assessment of whether the current implementation plan
elements and strategies are sufficient to enable the State, or other
States with mandatory Federal Class I areas affected by
[[Page 321]]
emissions from the State, to meet all established reasonable progress
goals.
(G) A review of the State's visibility monitoring strategy and any
modifications to the strategy as necessary.
(ii) At the same time the State is required to submit any 5-year
progress report to EPA in accordance with paragraph (d)(10)(i) of this
section, the State must also take one of the following actions based
upon the information presented in the progress report:
(A) If the State determines that the existing implementation plan
requires no further substantive revision at this time in order to
achieve established goals for visibility improvement and emissions
reductions, the State must provide to the Administrator a negative
declaration that further revision of the existing implementation plan is
not needed at this time.
(B) If the State determines that the implementation plan is or may
be inadequate to ensure reasonable progress due to emissions from
sources in another State(s) which participated in a regional planning
process, the State must provide notification to the Administrator and to
the other State(s) which participated in the regional planning process
with the States. The State must also collaborate with the other State(s)
through the regional planning process for the purpose of developing
additional strategies to address the plan's deficiencies.
(C) Where the State determines that the implementation plan is or
may be inadequate to ensure reasonable progress due to emissions from
sources in another country, the State shall provide notification, along
with available information, to the Administrator.
(D) Where the State determines that the implementation plan is or
may be inadequate to ensure reasonable progress due to emissions from
within the State, the State shall develop additional strategies to
address the plan deficiencies and revise the implementation plan no
later than one year from the date that the progress report was due.
(11) State planning and interstate coordination. In complying with
the requirements of this section, States may include emission reductions
strategies that are based on coordinated implementation with other
States. Examples of these strategies include economic incentive programs
and transboundary emissions trading programs. The implementation plan
must include documentation of the technical and policy basis for the
individual State apportionment (or the procedures for apportionment
throughout the trans-boundary region), the contribution addressed by the
State's plan, how it coordinates with other State plans, and compliance
with any other appropriate implementation plan approvability criteria.
States may rely on the relevant technical, policy and other analyses
developed by a regional entity (such as the Western Regional Air
Partnership) in providing such documentation. Conversely, States may
elect to develop their own programs without relying on work products
from a regional entity.
(12) Tribal implementation. Consistent with 40 CFR Part 49, tribes
within the Transport Region may implement the required visibility
programs for the 16 Class I areas, in the same manner as States,
regardless of whether such tribes have participated as members of a
visibility transport commission.
(e) States electing not to implement the commission recommendations.
Any Transport Region State may elect not to implement the Commission
recommendations set forth in paragraph (d) of this section. Such States
are required to comply with the timelines and requirements of Sec.
51.308. Any Transport Region State electing not to implement the
Commission recommendations must advise the other States in the Transport
Region of the nature of the program and the effect of the program on
visibility-impairing emissions, so that other States can take this
information into account in developing programs under this section.
(f) [Reserved]
(g) Additional Class I areas. Each Transport Region State
implementing the provisions of this section as the basis for
demonstrating reasonable progress for mandatory Class I Federal areas
other than the 16 Class I areas must include the following provisions in
its implementation plan. If a Transport Region State submits an
implementation plan which is approved by
[[Page 322]]
EPA as meeting the requirements of this section, it will be deemed to
comply with the requirements for reasonable progress for the period from
approval of the plan to 2018.
(1) A demonstration of expected visibility conditions for the most
impaired and least impaired days at the additional mandatory Class I
Federal area(s) based on emissions projections from the long-term
strategies in the implementation plan. This demonstration may be based
on assessments conducted by the States and/or a regional planning body.
(2) Provisions establishing reasonable progress goals and
implementing any additional measures necessary to demonstrate reasonable
progress for the additional mandatory Federal Class I areas. These
provisions must comply with the provisions of Sec. 51.308(d)(1) through
(4).
(i) In developing long-term strategies pursuant to Sec.
51.308(d)(3), the State may build upon the strategies implemented under
paragraph (d) of this section, and take full credit for the visibility
improvement achieved through these strategies.
(ii) The requirement under Sec. 51.308(e) related to Best Available
Retrofit Technology for regional haze is deemed to be satisfied for
pollutants addressed by the milestones and backstop trading program if,
in establishing the emission reductions milestones under paragraph
(d)(4) of this section, it is shown that greater reasonable progress
will be achieved for these additional Class I areas than would be
achieved through the application of source-specific BART emission
limitations under Sec. 51.308(e)(1).
(iii) The Transport Region State may consider whether any strategies
necessary to achieve the reasonable progress goals required by paragraph
(g)(2) of this section are incompatible with the strategies implemented
under paragraph (d) of this section to the extent the State adequately
demonstrates that the incompatibility is related to the costs of the
compliance, the time necessary for compliance, the energy and no air
quality environmental impacts of compliance, or the remaining useful
life of any existing source subject to such requirements.
[64 FR 35769, July 1, 1999, as amended at 68 FR 33784, June 5, 2003; 68
FR 39846, July 3, 2003; 68 FR 61369, Oct. 28, 2003; 68 FR 71014, Dec.
22, 2003; 71 FR 60632, Oct. 13, 2006]
Subpart Q_Reports
Authority: Secs. 110, 301(a), 313, 319, Clean Air Act (42 U.S.C.
7410, 7601(a), 7613, 7619).
Source: 44 FR 27569, May 10, 1979, unless otherwise noted.
Air Quality Data Reporting
Sec. 51.320 Annual air quality data report.
The requirements for reporting air quality data collected for
purposes of the plan are located in subpart C of part 58 of this
chapter.
Source Emissions and State Action Reporting
Sec. 51.321 Annual source emissions and State action report.
The State agency shall report to the Administrator (through the
appropriate Regional Office) information as specified in Sec. Sec.
51.322 through 51.326.
[67 FR 39615, June 10, 2002]
Sec. 51.322 Sources subject to emissions reporting.
The requirements for reporting emissions data under the plan are in
subpart A of this part 51.
[67 FR 39615, June 10, 2002]
Sec. 51.323 Reportable emissions data and information.
The requirements for reportable emissions data and information under
the plan are in subpart A of this part 51.
[67 FR 39615, June 10, 2002]
Sec. 51.324 Progress in plan enforcement.
(a) For each point source, the State shall report any achievement
made during the reporting period of any increment of progress of
compliance schedules required by:
(1) The applicable plan, or
[[Page 323]]
(2) Any enforcement order or other State action required to be
submitted pursuant to Sec. 51.327.
(b) For each point source, the State shall report any enforcement
action taken during the reporting period and not submitted under Sec.
51.327 which results in civil or criminal penalties.
Sec. 51.326 Reportable revisions.
The State shall identify and describe all substantive plan revisions
during the reporting period of the applicable plan other than revisions
to rules and regulations or compliance schedules submitted in accordance
with Sec. 51.6(d). Substantive revisions shall include but are not
limited to changes in stack-test procedures for determining compliance
with applicable regulations, modifications in the projected total
manpower needs to carry out the approved plan, and all changes in
responsibilities given to local agencies to carry out various portions
of the plan.
Sec. 51.327 Enforcement orders and other State actions.
(a) Any State enforcement order, including any State court order,
must be submitted to the Administrator within 60 days of its issuance or
adoption by the State.
(b) A State enforcement order or other State action must be
submitted as a revision to the applicable implementation plan pursuant
to Sec. 51.104 and approved by the Administrator in order to be
considered a revision to such plan.
[36 FR 22398, Nov. 25, 1971, as amended at 51 FR 40675, Nov. 7, 1986]
Sec. 51.328 [Reserved]
Subpart R_Extensions
Sec. 51.341 Request for 18-month extension.
(a) Upon request of the State made in accordance with this section,
the Administrator may, whenever he determines necessary, extend, for a
period not to exceed 18 months, the deadline for submitting that portion
of a plan that implements a secondary standard.
(b) Any such request must show that attainment of the secondary
standards will require emission reductions exceeding those which can be
achieved through the application of reasonably available control
technology.
(c) Any such request for extension of the deadline with respect to
any State's portion of an interstate region must be submitted jointly
with requests for such extensions from all other States within the
region or must show that all such States have been notified of such
request.
(d) Any such request must be submitted sufficiently early to permit
development of a plan prior to the deadline in the event that such
request is denied.
[51 FR 40675, Nov. 7, 1986]
Subpart S_Inspection/Maintenance Program Requirements
Source: 57 FR 52987, Nov. 5, 1992, unless otherwise noted.
Sec. 51.350 Applicability.
Inspection/maintenance (I/M) programs are required in both ozone and
carbon monoxide (CO) nonattainment areas, depending upon population and
nonattainment classification or design value.
(a) Nonattainment area classification and population criteria. (1)
States or areas within an ozone transport region shall implement
enhanced I/M programs in any metropolitan statistical area (MSA), or
portion of an MSA, within the State or area with a 1990 population of
100,000 or more as defined by the Office of Management and Budget (OMB)
regardless of the area's attainment classification. In the case of a
multi-state MSA, enhanced I/M shall be implemented in all ozone
transport region portions if the sum of these portions has a population
of 100,000 or more, irrespective of the population of the portion in the
individual ozone transport region State or area.
(2) Apart from those areas described in paragraph (a)(1) of this
section, any area classified as serious or worse ozone nonattainment, or
as moderate or serious CO nonattainment with a design value greater than
12.7 ppm, and having a 1980 Bureau of Census-defined
[[Page 324]]
(Census-defined) urbanized area population of 200,000 or more, shall
implement enhanced I/M in the 1990 Census-defined urbanized area.
(3) Any area classified, as of November 5, 1992, as marginal ozone
nonattainment or moderate CO nonattainment with a design value of 12.7
ppm or less shall continue operating I/M programs that were part of an
approved State Implementation Plan (SIP) as of November 15, 1990, and
shall update those programs as necessary to meet the basic I/M program
requirements of this subpart. Any such area required by the Clean Air
Act, as in effect prior to November 15, 1990, as interpreted in EPA
guidance, to have an I/M program shall also implement a basic I/M
program. Serious, severe and extreme ozone areas and CO areas over 12.7
ppm shall also continue operating existing I/M programs and shall
upgrade such programs, as appropriate, pursuant to this subpart.
(4) Any area classified as moderate ozone nonattainment, and not
required to implement enhanced I/M under paragraph (a)(1) of this
section, shall implement basic I/M in any 1990 Census-defined urbanized
area with a population of 200,000 or more.
(5) [Reserved]
(6) If the boundaries of a moderate ozone nonattainment area are
changed pursuant to section 107(d)(4)(A)(i)-(ii) of the Clean Air Act,
such that the area includes additional urbanized areas with a population
of 200,000 or more, then a basic I/M program shall be implemented in
these additional urbanized areas.
(7) If the boundaries of a serious or worse ozone nonattainment area
or of a moderate or serious CO nonattainment area with a design value
greater than 12.7 ppm are changed any time after enactment pursuant to
section 107(d)(4)(A) such that the area includes additional urbanized
areas, then an enhanced I/M program shall be implemented in the newly
included 1990 Census-defined urbanized areas, if the 1980 Census-defined
urban area population is 200,000 or more.
(8) If a marginal ozone nonattainment area, not required to
implement enhanced I/M under paragraph (a)(1) of this section, is
reclassified to moderate, a basic I/M program shall be implemented in
the 1990 Census-defined urbanized area(s) with a population of 200,000
or more. If the area is reclassified to serious or worse, an enhanced I/
M program shall be implemented in the 1990 Census-defined urbanized
area, if the 1980 Census-defined urban area population is 200,000 or
more.
(9) If a moderate ozone or CO nonattainment area is reclassified to
serious or worse, an enhanced I/M program shall be implemented in the
1990 Census-defined urbanized area, if the 1980 Census-defined
population is 200,000 or more.
(b) Extent of area coverage. (1) In an ozone transport region, the
program shall cover all counties within subject MSAs or subject portions
of MSAs, as defined by OMB in 1990, except largely rural counties having
a population density of less than 200 persons per square mile based on
the 1990 Census and counties with less than 1% of the population in the
MSA may be excluded provided that at least 50% of the MSA population is
included in the program. This provision does not preclude the voluntary
inclusion of portions of an excluded county. Non-urbanized islands not
connected to the mainland by roads, bridges, or tunnels may be excluded
without regard to population.
(2) Outside of ozone transport regions, programs shall nominally
cover at least the entire urbanized area, based on the 1990 census.
Exclusion of some urban population is allowed as long as an equal number
of non-urban residents of the MSA containing the subject urbanized area
are included to compensate for the exclusion.
(3) Emission reduction benefits from expanding coverage beyond the
minimum required urban area boundaries can be applied toward the
reasonable further progress requirements or can be used for offsets,
provided the covered vehicles are operated in the nonattainment area,
but not toward the enhanced I/M performance standard requirement.
(4) In a multi-state urbanized area with a population of 200,000 or
more that is required under paragraph (a) of this section to implement
I/M, any State with a portion of the area having a 1990 Census-defined
population of
[[Page 325]]
50,000 or more shall implement an I/M program. The other coverage
requirements in paragraph (b) of this section shall apply in multi-state
areas as well.
(5) Notwithstanding the limitation in paragraph (b)(3) of this
section, in an ozone transport region, States which opt for a program
which meets the performance standard described in Sec. 51.351(h) and
claim in their SIP less emission reduction credit than the basic
performance standard for one or more pollutants, may apply a geographic
bubble covering areas in the State not otherwise subject to an I/M
requirement to achieve emission reductions from other measures equal to
or greater than what would have been achieved if the low enhanced
performance standard were met in the subject I/M areas. Emissions
reductions from non-I/M measures shall not be counted towards the OTR
low enhanced performance standard.
(c) Requirements after attainment. All I/M programs shall provide
that the program will remain effective, even if the area is redesignated
to attainment status or the standard is otherwise rendered no longer
applicable, until the State submits and EPA approves a SIP revision
which convincingly demonstrates that the area can maintain the relevant
standard(s) without benefit of the emission reductions attributable to
the I/M program. The State shall commit to fully implement and enforce
the program until such a demonstration can be made and approved by EPA.
At a minimum, for the purposes of SIP approval, legislation authorizing
the program shall not sunset prior to the attainment deadline for the
applicable National Ambient Air Quality Standards (NAAQS).
(d) SIP requirements. The SIP shall describe the applicable areas in
detail and, consistent with Sec. 51.372 of this subpart, shall include
the legal authority or rules necessary to establish program boundaries.
[57 FR 52987, Nov. 5, 1992, as amended at 60 FR 48034, Sept. 18, 1995;
61 FR 39036, July 25, 1996; 65 FR 45532, July 24, 2000]
Sec. 51.351 Enhanced I/M performance standard.
(a) [Reserved]
(b) On-road testing. The performance standard shall include on-road
testing (including out-of-cycle repairs in the case of confirmed
failures) of at least 0.5% of the subject vehicle population, or 20,000
vehicles whichever is less, as a supplement to the periodic inspection
required in paragraphs (f), (g), and (h) of this section. Specific
requirements are listed in Sec. 51.371 of this subpart.
(c) On-board diagnostics (OBD). For those areas required to
implement an enhanced I/M program prior to the effective date of
designation and classifications under the 8-hour ozone standard, the
performance standard shall include inspection of all model year 1996 and
later light-duty vehicles and light-duty trucks equipped with certified
on-board diagnostic systems, and repair of malfunctions or system
deterioration identified by or affecting OBD systems as specified in
Sec. 51.357, and assuming a start date of 2002 for such testing. For
areas required to implement enhanced I/M as a result of designation and
classification under the 8-hour ozone standard, the performance standard
defined in paragraph (i) of this section shall include inspection of all
model year 2001 and later light-duty vehicles and light-duty trucks
equipped with certified on-board diagnostic systems, and repair of
malfunctions or system deterioration identified by or affecting OBD
systems as specified in Sec. 51.357, and assuming a start date of 4
years after the effective date of designation and classification under
the 8-hour ozone standard.
(d) Modeling requirements. Equivalency of the emission levels which
will be achieved by the I/M program design in the SIP to those of the
model program described in this section shall be demonstrated using the
most current version of EPA's mobile source emission model, or an
alternative approved by the Administrator, using EPA guidance to aid in
the estimation of input parameters. States may adopt alternative
approaches that meet this performance standard. States may do so through
program design changes that affect normal I/M input parameters to the
mobile source emission factor model, or through program changes (such as
the accelerated retirement of high emitting vehicles) that reduce in-
[[Page 326]]
use mobile source emissions. If the Administrator finds, under section
182(b)(1)(A)(i) of the Act pertaining to reasonable further progress
demonstrations or section 182(f)(1) of the Act pertaining to provisions
for major stationary sources, that NOX emission reductions
are not beneficial in a given ozone nonattainment area, then
NOX emission reductions are not required of the enhanced I/M
program, but the program shall be designed to offset NOX
increases resulting from the repair of HC and CO failures.
(e) [Reserved]
(f) High Enhanced Performance Standard. Enhanced I/M programs shall
be designed and implemented to meet or exceed a minimum performance
standard, which is expressed as emission levels in area-wide average
grams per mile (gpm), achieved from highway mobile sources as a result
of the program. The emission levels achieved by the State's program
design shall be calculated using the most current version, at the time
of submittal, of the EPA mobile source emission factor model or an
alternative model approved by the Administrator, and shall meet the
minimum performance standard both in operation and for SIP approval.
Areas shall meet the performance standard for the pollutants which cause
them to be subject to enhanced I/M requirements. In the case of ozone
nonattainment areas subject to enhanced I/M and subject areas in the
Ozone Transport Region, the performance standard must be met for both
oxides of nitrogen (NOx) and volatile organic compounds (VOCs), except
as provided in paragraph (d) of this section. Except as provided in
paragraphs (g) and (h) of this section, the model program elements for
the enhanced I/M performance standard shall be as follows:
(1) Network type. Centralized testing.
(2) Start date. For areas with existing I/M programs, 1983. For
areas newly subject, 1995.
(3) Test frequency. Annual testing.
(4) Model year coverage. Testing of 1968 and later vehicles.
(5) Vehicle type coverage. Light duty vehicles, and light duty
trucks, rated up to 8,500 pounds Gross Vehicle Weight Rating (GVWR).
(6) Exhaust emission test type. Transient mass-emission testing on
1986 and later model year vehicles using the IM240 driving cycle, two-
speed testing (as described in appendix B of this subpart S) of 1981-
1985 vehicles, and idle testing (as described in appendix B of this
subpart S) of pre-1981 vehicles is assumed.
(7) Emission standards. (i) Emission standards for 1986 through 1993
model year light duty vehicles, and 1994 and 1995 light-duty vehicles
not meeting Tier 1 emission standards, of 0.80 gpm hydrocarbons (HC), 20
gpm CO, and 2.0 gpm NOX;
(ii) Emission standards for 1986 through 1993 light duty trucks less
than 6000 pounds gross vehicle weight rating (GVWR), and 1994 and 1995
trucks not meeting Tier 1 emission standards, of 1.2 gpm HC, 20 gpm CO,
and 3.5 gpm NOX;
(iii) Emission standards for 1986 through 1993 light duty trucks
greater than 6000 pounds GVWR, and 1994 and 1995 trucks not meeting the
Tier 1 emission standards, of 1.2 gpm HC, 20 gpm CO, and 3.5 gpm
NOX;
(iv) Emission standards for 1994 and later light duty vehicles
meeting Tier 1 emission standards of 0.70 gpm HC, 15 gpm CO, and 1.4 gpm
NOX;
(v) Emission standards for 1994 and later light duty trucks under
6000 pounds GVWR and meeting Tier 1 emission standards of 0.70 gpm HC,
15 gpm CO, and 2.0 gpm NOX;
(vi) Emission standards for 1994 and later light duty trucks greater
than 6000 pounds GVWR and meeting Tier 1 emission standards of 0.80 gpm
HC, 15 gpm CO and 2.5 gpm NOX;
(vii) Emission standards for 1981-1985 model year vehicles of 1.2%
CO, and 220 gpm HC for the idle, two-speed tests and loaded steady-state
tests (as described in appendix B of this subpart S); and
(viii) Maximum exhaust dilution measured as no less than 6% CO plus
carbon dioxide (CO2) on vehicles subject to a steady-state
test (as described in appendix B of this subpart S); and
(viii) Maximum exhaust dilution measured as no less than 6% CO plus
carbon dioxide (CO2) on vehicles subject to a steady-state
test (as described in appendix B of this subpart S).
[[Page 327]]
(8) Emission control device inspections. (i) Visual inspection of
the catalyst and fuel inlet restrictor on all 1984 and later model year
vehicles.
(ii) Visual inspection of the positive crankcase ventilation valve
on 1968 through 1971 model years, inclusive, and of the exhaust gas
recirculation valve on 1972 through 1983 model year vehicles, inclusive.
(9) Evaporative system function checks. Evaporative system integrity
(pressure) test on 1983 and later model year vehicles and an evaporative
system transient purge test on 1986 and later model year vehicles.
(10) Stringency. A 20% emission test failure rate among pre-1981
model year vehicles.
(11) Waiver rate. A 3% waiver rate, as a percentage of failed
vehicles.
(12) Compliance rate. A 96% compliance rate.
(13) Evaluation date. Enhanced I/M program areas subject to the
provisions of this paragraph shall be shown to obtain the same or lower
emission levels as the model program described in this paragraph by
January 1, 2002 to within [0.02 gpm. Subject programs shall demonstrate
through modeling the ability to maintain this level of emission
reduction (or better) through their attainment deadline for the
applicable NAAQS standard(s).
(g) Alternate Low Enhanced I/M Performance Standard. An enhanced I/M
area which is either not subject to or has an approved State
Implementation Plan pursuant to the requirements of the Clean Air Act
Amendments of 1990 for Reasonable Further Progress in 1996, and does not
have a disapproved plan for Reasonable Further Progress for the period
after 1996 or a disapproved plan for attainment of the air quality
standards for ozone or CO, may select the alternate low enhanced I/M
performance standard described below in lieu of the standard described
in paragraph (f) of this section. The model program elements for this
alternate low enhanced I/M performance standard are:
(1) Network type. Centralized testing.
(2) Start date. For areas with existing I/M programs, 1983. For
areas newly subject, 1995.
(3) Test frequency. Annual testing.
(4) Model year coverage. Testing of 1968 and newer vehicles.
(5) Vehicle type coverage. Light duty vehicles, and light duty
trucks, rated up to 8,500 pounds GVWR.
(6) Exhaust emission test type. Idle testing of all covered vehicles
(as described in appendix B of subpart S).
(7) Emission standards. Those specified in 40 CFR part 85, subpart
W.
(8) Emission control device inspections. Visual inspection of the
positive crankcase ventilation valve on all 1968 through 1971 model year
vehicles, inclusive, and of the exhaust gas recirculation valve on all
1972 and newer model year vehicles.
(9) Evaporative system function checks. None.
(10) Stringency. A 20% emission test failure rate among pre-1981
model year vehicles.
(11) Waiver rate. A 3% waiver rate, as a percentage of failed
vehicles.
(12) Compliance rate. A 96% compliance rate.
(13) Evaluation date. Enhanced I/M program areas subject to the
provisions of this paragraph (g) shall be shown to obtain the same or
lower emission levels as the model program described in this paragraph
by January 1, 2002 to within [0.02 gpm. Subject programs shall
demonstrate through modeling the ability to maintain this level of
emission reduction (or better) through their attainment deadline for the
applicable NAAQS standard(s).
(h) Ozone Transport Region Low-Enhanced Performance Standard. An
attainment area, marginal ozone area, or moderate ozone area with a 1980
Census population of less than 200,000 in the urbanized area, in an
ozone transport region, that is required to implement enhanced I/M under
section 184(b)(1)(A) of the Clean Air Act, but was not previously
required to or did not in fact implement basic I/M under the Clean Air
Act as enacted prior to 1990 and is not subject to the requirements for
basic I/M programs in this subpart, may select the performance standard
described below in lieu of the standard described in paragraph (f) or
(g) of this section as long as the difference in emission reductions
between the program described in paragraph (g) and this paragraph are
made up with other
[[Page 328]]
measures, as provided in Sec. 51.350(b)(5). Offsetting measures shall
not include those otherwise required by the Clean Air Act in the areas
from which credit is bubbled. The program elements for this alternate
OTR enhanced I/M performance standard are:
(1) Network type. Centralized testing.
(2) Start date. January 1, 1999.
(3) Test frequency. Annual testing.
(4) Model year coverage. Testing of 1968 and newer vehicles.
(5) Vehicle type coverage. Light duty vehicles, and light duty
trucks, rated up to 8,500 pounds GVWR.
(6) Exhaust emission test type. Remote sensing measurements on 1968-
1995 vehicles; on-board diagnostic system checks on 1996 and newer
vehicles.
(7) Emission standards. For remote sensing measurements, a carbon
monoxide standard of 7.5% (with at least two separate readings above
this level to establish a failure).
(8) Emission control device inspections. Visual inspection of the
catalytic converter on 1975 and newer vehicles and visual inspection of
the positive crankcase ventilation valve on 1968-1974 vehicles.
(9) Waiver rate. A 3% waiver rate, as a percentage of failed
vehicles.
(10) Compliance rate. A 96% compliance rate.
(11) Evaluation date. Enhanced I/M program areas subject to the
provisions of this paragraph shall be shown to obtain the same or lower
VOC and NOx emission levels as the model program described in this
paragraph (h) by January 1, 2002 to within [0.02 gpm. Subject programs
shall demonstrate through modeling the ability to maintain this level of
emission reduction (or better) through their attainment deadline for the
applicable NAAQS standard(s). Equality of substituted emission
reductions to the benefits of the low enhanced performance standard must
be demonstrated for the same evaluation date.
(i) Enhanced performance standard for areas designated and
classified under the 8-hour ozone standard. Areas required to implement
an enhanced I/M program as a result of being designated and classified
under the 8-hour ozone standard, must meet or exceed the HC and
NOX emission reductions achieved by the model program defined
as follows:
(1) Network type. Centralized testing.
(2) Start date. 4 years after the effective date of designation and
classification under the 8-hour ozone standard.
(3) Test frequency. Annual testing.
(4) Model year coverage. Testing of 1968 and newer vehicles.
(5) Vehicle type coverage. Light duty vehicles, and light duty
trucks, rated up to 8,500 pounds GVWR.
(6) Emission test type. Idle testing (as described in appendix B of
this subpart) for 1968-2000 vehicles; onboard diagnostic checks on 2001
and newer vehicles.
(7) Emission standards. Those specified in 40 CFR part 85, subpart
W.
(8) Emission control device inspections. Visual inspection of the
positive crankcase ventilation valve on all 1968 through 1971 model year
vehicles, inclusive, and of the exhaust gas recirculation valve on all
1972 and newer model year vehicles.
(9) Evaporative system function checks. None, with the exception of
those performed by the OBD system on vehicles so-equipped and only for
model year 2001 and newer vehicles.
(10) Stringency. A 20% emission test failure rate among pre-1981
model year vehicles.
(11) Waiver rate. A 3% waiver rate, as a percentage of failed
vehicles.
(12) Compliance rate. A 96% compliance rate.
(13) Evaluation date. Enhanced I/M program areas subject to the
provisions of this paragraph (i) shall be shown to obtain the same or
lower emission levels for HC and NOX as the model program
described in this paragraph assuming an evaluation date set 6 years
after the effective date of designation and classification under the 8-
hour ozone standard (rounded to the nearest July) to within [0.02 gpm.
Subject programs shall demonstrate through modeling the ability to
maintain this percent level of emission reduction (or
[[Page 329]]
better) through their applicable attainment date for the 8-hour ozone
standard, also rounded to the nearest July.
[57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993; 59
FR 32343, June 23, 1994; 60 FR 48035, Sept. 18, 1995; 61 FR 39036, July
25, 1996; 61 FR 40945, Aug. 6, 1996; 63 FR 24433, May 4, 1998; 65 FR
45532, July 24, 2000; 66 FR 18176, Apr. 5, 2001; 71 FR 17710, Apr. 7,
2006]
Sec. 51.352 Basic I/M performance standard.
(a) Basic I/M programs shall be designed and implemented to meet or
exceed a minimum performance standard, which is expressed as emission
levels achieved from highway mobile sources as a result of the program.
The performance standard shall be established using the following model
I/M program inputs and local characteristics, such as vehicle mix and
local fuel controls. Similarly, the emission reduction benefits of the
State's program design shall be estimated using the most current version
of the EPA mobile source emission model, and shall meet the minimum
performance standard both in operation and for SIP approval.
(1) Network type. Centralized testing.
(2) Start date. For areas with existing I/M programs, 1983. For
areas newly subject, 1994.
(3) Test frequency. Annual testing.
(4) Model year coverage. Testing of 1968 and later model year
vehicles.
(5) Vehicle type coverage. Light duty vehicles.
(6) Exhaust emission test type. Idle test.
(7) Emission standards. No weaker than specified in 40 CFR part 85,
subpart W.
(8) Emission control device inspections. None.
(9) Stringency. A 20% emission test failure rate among pre-1981
model year vehicles.
(10) Waiver rate. A 0% waiver rate.
(11) Compliance rate. A 100% compliance rate.
(12) Evaluation date. Basic I/M programs shall be shown to obtain
the same or lower emission levels as the model inputs by 1997 for ozone
nonattainment areas and 1996 for CO nonattainment areas; and, for
serious or worse ozone nonattainment areas, on each applicable milestone
and attainment deadline, thereafter.
(b) Oxides of nitrogen. Basic I/M testing in ozone nonattainment
areas shall be designed such that no increase in NOX
emissions occurs as a result of the program. If the Administrator finds,
under section 182(b)(1)(A)(i) of the Act pertaining to reasonable
further progress demonstrations or section 182(f)(1) of the Act
pertaining to provisions for major stationary sources, that
NOX emission reductions are not beneficial in a given ozone
nonattainment area, then the basic I/M NOX requirement may be
omitted. States shall implement any required NOX controls
within 12 months of implementation of the program deadlines required in
Sec. 51.373 of this subpart, except that newly implemented I/M programs
shall include NOX controls from the start.
(c) On-board diagnostics (OBD). For those areas required to
implement a basic I/M program prior to the effective date of designation
and classification under the 8-hour ozone standard, the performance
standard shall include inspection of all model year 1996 and later
light-duty vehicles equipped with certified on-board diagnostic systems,
and repair of malfunctions or system deterioration identified by or
affecting OBD systems as specified in Sec. 51.357, and assuming a start
date of 2002 for such testing. For areas required to implement basic I/M
as a result of designation and classification under the 8-hour ozone
standard, the performance standard defined in paragraph (e) of this
section shall include inspection of all model year 2001 and later light-
duty vehicles equipped with certified on-board diagnostic systems, and
repair of malfunctions or system deterioration identified by or
affecting OBD systems as specified in Sec. 51.357, and assuming a start
date of 4 years after the effective date of designation and
classification under the 8-hour ozone standard.
(d) Modeling requirements. Equivalency of emission levels which will
be achieved by the I/M program design in the SIP to those of the model
program described in this section shall be demonstrated using the most
current version of EPA's mobile source emission model and EPA guidance
on the estimation of input parameters. Areas
[[Page 330]]
required to implement basic I/M programs shall meet the performance
standard for the pollutants which cause them to be subject to basic
requirements. Areas subject as a result of ozone nonattainment shall
meet the standard for VOCs and shall demonstrate no NOX
increase, as required in paragraph (b) of this section.
(e) Basic performance standard for areas designated non-attainment
for the 8-hour ozone standard. Areas required to implement a basic I/M
program as a result of being designated and classified under the 8-hour
ozone standard, must meet or exceed the emission reductions achieved by
the model program defined for the applicable ozone precursor(s):
(1) Network type. Centralized testing.
(2) Start date. 4 years after the effective date of designation and
classification under the 8-hour ozone standard.
(3) Test frequency. Annual testing.
(4) Model year coverage. Testing of 1968 and newer vehicles.
(5) Vehicle type coverage. Light duty vehicles.
(6) Emission test type. Idle testing (as described in appendix B of
this subpart) for 1968-2000 vehicles; onboard diagnostic checks on 2001
and newer vehicles.
(7) Emission standards. Those specified in 40 CFR part 85, subpart
W.
(8) Emission control device inspections. None.
(9) Evaporative system function checks. None, with the exception of
those performed by the OBD system on vehicles so-equipped and only for
model year 2001 and newer vehicles.
(10) Stringency. A 20% emission test failure rate among pre-1981
model year vehicles.
(11) Waiver rate. A 0% waiver rate, as a percentage of failed
vehicles.
(12) Compliance rate. A 100% compliance rate.
(13) Evaluation date. Basic I/M program areas subject to the
provisions of this paragraph (e) shall be shown to obtain the same or
lower emission levels as the model program described in this paragraph
by an evaluation date set 6 years after the effective date of
designation and classification under the 8-hour ozone standard (rounded
to the nearest July) for the applicable ozone precursor(s).
[57 FR 52987, Nov. 5, 1992, as amended at 61 FR 40945, Aug. 6, 1996; 63
FR 24433, May 4, 1998; 66 FR 18177, Apr. 5, 2001; 71 FR 17711, Apr. 7,
2006]
Sec. 51.353 Network type and program evaluation.
Basic and enhanced I/M programs can be centralized, decentralized,
or a hybrid of the two at the State's discretion, but shall be
demonstrated to achieve the same (or better) level of emission reduction
as the applicable performance standard described in either Sec. 51.351
or 51.352 of this subpart. For decentralized programs other than those
meeting the design characteristics described in paragraph (a) of this
section, the State must demonstrate that the program is achieving the
level of effectiveness claimed in the plan within 12 months of the
plan's final conditional approval before EPA can convert that approval
to a final full approval. The adequacy of these demonstrations will be
judged by the Administrator on a case-by-case basis through notice-and-
comment rulemaking.
(a) Presumptive equivalency. A decentralized network consisting of
stations that only perform official I/M testing (which may include
safety-related inspections) and in which owners and employees of those
stations, or companies owning those stations, are contractually or
legally barred from engaging in motor vehicle repair or service, motor
vehicle parts sales, and motor vehicle sale and leasing, either directly
or indirectly, and are barred from referring vehicle owners to
particular providers of motor vehicle repair services (except as
provided in Sec. 51.369(b)(1) of this subpart) shall be considered
presumptively equivalent to a centralized, test-only system including
comparable test elements. States may allow such stations to engage in
the full range of sales not covered by the above prohibition, including
self-serve gasoline, pre-packaged oil, or other, non-automotive,
convenience store items. At the State's discretion, such stations may
also fulfill other functions typically carried out by the State such as
renewal of vehicle registration and
[[Page 331]]
driver's licenses, or tax and fee collections.
(b) [Reserved]
(c) Program evaluation. Enhanced I/M programs shall include an
ongoing evaluation to quantify the emission reduction benefits of the
program, and to determine if the program is meeting the requirements of
the Clean Air Act and this subpart.
(1) The State shall report the results of the program evaluation on
a biennial basis, starting two years after the initial start date of
mandatory testing as required in Sec. 51.373 of this subpart.
(2) The evaluation shall be considered in establishing actual
emission reductions achieved from I/M for the purposes of satisfying the
requirements of sections 182(g)(1) and 182(g)(2) of the Clean Air Act,
relating to reductions in emissions and compliance demonstration.
(3) The evaluation program shall consist, at a minimum, of those
items described in paragraph (b)(1) of this section and program
evaluation data using a sound evaluation methodology, as approved by
EPA, and evaporative system checks, specified in Sec. 51.357(a) (9) and
(10) of this subpart, for model years subject to those evaporative
system test procedures. The test data shall be obtained from a
representative, random sample, taken at the time of initial inspection
(before repair) on a minimum of 0.1 percent of the vehicles subject to
inspection in a given year. Such vehicles shall receive a State
administered or monitored test, as specified in this paragraph (c)(3),
prior to the performance of I/M-triggered repairs during the inspection
cycle under consideration.
(4) The program evaluation test data shall be submitted to EPA and
shall be capable of providing accurate information about the overall
effectiveness of an I/M program, such evaluation to begin no later than
1 year after program start-up.
(5) Areas that qualify for and choose to implement an OTR low
enhanced I/M program, as established in Sec. 51.351(h), and that claim
in their SIP less emission reduction credit than the basic performance
standard for one or more pollutants, are exempt from the requirements of
paragraphs (c)(1) through (c)(4) of this section. The reports required
under Sec. 51.366 of this part shall be sufficient in these areas to
satisfy the requirements of Clean Air Act for program reporting.
(d) SIP requirements. (1) The SIP shall include a description of the
network to be employed, the required legal authority, and, in the case
of areas making claims under paragraph (b) of this section, the required
demonstration.
(2) The SIP shall include a description of the evaluation schedule
and protocol, the sampling methodology, the data collection and analysis
system, the resources and personnel for evaluation, and related details
of the evaluation program, and the legal authority enabling the
evaluation program.
[57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993; 61
FR 39037, July 25, 1996; 63 FR 1368, Jan. 9, 1998; 65 FR 45532, July 24,
2000; 71 FR 17711, Apr. 7, 2006]
Sec. 51.354 Adequate tools and resources.
(a) Administrative resources. The program shall maintain the
administrative resources necessary to perform all of the program
functions including quality assurance, data analysis and reporting, and
the holding of hearings and adjudication of cases. A portion of the test
fee or a separately assessed per vehicle fee shall be collected, placed
in a dedicated fund and retained, to be used to finance program
oversight, management, and capital expenditures. Alternatives to this
approach shall be acceptable if the State can demonstrate that adequate
funding of the program can be maintained in some other fashion (e.g.,
through contractual obligation along with demonstrated past
performance). Reliance on future uncommitted annual or biennial
appropriations from the State or local General Fund is not acceptable,
unless doing otherwise would be a violation of the State's constitution.
This section shall in no way require the establishment of a test fee if
the State chooses to fund the program in some other manner.
(b) Personnel. The program shall employ sufficient personnel to
effectively carry out the duties related to the program, including but
not limited to administrative audits, inspector audits,
[[Page 332]]
data analysis, program oversight, program evaluation, public education
and assistance, and enforcement against stations and inspectors as well
as against motorists who are out of compliance with program regulations
and requirements.
(c) Equipment. The program shall possess equipment necessary to
achieve the objectives of the program and meet program requirements,
including but not limited to a steady supply of vehicles for covert
auditing, test equipment and facilities for program evaluation, and
computers capable of data processing, analysis, and reporting. Equipment
or equivalent services may be contractor supplied or owned by the State
or local authority.
(d) SIP requirements. The SIP shall include a description of the
resources that will be used for program operation, and discuss how the
performance standard will be met.
(1) The SIP shall include a detailed budget plan which describes the
source of funds for personnel, program administration, program
enforcement, purchase of necessary equipment (such as vehicles for
undercover audits), and any other requirements discussed throughout, for
the period prior to the next biennial self-evaluation required in Sec.
51.366 of this subpart.
(2) The SIP shall include a description of personnel resources. The
plan shall include the number of personnel dedicated to overt and covert
auditing, data analysis, program administration, enforcement, and other
necessary functions and the training attendant to each function.
Sec. 51.355 Test frequency and convenience.
(a) The performance standards for I/M programs assume an annual test
frequency; other schedules may be approved if the required emission
targets are achieved. The SIP shall describe the test schedule in
detail, including the test year selection scheme if testing is other
than annual. The SIP shall include the legal authority necessary to
implement and enforce the test frequency requirement and explain how the
test frequency will be integrated with the enforcement process.
(b) In enhanced I/M programs, test systems shall be designed in such
a way as to provide convenient service to motorists required to get
their vehicles tested. The SIP shall demonstrate that the network of
stations providing test services is sufficient to insure short waiting
times to get a test and short driving distances. Stations shall be
required to adhere to regular testing hours and to test any subject
vehicle presented for a test during its test period.
Sec. 51.356 Vehicle coverage.
The performance standard for enhanced I/M programs assumes coverage
of all 1968 and later model year light duty vehicles and light duty
trucks up to 8,500 pounds GVWR, and includes vehicles operating on all
fuel types. The standard for basic I/M programs does not include light
duty trucks. Other levels of coverage may be approved if the necessary
emission reductions are achieved. Vehicles registered or required to be
registered within the I/M program area boundaries and fleets primarily
operated within the I/M program area boundaries and belonging to the
covered model years and vehicle classes comprise the subject vehicles.
(a) Subject vehicles. (1) All vehicles of a covered model year and
vehicle type shall be tested according to the applicable test schedule,
including leased vehicles whose registration or titling is in the name
of an equity owner other than the lessee or user.
(2) All subject fleet vehicles shall be inspected. Fleets may be
officially inspected outside of the normal I/M program test facilities,
if such alternatives are approved by the program administration, but
shall be subject to the same test requirements using the same quality
control standards as non-fleet vehicles. If all vehicles in a particular
fleet are tested during one part of the cycle, then the quality control
requirements shall be met during the time of testing only. Any vehicle
available for rent in the I/M area or for use in the I/M area shall be
subject. Fleet vehicles not being tested in normal I/M test facilities
in enhanced I/M programs, however, shall be inspected in
[[Page 333]]
independent, test-only facilities, according to the requirements of
Sec. 51.353(a) of this subpart.
(3) Subject vehicles which are registered in the program area but
are primarily operated in another I/M area shall be tested, either in
the area of primary operation, or in the area of registration. Alternate
schedules may be established to permit convenient testing of these
vehicles (e.g., vehicles belonging to students away at college should be
rescheduled for testing during a visit home). I/M programs shall make
provisions for providing official testing to vehicles registered
elsewhere.
(4) Vehicles which are operated on Federal installations located
within an I/M program area shall be tested, regardless of whether the
vehicles are registered in the State or local I/M area. This requirement
applies to all employee-owned or leased vehicles (including vehicles
owned, leased, or operated by civilian and military personnel on Federal
installations) as well as agency-owned or operated vehicles, except
tactical military vehicles, operated on the installation. This
requirement shall not apply to visiting agency, employee, or military
personnel vehicles as long as such visits do not exceed 60 calendar days
per year. In areas without test fees collected in the lane, arrangements
shall be made by the installation with the I/M program for reimbursement
of the costs of tests provided for agency vehicles, at the discretion of
the I/M agency. The installation shall provide documentation of proof of
compliance to the I/M agency. The documentation shall include a list of
subject vehicles and shall be updated periodically, as determined by the
I/M program administrator, but no less frequently than each inspection
cycle. The installation shall use one of the following methods to
establish proof of compliance:
(i) Presentation of a valid certificate of compliance from the local
I/M program, from any other I/M program at least as stringent as the
local program, or from any program deemed acceptable by the I/M program
administrator.
(ii) Presentation of proof of vehicle registration within the
geographic area covered by the I/M program, except for any program whose
enforcement is not through registration denial.
(iii) Another method approved by the State or local I/M program
administrator.
(5) Special exemptions may be permitted for certain subject vehicles
provided a demonstration is made that the performance standard will be
met.
(6) States may also exempt MY 1996 and newer OBD-equipped vehicles
that receive an OBD-I/M inspection from the tailpipe, purge, and fill-
neck pressure tests (where applicable) without any loss of emission
reduction credit.
(b) SIP requirements. (1) The SIP shall include a detailed
description of the number and types of vehicles to be covered by the
program, and a plan for how those vehicles are to be identified,
including vehicles that are routinely operated in the area but may not
be registered in the area.
(2) The SIP shall include a description of any special exemptions
which will be granted by the program, and an estimate of the percentage
and number of subject vehicles which will be impacted. Such exemptions
shall be accounted for in the emission reduction analysis.
(3) The SIP shall include the legal authority or rule necessary to
implement and enforce the vehicle coverage requirement.
[57 FR 52987, Nov. 5, 1992, as amended at 66 FR 18177, Apr. 5, 2001]
Sec. 51.357 Test procedures and standards.
Written test procedures and pass/fail standards shall be established
and followed for each model year and vehicle type included in the
program.
(a) Test procedure requirements. Emission tests and functional tests
shall be conducted according to good engineering practices to assure
test accuracy.
(1) Initial tests (i.e., those occurring for the first time in a
test cycle) shall be performed without repair or adjustment at the
inspection facility, prior to the test, except as provided in paragraph
(a)(10)(i) of this section.
(2) The vehicle owner or driver shall have access to the test area
such that observation of the entire official inspection process on the
vehicle is permitted. Such access may be limited but
[[Page 334]]
shall in no way prevent full observation.
(3) An official test, once initiated, shall be performed in its
entirety regardless of intermediate outcomes except in the case of
invalid test condition, unsafe conditions, fast pass/fail algorithms,
or, in the case of the on-board diagnostic (OBD) system check, unset
readiness codes.
(4) Tests involving measurement shall be performed with program-
approved equipment that has been calibrated according to the quality
procedures contained in appendix A to this subpart.
(5) Vehicles shall be rejected from testing if the exhaust system is
missing or leaking, or if the vehicle is in an unsafe condition for
testing. Coincident with mandatory OBD-I/M testing and repair of
vehicles so equipped, MY 1996 and newer vehicles shall be rejected from
testing if a scan of the OBD system reveals a ``not ready'' code for any
component of the OBD system. At a state's option it may choose
alternatively to reject MY 1996-2000 vehicles only if three or more
``not ready'' codes are present and to reject MY 2001 and later model
years only if two or more ``not ready'' codes are present. This
provision does not release manufacturers from the obligations regarding
readiness status set forth in 40 CFR 86.094-17(e)(1): ``Control of Air
Pollution From New Motor Vehicles and New Motor Vehicle Engines:
Regulations RequiringOn-Board Diagnostic Systems on 1994 and Later Model
Year Light-Duty Vehicles and Light-Duty Trucks.'' Once the cause for
rejection has been corrected, the vehicle must return for testing to
continue the testing process. Failure to return for testing in a timely
manner after rejection shall be considered non-compliance with the
program, unless the motorist can prove that the vehicle has been sold,
scrapped, or is otherwise no longer in operation within the program
area.
(6) Vehicles shall be retested after repair for any portion of the
inspection that is failed on the previous test to determine if repairs
were effective. To the extent that repair to correct a previous failure
could lead to failure of another portion of the test, that portion shall
also be retested. Evaporative system repairs shall trigger an exhaust
emissions retest (in programs which conduct an exhaust emission test as
part of the initial inspection).
(7) Steady-state testing. Steady-state tests shall be performed in
accordance with the procedures contained in appendix B to this subpart.
(8) Emission control device inspection. Visual emission control
device checks shall be performed through direct observation or through
indirect observation using a mirror, video camera or other visual aid.
These inspections shall include a determination as to whether each
subject device is present and appears to be properly connected and
appears to be the correct type for the certified vehicle configuration.
(9) Evaporative system purge test procedure. The purge test
procedure shall consist of measuring the total purge flow (in standard
liters) occurring in the vehicle's evaporative system during the
transient dynamometer emission test specified in paragraph (a)(11) of
this section. The purge flow measurement system shall be connected to
the purge portion of the evaporative system in series between the
canister and the engine, preferably near the canister. The inspector
shall be responsible for ensuring that all items that are disconnected
in the conduct of the test procedure are properly re-connected at the
conclusion of the test procedure. Alternative procedures may be used if
they are shown to be equivalent or better to the satisfaction of the
Administrator. Except in the case of government-run test facilities
claiming sovereign immunity, any damage done to the evaporative emission
control system during this test shall be repaired at the expense of the
inspection facility.
(10) Evaporative system integrity test procedure. The test sequence
shall consist of the following steps:
(i) Test equipment shall be connected to the fuel tank canister hose
at the canister end. The gas cap shall be checked to ensure that it is
properly, but not excessively tightened, and shall be tightened if
necessary.
[[Page 335]]
(ii) The system shall be pressurized to 14 [0.5 inches of water
without exceeding 26 inches of water system pressure.
(iii) Close off the pressure source, seal the evaporative system and
monitor pressure decay for up to two minutes.
(iv) Loosen the gas cap after a maximum of two minutes and monitor
for a sudden pressure drop, indicating that the fuel tank was
pressurized.
(v) The inspector shall be responsible for ensuring that all items
that are disconnected in the conduct of the test procedure are properly
re-connected at the conclusion of the test procedure.
(vi) Alternative procedures may be used if they are shown to be
equivalent or better to the satisfaction of the Administrator. Except in
the case of government-run test facilities claiming sovereign immunity,
any damage done to the evaporative emission control system during this
test shall be repaired at the expense of the inspection facility.
(11) Transient emission test. The transient emission test shall
consist of mass emission measurement using a constant volume sampler (or
an Administrator-approved alternative methodology for accounting for
exhaust volume) while the vehicle is driven through a computer-monitored
driving cycle on a dynamometer. The driving cycle shall include
acceleration, deceleration, and idle operating modes as specified in
appendix E to this subpart (or an approved alternative). The driving
cycle may be ended earlier using approved fast pass or fast fail
algorithms and multiple pass/fail algorithms may be used during the test
cycle to eliminate false failures. The transient test procedure,
including algorithms and other procedural details, shall be approved by
the Administrator prior to use in an I/M program.
(12) On-board diagnostic checks. Beginning January 1, 2002,
inspection of the on-board diagnostic (OBD) system on MY 1996 and newer
light-duty vehicles and light-duty trucks shall be conducted according
to the procedure described in 40 CFR 85.2222, at a minimum. This
inspection may be used in lieu of tailpipe, purge, and fill-neck
pressure testing. Alternatively, states may elect to phase-in OBD-I/M
testing for one test cycle by using the OBD-I/M check to screen clean
vehicles from tailpipe testing and require repair and retest for only
those vehicles which proceed to fail the tailpipe test. An additional
alternative is also available to states with regard to the deadline for
mandatory testing, repair, and retesting of vehicles based upon the OBD-
I/M check. Under this third option, if a state can show good cause (and
the Administrator takes notice-and-comment action to approve this good
cause showing as a revision to the State's Implementation Plan), up to
an additional 12 months' extensionmay be granted, establishing an
alternative start date for such states of no later than January 1, 2003.
States choosing to make this showing will also have available to them
the phase-in approach described in this section, with the one-cycle time
limit to begin coincident with the alternative start date established by
Administrator approval of the showing, but no later than January 1,
2003. The showing of good cause (and its approval or disapproval) will
be addressed on a case-by-case basis by the Administrator.
(13) Approval of alternative tests. Alternative test procedures may
be approved if the Administrator finds that such procedures show a
reasonable correlation with the Federal Test Procedure and are capable
of identifying comparable emission reductions from the I/M program as a
whole, in combination with other program elements, as would be
identified by the test(s) which they are intended to replace.
(b) Test standards--(1) Emissions standards. HC, CO, and CO +
CO2 (or CO2 alone) emission standards shall be
applicable to all vehicles subject to the program with the exception of
MY 1996 and newer OBD-equipped light-duty vehicles and light-duty
trucks, which will be held to the requirements of 40 CFR 85.2207, at a
minimum. Repairs shall be required for failure of any standard
regardless of the attainment status of the area. NOX emission
standards shall be applied to vehicles subject to a loaded mode test in
ozone nonattainment areas and in an ozone transport region, unless a
waiver of NOX controls is provided to the State under Sec.
51.351(d).
[[Page 336]]
(2) Visual equipment inspection standards. (i) Vehicles shall fail
visual inspections of subject emission control devices if such devices
are part of the original certified configuration and are found to be
missing, modified, disconnected, or improperly connected.
(ii) Vehicles shall fail visual inspections of subject emission
control devices if such devices are found to be incorrect for the
certified vehicle configuration under inspection. Aftermarket parts, as
well as original equipment manufacture parts, may be considered correct
if they are proper for the certified vehicle configuration. Where an EPA
aftermarket approval or self-certification program exists for a
particular class of subject parts, vehicles shall fail visual equipment
inspections if the part is neither original equipment manufacture nor
from an approved or self-certified aftermarket manufacturer.
(3) Functional test standards--(i) Evaporative system integrity
test. Vehicles shall fail the evaporative system pressure test if the
system cannot maintain a system pressure above eight inches of water for
up to two minutes after being pressurized to 14 [0.5 inches of water or
if no pressure drop is detected when the gas cap is loosened as
described in paragraph (a)(10)(iv) of this section. Additionally,
vehicles shall fail the evaporative test if the canister is missing or
obviously damaged, if hoses are missing or obviously disconnected, or if
the gas cap is missing.
(ii) Evaporative canister purge test. Vehicles with a total purge
system flow measuring less than one liter, over the course of the
transient test required in paragraph (a)(9) of this section, shall fail
the evaporative purge test.
(4) On-board diagnostic test standards. Vehicles shall fail the on-
board diagnostic test if they fail to meet the requirements of 40 CFR
85.2207, at a minimum. Failure of the on-board diagnostic test need not
result in failure of the vehicle inspection/maintenance test until
January 1, 2002. Alternatively, states may elect to phase-in OBD-I/M
testing for one test cycle by using the OBD- I/M check to screen clean
vehicles from tailpipe testing and require repair and retest for only
those vehicles which proceed to fail the tailpipe test. An additional
alternative is also available to states with regard to the deadline for
mandatory testing, repair, and retesting of vehicles based upon the OBD-
I/M check. Under this third option, if a state can show good cause (and
the Administrator takes notice-and-comment action to approve this good
cause showing), up to an additional 12 months' extension may be granted,
establishing an alternative start date for such states of no later than
January 1, 2003. States choosing to make this showing will also have
available to them the phase-in approach described in this section, with
the one-cycle time limit to begin coincident with the alternative start
date established by Administrator approval of the showing, but no later
than January 1, 2003. The showing of good cause (and its approval or
disapproval) will be addressed on a case-by-case basis.
(c) Fast test algorithms and standards. Special test algorithms and
pass/fail algorithms may be employed to reduce test time when the test
outcome is predictable with near certainty, if the Administrator
approves by letter the equivalency to full procedure testing.
(d) Applicability. In general, section 203(a)(3)(A) of the Clean Air
Act prohibits altering a vehicle's configuration such that it changes
from a certified to a non-certified configuration. In the inspection
process, vehicles that have been altered from their original certified
configuration are to be tested in the same manner as other subject
vehicles with the exception of MY 1996 and newer, OBD-equipped vehicles
on which the data link connector is missing, has been tampered with or
which has been altered in such a way as to make OBD system testing
impossible. Such vehicles shall be failed for the on-board diagnostics
portion of the test and are expected to be repaired so that the vehicle
is testable. Failure to return for retesting in a timely manner after
failure and repair shall be considered non-compliance with the program,
unless the motorist can prove that the vehicle has been sold, scrapped,
or is otherwise no longer in operation within the program area.
(1) Vehicles with engines other than the engine originally installed
by the
[[Page 337]]
manufacturer or an identical replacement of such engine shall be subject
to the test procedures and standards for the chassis type and model year
including visual equipment inspections for all parts that are part of
the original or now-applicable certified configuration and part of the
normal inspection. States may choose to require vehicles with such
engines to be subject to the test procedures and standards for the
engine model year if it is newer than the chassis model year.
(2) Vehicles that have been switched from an engine of one fuel type
to another fuel type that is subject to the program (e.g., from a diesel
engine to a gasoline engine) shall be subject to the test procedures and
standards for the current fuel type, and to the requirements of
paragraph (d)(1) of this section.
(3) Vehicles that are switched to a fuel type for which there is no
certified configuration shall be tested according to the most stringent
emission standards established for that vehicle type and model year.
Emission control device requirements may be waived if the program
determines that the alternatively fueled vehicle configuration would
meet the new vehicle standards for that model year without such devices.
(4) Mixing vehicle classes (e.g., light-duty with heavy-duty) and
certification types (e.g., California with Federal) within a single
vehicle configuration shall be considered tampering.
(e) SIP requirements. The SIP shall include a description of each
test procedure used. The SIP shall include the rule, ordinance or law
describing and establishing the test procedures.
[57 FR 52987, Nov. 5, 1992, as amended at 61 FR 40945, Aug. 6, 1996; 63
FR 24433, May 4, 1998; 65 FR 45533, July 24, 2000; 66 FR 18178, Apr. 5,
2001]
Sec. 51.358 Test equipment.
Computerized emission test systems are required for performing an
official emissions test on subject vehicles.
(a) Performance features of computerized emission test systems. The
emission test equipment shall be certified by the program, and newly
acquired emission test systems shall be subjected to acceptance test
procedures to ensure compliance with program specifications.
(1) Emission test equipment shall be capable of testing all subject
vehicles and shall be updated from time to time to accommodate new
technology vehicles as well as changes to the program. In the case of
OBD-based testing, the equipment used to access the onboard computer
shall be capable of testing all MY 1996 and newer, OBD-equipped light-
duty vehicles and light-duty trucks.
(2) At a minimum, emission test equipment:
(i) Shall make automatic pass/fail decisions;
(ii) Shall be secured from tampering and/or abuse;
(iii) Shall be based upon written specifications; and
(iv) Shall be capable of simultaneously sampling dual exhaust
vehicles in the case of tailpipe-based emission test equipment.
(3) The vehicle owner or driver shall be provided with a record of
test results, including all of the items listed in 40 CFR part 85,
subpart W as being required on the test record (as applicable). The test
report shall include:
(i) A vehicle description, including license plate number, vehicle
identification number, and odometer reading;
(ii) The date and time of test;
(iii) The name or identification number of the individual(s)
performing the tests and the location of the test station and lane;
(iv) The type(s) of test(s) performed;
(v) The applicable test standards;
(vi) The test results, by test, and, where applicable, by pollutant;
(vii) A statement indicating the availability of warranty coverage
as required in section 207 of the Clean Air Act;
(viii) Certification that tests were performed in accordance with
the regulations and, in the case of decentralized programs, the
signature of the individual who performed the test; and
(ix) For vehicles that fail the emission test, information on the
possible cause(s) of the failure.
(b) Functional characteristics of computerized emission test
systems. The test system is composed of motor vehicle
[[Page 338]]
test equipment controlled by a computerized processor and shall make
automatic pass/fail decisions.
(1) [Reserved]
(2) Test systems in enhanced I/M programs shall include a real-time
data link to a host computer that prevents unauthorized multiple initial
tests on the same vehicle in a test cycle and to insure test record
accuracy. For areas which have demonstrated the ability to meet their
other, non-I/M Clean Air Act requirements without relying on emission
reductions from the I/M program (and which have also elected to employ
stand-alone test equipment as part of the I/M program), such areas may
adopt alternative methods for preventing multiple initial tests, subject
to approval by the Administrator.
(3) [Reserved]
(4) On-board diagnostic test equipment requirements. The test
equipment used to perform on-board diagnostic inspections shall function
as specified in 40 CFR 85.2231.
(c) SIP requirements. The SIP shall include written technical
specifications for all test equipment used in the program and shall
address each of the above requirements (as applicable). The
specifications shall describe the testing process, the necessary test
equipment, the required features, and written acceptance testing
criteria and procedures.
[57 FR 52987, Nov. 5, 1992, as amended at 61 FR 40945, Aug. 6, 1996; 65
FR 45533, July 24, 2000; 66 FR 18178, Apr. 5, 2001]
Sec. 51.359 Quality control.
Quality control measures shall insure that emission testing
equipment is calibrated and maintained properly, and that inspection,
calibration records, and control charts are accurately created, recorded
and maintained (where applicable).
(a) General requirements. (1) The practices described in this
section and in appendix A to this subpart shall be followed for those
tests (or portions of tests) which fall into the testing categories
identified. Alternatives or exceptions to these procedures or
frequencies may be approved by the Administrator based on a
demonstration of comparable performance.
(2) Preventive maintenance on all inspection equipment necessary to
insure accurate and repeatable operation shall be performed on a
periodic basis.
(3) [Reserved]
(b) Requirements for steady-state emissions testing equipment. (1)
Equipment shall be maintained according to demonstrated good engineering
practices to assure test accuracy. The calibration and adjustment
requirements in appendix A to this subpart shall apply to all steady-
state test equipment. States may adjust calibration schedules and other
quality control frequencies by using statistical process control to
monitor equipment performance on an ongoing basis.
(2) For analyzers that use ambient air as zero air, provision shall
be made to draw the air from outside the inspection bay or lane in which
the analyzer is situated.
(3) The analyzer housing shall be constructed to protect the
analyzer bench and electrical components from ambient temperature and
humidity fluctuations that exceed the range of the analyzer's design
specifications.
(4) Analyzers shall automatically purge the analytical system after
each test.
(c) Requirements for transient exhaust emission test equipment.
Equipment shall be maintained according to demonstrated good engineering
practices to assure test accuracy. Computer control of quality assurance
checks and quality control charts shall be used whenever possible.
Exceptions to the procedures and the frequency of the checks described
in appendix A of this subpart may be approved by the Administrator based
on a demonstration of comparable performance.
(d) Requirements for evaporative system functional test equipment.
Equipment shall be maintained according to demonstrated good engineering
practices to assure test accuracy. Computer control of quality assurance
checks and quality control charts shall be used whenever possible.
Exceptions to the procedures and the frequency of the checks described
in appendix A of this subpart may be approved by the Administrator based
on a demonstration of comparable performance.
[[Page 339]]
(e) Document security. Measures shall be taken to maintain the
security of all documents by which compliance with the inspection
requirement is established including, but not limited to inspection
certificates, waiver certificates, license plates, license tabs, and
stickers. This section shall in no way require the use of paper
documents but shall apply if they are used by the program for these
purposes.
(1) Compliance documents shall be counterfeit resistant. Such
measures as the use of special fonts, water marks, ultra-violet inks,
encoded magnetic strips, unique bar-coded identifiers, and difficult to
acquire materials may be used to accomplish this requirement.
(2) All inspection certificates, waiver certificates, and stickers
shall be printed with a unique serial number and an official program
seal.
(3) Measures shall be taken to ensure that compliance documents
cannot be stolen or removed without being damaged.
(f) SIP requirements. The SIP shall include a description of quality
control and record keeping procedures. The SIP shall include the
procedure manual, rule, ordinance or law describing and establishing the
quality control procedures and requirements.
[57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993; 65
FR 45533, July 24, 2000]
Sec. 51.360 Waivers and compliance via diagnostic inspection.
The program may allow the issuance of a waiver, which is a form of
compliance with the program requirements that allows a motorist to
comply without meeting the applicable test standards, as long as the
prescribed criteria described below are met.
(a) Waiver issuance criteria. The waiver criteria shall include the
following at a minimum.
(1) Waivers shall be issued only after a vehicle has failed a retest
performed after all qualifying repairs have been completed. Qualifying
repairs include repairs of the emission control components, listed in
paragraph (a)(5) of this section, performed within 60 days of the test
date.
(2) Any available warranty coverage shall be used to obtain needed
repairs before expenditures can be counted towards the cost limits in
paragraphs (a)(5) and (a)(6) of this section. The operator of a vehicle
within the statutory age and mileage coverage under section 207(b) of
the Clean Air Act shall present a written denial of warranty coverage
from the manufacturer or authorized dealer for this provision to be
waived for approved tests applicable to the vehicle.
(3) Waivers shall not be issued to vehicles for tampering-related
repairs. The cost of tampering-related repairs shall not be applicable
to the minimum expenditure in paragraphs (a)(5) and (a)(6) of this
section. States may issue exemptions for tampering-related repairs if it
can be verified that the part in question or one similar to it is no
longer available for sale.
(4) Repairs shall be appropriate to the cause of the test failure,
and a visual check shall be made to determine if repairs were actually
made if, given the nature of the repair, it can be visually confirmed.
Receipts shall be submitted for review to further verify that qualifying
repairs were performed.
(5) General repairs shall be performed by a recognized repair
technician (i.e., one professionally engaged in vehicle repair, employed
by a going concern whose purpose is vehicle repair, or possessing
nationally recognized certification for emission-related diagnosis and
repair) in order to qualify for a waiver. I/M programs may allow the
cost of parts (not labor) utilized by non-technicians (e.g., owners) to
apply toward the waiver limit. The waiver would apply to the cost of
parts for the repair or replacement of the following list of emission
control components: oxygen sensor, catalytic converter, thermal reactor,
EGR valve, fuel filler cap, evaporative canister, PCV valve, air pump,
distributor, ignition wires, coil, and spark plugs. The cost of any
hoses, gaskets, belts, clamps, brackets or other accessories directly
associated with these components may also be applied to the waiver
limit.
(6) In basic programs, a minimum of $75 for pre-81 vehicles and $200
for 1981 and newer vehicles shall be spent in order to qualify for a
waiver. These
[[Page 340]]
model year cutoffs and the associated dollar limits shall be in full
effect by January 1, 1998, or coincident with program start-up,
whichever is later. Prior to January 1, 1998, States may adopt any
minimum expenditure commensurate with the waiver rate committed to for
the purposes of modeling compliance with the basic I/M performance
standard.
(7) Beginning on January 1, 1998, enhanced I/M programs shall
require the motorist to make an expenditure of at least $450 in repairs
to qualify for a waiver. The I/M program shall provide that the $450
minimum expenditure shall be adjusted in January of each year by the
percentage, if any, by which the Consumer Price Index for the preceding
calendar year differs from the Consumer Price Index of 1989. Prior to
January 1, 1998, States may adopt any minimum expenditure commensurate
with the waiver rate committed to for the purposes of modeling
compliance with the relevant enhanced I/M performance standard.
(i) The Consumer Price Index for any calendar year is the average of
the Consumer Price Index for all-urban consumers published by the
Department of Labor, as of the close of the 12-month period ending on
August 31 of each calendar year. A copy of the current Consumer Price
Index may be obtained from the Emission Planning and Strategies
Division, U.S. Environmental Protection Agency, 2565 Plymouth Road, Ann
Arbor, Michigan 48105.
(ii) The revision of the Consumer Price Index which is most
consistent with the Consumer Price Index for calendar year 1989 shall be
used.
(8) States may establish lower minimum expenditures if a program is
established to scrap vehicles that do not meet standards after the lower
expe nditure is made.
(9) A time extension, not to exceed the period of the inspection
frequency, may be granted to obtain needed repairs on a vehicle in the
case of economic hardship when waiver requirements have not been met.
After having received a time extension, a vehicle must fully pass the
applicable test standards before becoming eligible for another time
extension. The extension for a vehicle shall be tracked and reported by
the program.
(b) Compliance via diagnostic inspection. Vehicles subject to a
transient IM240 emission test at the cutpoints established in Sec. Sec.
51.351 (f)(7) and (g)(7) of this subpart may be issued a certificate of
compliance without meeting the prescribed emission cutpoints, if, after
failing a retest on emissions, a complete, documented physical and
functional diagnosis and inspection performed by the I/M agency or a
contractor to the I/M agency show that no additional emission-related
repairs are needed. Any such exemption policy and procedures shall be
subject to approval by the Administrator.
(c) Quality control of waiver issuance. (1) Enhanced programs shall
control waiver issuance and processing by establishing a system of
agency-issued waivers. The State may delegate this authority to a single
contractor but inspectors in stations and lanes shall not issue waivers.
Basic programs may permit inspector-issued waivers as long as quality
assurance efforts include a comprehensive review of waiver issuance.
(2) The program shall include methods of informing vehicle owners or
lessors of potential warranty coverage, and ways to obtain warranty
repairs.
(3) The program shall insure that repair receipts are authentic and
cannot be revised or reused.
(4) The program shall insure that waivers are only valid for one
test cycle.
(5) The program shall track, manage, and account for time extensions
or exemptions so that owners or lessors cannot receive or retain a
waiver improperly.
(d) SIP requirements. (1) The SIP shall include a maximum waiver
rate expressed as a percentage of initially failed vehicles. This waiver
rate shall be used for estimating emission reduction benefits in the
modeling analysis.
(2) The State shall take corrective action if the waiver rate
exceeds that committed to in the SIP or revise the SIP and the emission
reductions claimed.
(3) The SIP shall describe the waiver criteria and procedures,
including cost
[[Page 341]]
limits, quality assurance methods and measures, and administration.
(4) The SIP shall include the necessary legal authority, ordinance,
or rules to issue waivers, set and adjust cost limits as required in
paragraph (a)(5) of this section, and carry out any other functions
necessary to administer the waiver system, including enforcement of the
waiver provisions.
[57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993; 60
FR 48036, Sept. 18, 1995; 71 FR 17711, Apr. 7, 2006]
Sec. 51.361 Motorist compliance enforcement.
Compliance shall be ensured through the denial of motor vehicle
registration in enhanced I/M programs unless an exception for use of an
existing alternative is approved. An enhanced I/M area may use an
existing alternative if it demonstrates that the alternative has been
more effective than registration denial. An enforcement mechanism may be
considered an ``existing alternative'' only in States that, for some
area in the State, had an I/M program with that mechanism in operation
prior to passage of the 1990 Amendments to the Act. A basic I/M area may
use an alternative enforcement mechanism if it demonstrates that the
alternative will be as effective as registration denial. Two other types
of enforcement programs may qualify for enhanced I/M programs if
demonstrated to have been more effective than enforcement of the
registration requirement in the past: Sticker-based enforcement programs
and computer-matching programs. States that did not adopt an I/M program
for any area of the State before November 15, 1990, may not use an
enforcement alternative in connection with an enhanced I/M program
required to be adopted after that date.
(a) Registration denial. Registration denial enforcement is defined
as rejecting an application for initial registration or reregistration
of a used vehicle (i.e., a vehicle being registered after the initial
retail sale and associated registration) unless the vehicle has complied
with the I/M requirement prior to granting the application. Pursuant to
section 207(g)(3) of the Act, nothing in this subpart shall be construed
to require that new vehicles shall receive emission testing prior to
initial retail sale. In designing its enforcement program, the State
shall:
(1) Provide an external, readily visible means of determining
vehicle compliance with the registration requirement to facilitate
enforcement of the program;
(2) Adopt a schedule of testing (either annual or biennial) that
clearly determines when a vehicle shall comply prior to registration;
(3) Design a testing certification mechanism (either paper-based or
electronic) that shall be used for registration purposes and clearly
indicates whether the certification is valid for purposes of
registration, including:
(i) Expiration date of the certificate;
(ii) Unambiguous vehicle identification information; and
(iii) Whether the vehicle passed or received a waiver;
(4) Routinely issue citations to motorists with expired or missing
license plates, with either no registration or an expired registration,
and with no license plate decals or expired decals, and provide for
enforcement officials other than police to issue citations (e.g.,
parking meter attendants) to parked vehicles in noncompliance;
(5) Structure the penalty system to deter non-compliance with the
registration requirement through the use of mandatory minimum fines
(meaning civil, monetary penalties, in this subpart) constituting a
meaningful deterrent and through a requirement that compliance be
demonstrated before a case can be closed;
(6) Ensure that evidence of testing is available and checked for
validity at the time of a new registration of a used vehicle or
registration renewal;
(7) Prevent owners or lessors from avoiding testing through
manipulation of the title or registration system; title transfers may
re-start the clock on the inspection cycle only if proof of current
compliance is required at title transfer;
(8) Prevent the fraudulent initial classification or
reclassification of a vehicle from subject to non-subject or exempt by
requiring proof of address changes prior to registration record
modification, and documentation from
[[Page 342]]
the testing program (or delegate) certifying based on a physical
inspection that the vehicle is exempt;
(9) Limit and track the use of time extensions of the registration
requirement to prevent repeated extensions;
(10) Provide for meaningful penalties for cases of registration
fraud;
(11) Limit and track exemptions to prevent abuse of the exemption
policy for vehicles claimed to be out-of-state; and
(12) Encourage enforcement of vehicle registration transfer
requirements when vehicle owners move into the I/M area by coordinating
with local and State enforcement agencies and structuring other
activities (e.g., drivers license issuance) to effect registration
transfers.
(b) Alternative enforcement mechanisms--(1) General requirements.
The program shall demonstrate that a non-registration-based enforcement
program is currently more effective than registration-denial enforcement
in enhanced I/M programs or, prospectively, as effective as registration
denial in basic programs. The following general requirements shall
apply:
(i) For enhanced I/M programs, the area in question shall have had
an operating I/M program using the alternative mechanism prior to
enactment of the Clean Air Act Amendments of 1990. While modifications
to improve compliance may be made to the program that was in effect at
the time of enactment, the expected change in effectiveness cannot be
considered in determining acceptability;
(ii) The State shall assess the alternative program's effectiveness,
as well as the current effectiveness of the registration system,
including the following:
(A) Determine the number and percentage of vehicles subject to the
I/M program that were in compliance with the program over the course of
at least one test cycle; and
(B) Determine the number and fraction of the same group of vehicles
as in paragraph (b)(1)(ii)(A) of this section that were in compliance
with the registration requirement over the same period. Late
registration shall not be considered non-compliance for the purposes of
this determination. The precise definition of late registration versus a
non-complying vehicle shall be explained and justified in the SIP;
(iii) An alternative mechanism shall be considered more effective if
the fraction of vehicles complying with the existing program, as
determined according to the requirements of this section, is greater
than the fraction of vehicles complying with the registration
requirement. An alternative mechanism is as effective if the fraction
complying with the program is at least equal to the fraction complying
with the registration requirement.
(2) Sticker-based enforcement. In addition to the general
requirements, a sticker-based enforcement program shall demonstrate that
the enforcement mechanism will swiftly and effectively prevent operation
of subject vehicles that fail to comply. Such demonstration shall
include the following:
(i) An assessment of the current extent of the following forms of
non-compliance and demonstration that mechanisms exist to keep such non-
compliance within acceptable limits:
(A) Use of stolen, counterfeit, or fraudulently obtained stickers;
(B) In States with safety inspections, the use of ``Safety
Inspection Only'' stickers on vehicles that should be subject to the I/M
requirement as well; and
(C) Operation of vehicles with expired stickers, including a
stratification of non-compliance by length of noncompliance and model
year.
(ii) The program as currently implemented or as proposed to be
improved shall also:
(A) Require an easily observed external identifier such as the
county name on the license plate, an obviously unique license plate tab,
or other means that shows whether or not a vehicle is subject to the I/M
requirement;
(B) Require an easily observed external identifier, such as a
windshield sticker or license plate tab that shows whether a subject
vehicle is in compliance with the inspection requirement;
(C) Impose monetary fines at least as great as the estimated cost of
compliance with I/M requirements (e.g., test fee plus minimum waiver
expenditure) for the absence of such identifiers;
(D) Require that such identifiers be of a quality that makes them
difficult
[[Page 343]]
to counterfeit, difficult to remove without destroying once installed,
and durable enough to last until the next inspection without fading,
peeling, or other deterioration;
(E) Perform surveys in a variety of locations and at different times
for the presence of the required identifiers such that at least 10% of
the vehicles or 10,000 vehicles (whichever is less) in the subject
vehicle population are sampled each year;
(F) Track missing identifiers for all inspections performed at each
station, with stations being held accountable for all such identifiers
they are issued; and
(G) Assess and collect significant fines for each identifier that is
unaccounted for by a station.
(3) Computer matching. In addition to the general requirements,
computer-matching programs shall demonstrate that the enforcement
mechanism will swiftly and effectively prevent operation of subject
vehicles that fail to comply. Such demonstration shall:
(i) Require an expeditious system that results in at least 90% of
the subject vehicles in compliance within 4 months of the compliance
deadline;
(ii) Require that subject vehicles be given compliance deadlines
based on the regularly scheduled test date, not the date of previous
compliance;
(iii) Require that motorists pay monetary fines at least as great as
the estimated cost of compliance with I/M requirements (e.g., test fee
plus minimum waiver expenditure) for the continued operation of a
noncomplying vehicle beyond 4 months of the deadline;
(iv) Require that continued non-compliance will eventually result in
preventing operation of the non-complying vehicle (no later than the
date of the next test cycle) through, at a minimum, suspension of
vehicle registration and subsequent denial of reregistration;
(v) Demonstrate that the computer system currently in use is
adequate to store and manipulate the I/M vehicle database, generate
computerized notices, and provide regular backup to said system while
maintaining auxiliary storage devices to insure ongoing operation of the
system and prevent data losses;
(vi) Track each vehicle through the steps taken to ensure
compliance, including:
(A) The compliance deadline;
(B) The date of initial notification;
(C) The dates warning letters are sent to non-complying vehicle
owners;
(D) The dates notices of violation or other penalty notices are
sent; and
(E) The dates and outcomes of other steps in the process, including
the final compliance date;
(vii) Compile and report monthly summaries including statistics on
the percentage of vehicles at each stage in the enforcement process; and
(viii) Track the number and percentage of vehicles initially
identified as requiring testing but which are never tested as a result
of being junked, sold to a motorist in a non-I/M program area, or for
some other reason.
(c) SIP requirements. (1) The SIP shall provide information
concerning the enforcement process, including:
(i) A description of the existing compliance mechanism if it is to
be used in the future and the demonstration that it is as effective or
more effective than registration-denial enforcement;
(ii) An identification of the agencies responsible for performing
each of the applicable activities in this section;
(iii) A description of and accounting for all classes of exempt
vehicles; and
(iv) A description of the plan for testing fleet vehicles, rental
car fleets, leased vehicles, and any other subject vehicles, e.g., those
operated in (but not necessarily registered in) the program area.
(2) The SIP shall include a determination of the current compliance
rate based on a study of the system that includes an estimate of
compliance losses due to loopholes, counterfeiting, and unregistered
vehicles. Estimates of the effect of closing such loopholes and
otherwise improving the enforcement mechanism shall be supported with
detailed analyses.
(3) The SIP shall include the legal authority to implement and
enforce the program.
(4) The SIP shall include a commitment to an enforcement level to be
[[Page 344]]
used for modeling purposes and to be maintained, at a minimum, in
practice.
[57 FR 52987, Nov. 5, 1992, as amended at 61 FR 49682, Sept. 23, 1996]
Sec. 51.362 Motorist compliance enforcement program oversight.
The enforcement program shall be audited regularly and shall follow
effective program management practices, including adjustments to improve
operation when necessary.
(a) Quality assurance and quality control. A quality assurance
program shall be implemented to insure effective overall performance of
the enforcement system. Quality control procedures are required to
instruct individuals in the enforcement process regarding how to
properly conduct their activities. At a minimum, the quality control and
quality assurance program shall include:
(1) Verification of exempt vehicle status by inspecting and
confirming such vehicles by the program or its delegate;
(2) Facilitation of accurate critical test data and vehicle
identifier collection through the use of automatic data capture systems
such as bar-code scanners or optical character readers, or through
redundant data entry (where applicable);
(3) Maintenance of an audit trail to allow for the assessment of
enforcement effectiveness;
(4) Establishment of written procedures for personnel directly
engaged in I/M enforcement activities;
(5) Establishment of written procedures for personnel engaged in I/M
document handling and processing, such as registration clerks or
personnel involved in sticker dispensing and waiver processing, as well
as written procedures for the auditing of their performance;
(6) Follow-up validity checks on out-of-area or exemption-triggering
registration changes;
(7) Analysis of registration-change applications to target potential
violators;
(8) A determination of enforcement program effectiveness through
periodic audits of test records and program compliance documentation;
(9) Enforcement procedures for disciplining, retraining, or removing
enforcement personnel who deviate from established requirements, or in
the case of non-government entities that process registrations, for
defranchising, revoking or otherwise discontinuing the activity of the
entity issuing registrations; and
(10) The prevention of fraudulent procurement or use of inspection
documents by controlling and tracking document distribution and
handling, and making stations financially liable for missing or
unaccounted for documents by assessing monetary fines reflecting the
``street value'' of these documents (i.e., the test fee plus the minimum
waiver expenditure).
(b) Information management. In establishing an information base to
be used in characterizing, evaluating, and enforcing the program, the
State shall:
(1) Determine the subject vehicle population;
(2) Permit EPA audits of the enforcement process;
(3) Assure the accuracy of registration and other program document
files;
(4) Maintain and ensure the accuracy of the testing database through
periodic internal and/or third-party review;
(5) Compare the testing database to the registration database to
determine program effectiveness, establish compliance rates, and to
trigger potential enforcement action against non-complying motorists;
and
(6) Sample the fleet as a determination of compliance through
parking lot surveys, road-side pull-overs, or other in-use vehicle
measurements.
(c) SIP requirements. The SIP shall include a description of
enforcement program oversight and information management activities.
[57 FR 52987, Nov. 5, 1992, as amended at 65 FR 45534, July 24, 2000]
Sec. 51.363 Quality assurance.
An ongoing quality assurance program shall be implemented to
discover, correct and prevent fraud, waste, and abuse and to determine
whether procedures are being followed, are adequate, whether equipment
is measuring accurately, and whether other problems
[[Page 345]]
might exist which would impede program performance. The quality
assurance and quality control procedures shall be periodically evaluated
to assess their effectiveness and relevance in achieving program goals.
(a) Performance audits. Performance audits shall be conducted on a
regular basis to determine whether inspectors are correctly performing
all tests and other required functions. Performance audits shall be of
two types: overt and covert, and shall include:
(1) Performance audits based upon written procedures and results
shall be reported using either electronic or written forms to be
retained in the inspector and station history files, with sufficient
detail to support either an administrative or civil hearing;
(2) Performance audits in addition to regularly programmed audits
for stations employing inspectors suspected of violating regulations as
a result of audits, data analysis, or consumer complaints;
(3) Overt performance audits shall be performed at least twice per
year for each lane or test bay and shall include:
(i) A check for the observance of appropriate document security;
(ii) A check to see that required record keeping practices are being
followed;
(iii) A check for licenses or certificates and other required
display information; and
(iv) Observation and written evaluation of each inspector's ability
to properly perform an inspection;
(4) Covert performance audits shall include:
(i) Remote visual observation of inspector performance, which may
include the use of aids such as binoculars or video cameras, at least
once per year per inspector in high-volume stations (i.e., those
performing more than 4000 tests per year);
(ii) Site visits at least once per year per number of inspectors
using covert vehicles set to fail (this requirement sets a minimum level
of activity, not a requirement that each inspector be involved in a
covert audit);
(iii) For stations that conduct both testing and repairs, at least
one covert vehicle visit per station per year including the purchase of
repairs and subsequent retesting if the vehicle is initially failed for
tailpipe emissions (this activity may be accomplished in conjunction
with paragraph (a)(4)(ii) of this section but must involve each station
at least once per year);
(iv) Documentation of the audit, including vehicle condition and
preparation, sufficient for building a legal case and establishing a
performance record;
(v) Covert vehicles covering the range of vehicle technology groups
(e.g., carbureted and fuel-injected vehicles) included in the program,
including a full range of introduced malfunctions covering the emission
test, the evaporative system tests, and emission control component
checks (as applicable);
(vi) Sufficient numbers of covert vehicles and auditors to allow for
frequent rotation of both to prevent detection by station personnel; and
(vii) Where applicable, access to on-line inspection databases by
State personnel to permit the creation and maintenance of covert vehicle
records.
(b) Record audits. Station and inspector records shall be reviewed
or screened at least monthly to assess station performance and identify
problems that may indicate potential fraud or incompetence. Such review
shall include:
(1) Automated record analysis to identify statistical
inconsistencies, unusual patterns, and other discrepancies;
(2) Visits to inspection stations to review records not already
covered in the electronic analysis (if any); and
(3) Comprehensive accounting for all official forms that can be used
to demonstrate compliance with the program.
(c) Equipment audits. During overt site visits, auditors shall
conduct quality control evaluations of the required test equipment,
including (where applicable):
(1) A gas audit using gases of known concentrations at least as
accurate as those required for regular equipment quality control and
comparing these concentrations to actual readings;
(2) A check for tampering, worn instrumentation, blocked filters,
and other conditions that would impede accurate sampling;
[[Page 346]]
(3) A check for critical flow in critical flow CVS units;
(4) A check of the Constant Volume Sampler flow calibration;
(5) A check for the optimization of the Flame Ionization Detection
fuel-air ratio using methane;
(6) A leak check;
(7) A check to determine that station gas bottles used for
calibration purposes are properly labelled and within the relevant
tolerances;
(8) Functional dynamometer checks addressing coast-down, roll speed
and roll distance, inertia weight selection, and power absorption;
(9) A check of the system's ability to accurately detect background
pollutant concentrations;
(10) A check of the pressure monitoring devices used to perform the
evaporative canister pressure test(s); and
(11) A check of the purge flow metering system.
(d) Auditor training and proficiency. (1) Auditors shall be formally
trained and knowledgeable in:
(i) The use of test equipment and/or procedures;
(ii) Program rules and regulations;
(iii) The basics of air pollution control;
(iv) Basic principles of motor vehicle engine repair, related to
emission performance;
(v) Emission control systems;
(vi) Evidence gathering;
(vii) State administrative procedures laws;
(viii) Quality assurance practices; and
(ix) Covert audit procedures.
(2) Auditors shall themselves be audited at least once annually.
(3) The training and knowledge requirements in paragraph (d)(1) of
this section may be waived for temporary auditors engaged solely for the
purpose of conducting covert vehicle runs.
(e) SIP requirements. The SIP shall include a description of the
quality assurance program, and written procedures manuals covering both
overt and covert performance audits, record audits, and equipment
audits. This requirement does not include materials or discussion of
details of enforcement strategies that would ultimately hamper the
enforcement process.
[57 FR 52987, Nov. 5, 1992, as amended at 65 FR 45534, July 24, 2000]
Sec. 51.364 Enforcement against contractors, stations and inspectors.
Enforcement against licensed stations or contractors, and inspectors
shall include swift, sure, effective, and consistent penalties for
violation of program requirements.
(a) Imposition of penalties. A penalty schedule shall be developed
that establishes minimum penalties for violations of program rules and
procedures.
(1) The schedule shall categorize and list violations and the
minimum penalties to be imposed for first, second, and subsequent
violations and for multiple violation of different requirements. In the
case of contracted systems, the State may use compensation retainage in
lieu of penalties.
(2) Substantial penalties or retainage shall be imposed on the first
offense for violations that directly affect emission reduction benefits.
At a minimum, in test-and-repair programs inspector and station license
suspension shall be imposed for at least 6 months whenever a vehicle is
intentionally improperly passed for any required portion of the test. In
test-only programs, inspectors shall be removed from inspector duty for
at least 6 months (or a retainage penalty equivalent to the inspector's
salary for that period shall be imposed).
(3) All findings of serious violations of rules or procedural
requirements shall result in mandatory fines or retainage. In the case
of gross neglect, a first offense shall result in a fine or retainage of
no less than $100 or 5 times the inspection fee, whichever is greater,
for the contractor or the licensed station, and the inspector if
involved.
(4) Any finding of inspector incompetence shall result in mandatory
training before inspection privileges are restored.
(5) License or certificate suspension or revocation shall mean the
individual is barred from direct or indirect involvement in any
inspection operation during the term of the suspension or revocation.
[[Page 347]]
(b) Legal authority. (1) The quality assurance officer shall have
the authority to temporarily suspend station and inspector licenses or
certificates (after approval of a superior) immediately upon finding a
violation or equipment failure that directly affects emission reduction
benefits, pending a hearing when requested. In the case of immediate
suspension, a hearing shall be held within fourteen calendar days of a
written request by the station licensee or the inspector. Failure to
hold a hearing within 14 days when requested shall cause the suspension
to lapse. In the event that a State's constitution precludes such a
temporary license suspension, the enforcement system shall be designed
with adequate resources and mechanisms to hold a hearing to suspend or
revoke the station or inspector license within three station business
days of the finding.
(2) The oversight agency shall have the authority to impose
penalties against the licensed station or contractor, as well as the
inspector, even if the licensee or contractor had no direct knowledge of
the violation but was found to be careless in oversight of inspectors or
has a history of violations. Contractors and licensees shall be held
fully responsible for inspector performance in the course of duty.
(c) Recordkeeping. The oversight agency shall maintain records of
all warnings, civil fines, suspensions, revocations, and violations and
shall compile statistics on violations and penalties on an annual basis.
(d) SIP requirements. (1) The SIP shall include the penalty schedule
and the legal authority for establishing and imposing penalties, civil
fines, license suspension, and revocations.
(2) In the case of State constitutional impediments to immediate
suspension authority, the State Attorney General shall furnish an
official opinion for the SIP explaining the constitutional impediment as
well as relevant case law.
(3) The SIP shall describe the administrative and judicial
procedures and responsibilities relevant to the enforcement process,
including which agencies, courts, and jurisdictions are involved; who
will prosecute and adjudicate cases; and other aspects of the
enforcement of the program requirements, the resources to be allocated
to this function, and the source of those funds. In States without
immediate suspension authority, the SIP shall demonstrate that
sufficient resources, personnel, and systems are in place to meet the
three day case management requirement for violations that directly
affect emission reductions.
(e) Alternative quality assurance procedures or frequencies that
achieve equivalent or better results may be approved by the
Administrator. Statistical process control shall be used whenever
possible to demonstrate the efficacy of alternatives.
(f) Areas that qualify for and choose to implement an OTR low
enhanced I/M program, as established in Sec. 51.351(h), and that claim
in their SIP less emission reduction credit than the basic performance
standard for one or more pollutants, are not required to meet the
oversight specifications of this section.
[57 FR 52987, Nov. 5, 1992, as amended at 61 FR 39037, July 25, 1996]
Sec. 51.365 Data collection.
Accurate data collection is essential to the management, evaluation,
and enforcement of an I/M program. The program shall gather test data on
individual vehicles, as well as quality control data on test equipment
(with the exception of test procedures for which either no testing
equipment is required or those test procedures relying upon a vehicle's
OBD system).
(a) Test data. The goal of gathering test data is to unambiguously
link specific test results to a specific vehicle, I/M program
registrant, test site, and inspector, and to determine whether or not
the correct testing parameters were observed for the specific vehicle in
question. In turn, these data can be used to distinguish complying and
noncomplying vehicles as a result of analyzing the data collected and
comparing it to the registration database, to screen inspection stations
and inspectors for investigation as to possible irregularities, and to
help establish the overall effectiveness of the program. At a minimum,
the program shall collect the following with respect to each test
conducted:
(1) Test record number;
[[Page 348]]
(2) Inspection station and inspector numbers;
(3) Test system number (where applicable);
(4) Date of the test;
(5) Emission test start time and the time final emission scores are
determined;
(6) Vehicle Identification Number;
(7) License plate number;
(8) Test certificate number;
(9) Gross Vehicle Weight Rating (GVWR);
(10) Vehicle model year, make, and type;
(11) Number of cylinders or engine displacement;
(12) Transmission type;
(13) Odometer reading;
(14) Category of test performed (i.e., initial test, first retest,
or subsequent retest);
(15) Fuel type of the vehicle (i.e., gas, diesel, or other fuel);
(16) Type of vehicle preconditioning performed (if any);
(17) Emission test sequence(s) used;
(18) Hydrocarbon emission scores and standards for each applicable
test mode;
(19) Carbon monoxide emission scores and standards for each
applicable test mode;
(20) Carbon dioxide emission scores (CO + CO2) and
standards for each applicable test mode;
(21) Nitrogen oxides emission scores and standards for each
applicable test mode;
(22) Results (Pass/Fail/Not Applicable) of the applicable visual
inspections for the catalytic converter, air system, gas cap,
evaporative system, positive crankcase ventilation (PCV) valve, fuel
inlet restrictor, and any other visual inspection for which emission
reduction credit is claimed;
(23) Results of the evaporative system pressure test(s) expressed as
a pass or fail;
(24) Results of the evaporative system purge test expressed as a
pass or fail along with the total purge flow in liters achieved during
the test (where applicable); and
(25) Results of the on-board diagnostic check expressed as a pass or
fail along with the diagnostic trouble codes revealed (where
applicable).
(b) Quality control data. At a minimum, the program shall gather and
report the results of the quality control checks required under Sec.
51.359 of this subpart, identifying each check by station number, system
number, date, and start time. The data report shall also contain the
concentration values of the calibration gases used to perform the gas
characterization portion of the quality control checks (where
applicable).
[57 FR 52987, Nov. 5, 1992, as amended at 61 FR 40945, Aug. 6, 1996; 65
FR 45534, July 24, 2000]
Sec. 51.366 Data analysis and reporting.
Data analysis and reporting are required to allow for monitoring and
evaluation of the program by program management and EPA, and shall
provide information regarding the types of program activities performed
and their final outcomes, including summary statistics and effectiveness
evaluations of the enforcement mechanism, the quality assurance system,
the quality control program, and the testing element. Initial submission
of the following annual reports shall commence within 18 months of
initial implementation of the program as required by Sec. 51.373 of
this subpart. The biennial report shall commence within 30 months of
initial implementation of the program as required by Sec. 51.373 of
this subpart.
(a) Test data report. The program shall submit to EPA by July of
each year a report providing basic statistics on the testing program for
January through December of the previous year, including:
(1) The number of vehicles tested by model year and vehicle type;
(2) By model year and vehicle type, the number and percentage of
vehicles:
(i) Failing initially, per test type;
(ii) Failing the first retest per test type;
(iii) Passing the first retest per test type;
(iv) Initially failed vehicles passing the second or subsequent
retest per test type;
(v) Initially failed vehicles receiving a waiver; and
(vi) Vehicles with no known final outcome (regardless of reason).
[[Page 349]]
(vii)-(x) [Reserved]
(xi) Passing the on-board diagnostic check;
(xii) Failing the on-board diagnostic check;
(xiii) Failing the on-board diagnostic check and passing the
tailpipe test (if applicable);
(xiv) Failing the on-board diagnostic check and failing the tailpipe
test (if applicable);
(xv) Passing the on-board diagnostic check and failing the I/M gas
cap evaporative system test (if applicable);
(xvi) Failing the on-board diagnostic check and passing the I/M gas
cap evaporative system test (if applicable);
(xvii) Passing both the on-board diagnostic check and I/M gas cap
evaporative system test (if applicable);
(xviii) Failing both the on-board diagnostic check and I/M gas cap
evaporative system test (if applicable);
(xix) MIL is commanded on and no codes are stored;
(xx) MIL is not commanded on and codes are stored;
(xxi) MIL is commanded on and codes are stored;
(xxii) MIL is not commanded on and codes are not stored;
(xxiii) Readiness status indicates that the evaluation is not
complete for any module supported by on-board diagnostic systems;
(3) The initial test volume by model year and test station;
(4) The initial test failure rate by model year and test station;
and
(5) The average increase or decrease in tailpipe emission levels for
HC, CO, and NOX (if applicable) after repairs by model year
and vehicle type for vehicles receiving a mass emissions test.
(b) Quality assurance report. The program shall submit to EPA by
July of each year a report providing basic statistics on the quality
assurance program for January through December of the previous year,
including:
(1) The number of inspection stations and lanes:
(i) Operating throughout the year; and
(ii) Operating for only part of the year;
(2) The number of inspection stations and lanes operating throughout
the year:
(i) Receiving overt performance audits in the year;
(ii) Not receiving overt performance audits in the year;
(iii) Receiving covert performance audits in the year;
(iv) Not receiving covert performance audits in the year; and
(v) That have been shut down as a result of overt performance
audits;
(3) The number of covert audits:
(i) Conducted with the vehicle set to fail per test type;
(ii) Conducted with the vehicle set to fail any combination of two
or more test types;
(iii) Resulting in a false pass per test type;
(iv) Resulting in a false pass for any combination of two or more
test types;
(v)-(viii) [Reserved]
(4) The number of inspectors and stations:
(i) That were suspended, fired, or otherwise prohibited from testing
as a result of covert audits;
(ii) That were suspended, fired, or otherwise prohibited from
testing for other causes; and
(iii) That received fines;
(5) The number of inspectors licensed or certified to conduct
testing;
(6) The number of hearings:
(i) Held to consider adverse actions against inspectors and
stations; and
(ii) Resulting in adverse actions against inspectors and stations;
(7) The total amount collected in fines from inspectors and stations
by type of violation;
(8) The total number of covert vehicles available for undercover
audits over the year; and
(9) The number of covert auditors available for undercover audits.
(c) Quality control report. The program shall submit to EPA by July
of each year a report providing basic statistics on the quality control
program for January through December of the previous year, including:
(1) The number of emission testing sites and lanes in use in the
program;
(2) The number of equipment audits by station and lane;
(3) The number and percentage of stations that have failed equipment
audits; and
[[Page 350]]
(4) Number and percentage of stations and lanes shut down as a
result of equipment audits.
(d) Enforcement report. (1) All varieties of enforcement programs
shall, at a minimum, submit to EPA by July of each year a report
providing basic statistics on the enforcement program for January
through December of the previous year, including:
(i) An estimate of the number of vehicles subject to the inspection
program, including the results of an analysis of the registration data
base;
(ii) The percentage of motorist compliance based upon a comparison
of the number of valid final tests with the number of subject vehicles;
(iii) The total number of compliance documents issued to inspection
stations;
(iv) The number of missing compliance documents;
(v) The number of time extensions and other exemptions granted to
motorists; and
(vi) The number of compliance surveys conducted, number of vehicles
surveyed in each, and the compliance rates found.
(2) Registration denial based enforcement programs shall provide the
following additional information:
(i) A report of the program's efforts and actions to prevent
motorists from falsely registering vehicles out of the program area or
falsely changing fuel type or weight class on the vehicle registration,
and the results of special studies to investigate the frequency of such
activity; and
(ii) The number of registration file audits, number of registrations
reviewed, and compliance rates found in such audits.
(3) Computer-matching based enforcement programs shall provide the
following additional information:
(i) The number and percentage of subject vehicles that were tested
by the initial deadline, and by other milestones in the cycle;
(ii) A report on the program's efforts to detect and enforce against
motorists falsely changing vehicle classifications to circumvent program
requirements, and the frequency of this type of activity; and
(iii) The number of enforcement system audits, and the error rate
found during those audits.
(4) Sticker-based enforcement systems shall provide the following
additional information:
(i) A report on the program's efforts to prevent, detect, and
enforce against sticker theft and counterfeiting, and the frequency of
this type of activity;
(ii) A report on the program's efforts to detect and enforce against
motorists falsely changing vehicle classifications to circumvent program
requirements, and the frequency of this type of activity; and
(iii) The number of parking lot sticker audits conducted, the number
of vehicles surveyed in each, and the noncompliance rate found during
those audits.
(e) Additional reporting requirements. In addition to the annual
reports in paragraphs (a) through (d) of this section, programs shall
submit to EPA by July of every other year, biennial reports addressing:
(1) Any changes made in program design, funding, personnel levels,
procedures, regulations, and legal authority, with detailed discussion
and evaluation of the impact on the program of all such changes; and
(2) Any weaknesses or problems identified in the program within the
two-year reporting period, what steps have already been taken to correct
those problems, the results of those steps, and any future efforts
planned.
(f) SIP requirements. The SIP shall describe the types of data to be
collected.
[57 FR 52987, Nov. 5, 1992, as amended at 61 FR 40945, Aug. 6, 1996; 65
FR 45534, July 24, 2000; 66 FR 18178, Apr. 5, 2001]
Sec. 51.367 Inspector training and licensing or certification.
All inspectors shall receive formal training and be licensed or
certified to perform inspections.
(a) Training. (1) Inspector training shall impart knowledge of the
following:
(i) The air pollution problem, its causes and effects;
(ii) The purpose, function, and goal of the inspection program;
(iii) Inspection regulations and procedures;
[[Page 351]]
(iv) Technical details of the test procedures and the rationale for
their design;
(v) Emission control device function, configuration, and inspection;
(vi) Test equipment operation, calibration, and maintenance (with
the exception of test procedures which either do not require the use of
special equipment or which rely upon a vehicle's OBD system);
(vii) Quality control procedures and their purpose;
(viii) Public relations; and
(ix) Safety and health issues related to the inspection process.
(2) If inspector training is not administered by the program, the
responsible State agency shall monitor and evaluate the training program
delivery.
(3) In order to complete the training requirement, a trainee shall
pass (i.e., a minimum of 80% of correct responses or lower if an
occupational analysis justifies it) a written test covering all aspects
of the training. In addition, a hands-on test shall be administered in
which the trainee demonstrates without assistance the ability to conduct
a proper inspection and to follow other required procedures. Inability
to properly conduct all test procedures shall constitute failure of the
test. The program shall take appropriate steps to insure the security
and integrity of the testing process.
(b) Licensing and certification. (1) All inspectors shall be either
licensed by the program (in the case of test-and-repair systems that do
not use contracts with stations) or certified by an organization other
than the employer (in test-only programs and test-and-repair programs
that require station owners to enter into contracts with the State) in
order to perform official inspections.
(2) Completion of inspector training and passing required tests
shall be a condition of licensing or certification.
(3) Inspector licenses and certificates shall be valid for no more
than 2 years, at which point refresher training and testing shall be
required prior to renewal. Alternative approaches based on more
comprehensive skill examination and determination of inspector
competency may be used.
(4) Licenses or certificates shall not be considered a legal right
but rather a privilege bestowed by the program conditional upon
adherence to program requirements.
(c) SIP requirements. The SIP shall include a description of the
training program, the written and hands-on tests, and the licensing or
certification process.
[57 FR 52987, Nov. 5, 1992, as amended at 65 FR 45534, July 24, 2000]
Sec. 51.368 Public information and consumer protection.
(a) Public awareness. The SIP shall include a plan for informing the
public on an ongoing basis throughout the life of the I/M program of the
air quality problem, the requirements of Federal and State law, the role
of motor vehicles in the air quality problem, the need for and benefits
of an inspection program, how to maintain a vehicle in a low-emission
condition, how to find a qualified repair technician, and the
requirements of the I/M program. Motorists that fail the I/M test in
enhanced I/M areas shall be offered a list of repair facilities in the
area and information on the results of repairs performed by repair
facilities in the area, as described in Sec. 51.369(b)(1) of this
subpart. Motorists that fail the I/M test shall also be provided with
information concerning the possible cause(s) for failing the particular
portions of the test that were failed.
(b) Consumer protection. The oversight agency shall institute
procedures and mechanisms to protect the public from fraud and abuse by
inspectors, mechanics, and others involved in the I/M program. This
shall include a challenge mechanism by which a vehicle owner can contest
the results of an inspection. It shall include mechanisms for protecting
whistle blowers and following up on complaints by the public or others
involved in the process. It shall include a program to assist owners in
obtaining warranty covered repairs for eligible vehicles that fail a
test. The SIP shall include a detailed consumer protection plan.
[57 FR 52987, Nov. 5, 1992, as amended at 65 FR 45534, July 24, 2000]
[[Page 352]]
Sec. 51.369 Improving repair effectiveness.
Effective repairs are the key to achieving program goals and the
State shall take steps to ensure the capability exists in the repair
industry to repair vehicles that fail I/M tests.
(a) Technical assistance. The oversight agency shall provide the
repair industry with information and assistance related to vehicle
inspection diagnosis and repair.
(1) The agency shall regularly inform repair facilities of changes
in the inspection program, training course schedules, common problems
being found with particular engine families, diagnostic tips and the
like.
(2) The agency shall provide a hot line service to assist repair
technicians with specific repair problems, answer technical questions
that arise in the repair process, and answer questions related to the
legal requirements of State and Federal law with regard to emission
control device tampering, engine switching, or similar issues.
(b) Performance monitoring. (1) In enhanced I/M program areas, the
oversight agency shall monitor the performance of individual motor
vehicle repair facilities, and provide to the public at the time of
initial failure, a summary of the performance of local repair facilities
that have repaired vehicles for retest. Performance monitoring shall
include statistics on the number of vehicles submitted for a retest
after repair by the repair facility, the percentage passing on first
retest, the percentage requiring more than one repair/retest trip before
passing, and the percentage receiving a waiver. Programs may provide
motorists with alternative statistics that convey similar information on
the relative ability of repair facilities in providing effective and
convenient repair, in light of the age and other characteristics of
vehicles presented for repair at each facility.
(2) Programs shall provide feedback, including statistical and
qualitative information to individual repair facilities on a regular
basis (at least annually) regarding their success in repairing failed
vehicles.
(3) A prerequisite for a retest shall be a completed repair form
that indicates which repairs were performed, as well as any technician
recommended repairs that were not performed, and identification of the
facility that performed the repairs.
(c) Repair technician training. The State shall assess the
availability of adequate repair technician training in the I/M area and,
if the types of training described in paragraphs (c)(1) through (4) of
this section are not currently available, shall insure that training is
made available to all interested individuals in the community either
through private or public facilities. This may involve working with
local community colleges or vocational schools to add curricula to
existing programs or start new programs or it might involve attracting
private training providers to offer classes in the area. The training
available shall include:
(1) Diagnosis and repair of malfunctions in computer controlled,
close-loop vehicles;
(2) The application of emission control theory and diagnostic data
to the diagnosis and repair of failures on the transient emission test
and the evaporative system functional checks (where applicable);
(3) Utilization of diagnostic information on systematic or repeated
failures observed in the transient emission test and the evaporative
system functional checks (where applicable); and
(4) General training on the various subsystems related to engine
emission control.
(d) SIP requirements. The SIP shall include a description of the
technical assistance program to be implemented, a description of the
procedures and criteria to be used in meeting the performance monitoring
requirements of this section, and a description of the repair technician
training resources available in the community.
[57 FR 52987, Nov. 5, 1992, as amended at 65 FR 45535, July 24, 2000]
Sec. 51.370 Compliance with recall notices.
States shall establish methods to ensure that vehicles subject to
enhanced I/M and that are included in either a
[[Page 353]]
``Voluntary Emissions Recall'' as defined at 40 CFR 85.1902(d), or in a
remedial plan determination made pursuant to section 207(c) of the Act,
receive the required repairs. States shall require that owners of
recalled vehicles have the necessary recall repairs completed, either in
order to complete an annual or biennial inspection process or to obtain
vehicle registration renewal. All recalls for which owner notification
occurs after January 1, 1995 shall be included in the enhanced I/M
recall requirement.
(a) General requirements. (1) The State shall have an electronic
means to identify recalled vehicles based on lists of VINs with
unresolved recalls made available by EPA, the vehicle manufacturers, or
a third party supplier approved by the Administrator. The State shall
update its list of unresolved recalls on a quarterly basis at a minimum.
(2) The State shall require owners or lessees of vehicles with
unresolved recalls to show proof of compliance with recall notices in
order to complete either the inspection or registration cycle.
(3) Compliance shall be required on the next registration or
inspection date, allowing a reasonable period to comply, after
notification of recall was received by the State.
(b) Enforcement. (1) A vehicle shall either fail inspection or be
denied vehicle registration if the required recall repairs have not been
completed.
(2) In the case of vehicles obtaining recall repairs but remaining
on the updated list provided in paragraph (a)(1) of this section, the
State shall have a means of verifying completion of the required
repairs; electronic records or paper receipts provided by the authorized
repair facility shall be required. The vehicle inspection or
registration record shall be modified to include (or be supplemented
with other VIN-linked records which include) the recall campaign
number(s) and the date(s) repairs were performed. Documentation
verifying required repairs shall include the following:
(i) The VIN, make, and model year of the vehicle; and
(ii) The recall campaign number and the date repairs were completed.
(c) Reporting requirements. The State shall submit to EPA, by July
of each year for the previous calendar year, an annual report providing
the following information:
(1) The number of vehicles in the I/M area initially listed as
having unresolved recalls, segregated by recall campaign number;
(2) The number of recalled vehicles brought into compliance by
owners;
(3) The number of listed vehicles with unresolved recalls that, as
of the end of the calendar year, were not yet due for inspection or
registration;
(4) The number of recalled vehicles still in non-compliance that
have either failed inspection or been denied registration on the basis
of non-compliance with recall; and
(5) The number of recalled vehicles that are otherwise not in
compliance.
(d) SIP submittals. The SIP shall describe the procedures used to
incorporate the vehicle lists provided in paragraph (a)(1) of this
section into the inspection or registration database, the quality
control methods used to insure that recall repairs are properly
documented and tracked, and the method (inspection failure or
registration denial) used to enforce the recall requirements.
Sec. 51.371 On-road testing.
On-road testing is defined as testing of vehicles for conditions
impacting the emission of HC, CO, NOX and/or CO2 emissions on
any road or roadside in the nonattainment area or the I/M program area.
On-road testing is required in enhanced I/M areas and is an option for
basic I/M areas.
(a) General requirements. (1) On-road testing is to be part of the
emission testing system, but is to be a complement to testing otherwise
required.
(2) On-road testing is not required in every season or on every
vehicle but shall evaluate the emission performance of 0.5% of the
subject fleet statewide or 20,000 vehicles, whichever is less, per
inspection cycle.
(3) The on-road testing program shall provide information about the
performance of in-use vehicles, by measuring on-road emissions through
the use of remote sensing devices or by assessing vehicle emission
performance through
[[Page 354]]
roadside pullovers including tailpipe or evaporative emission testing or
a check of the onboard diagnostic (OBD) system for vehicles so equipped.
The program shall collect, analyze and report on-road testing data.
(4) Owners of vehicles that have previously been through the normal
periodic inspection and passed the final retest and found to be high
emitters shall be notified that the vehicles are required to pass an
out-of-cycle follow-up inspection; notification may be by mailing in the
case of remote sensing on-road testing or through immediate notification
if roadside pullovers are used.
(b) SIP requirements. (1) The SIP shall include a detailed
description of the on-road testing program, including the types of
testing, test limits and criteria, the number of vehicles (the
percentage of the fleet) to be tested, the number of employees to be
dedicated to the on-road testing effort, the methods for collecting,
analyzing, utilizing, and reporting the results of on-road testing and,
the portion of the program budget to be dedicated to on-road testing.
(2) The SIP shall include the legal authority necessary to implement
the on-road testing program, including the authority to enforce off-
cycle inspection and repair requirements (where applicable).
(3) Emission reduction credit for on-road testing programs shall be
granted for a program designed to obtain measurable emission reductions
over and above those already predicted to be achieved by other aspects
of the I/M program. Emission reduction credit will only be granted to
those programs which require out-of-cycle repairs for confirmed high-
emitting vehicles identified under the on-road testing program. The SIP
shall include technical support for the claimed additional emission
reductions.
[57 FR 52987, Nov. 5, 1992, as amended at 65 FR 45535, July 24, 2000]
Sec. 51.372 State Implementation Plan submissions.
(a) SIP submittals. The SIP shall address each of the elements
covered in this subpart, including, but not limited to:
(1) A schedule of implementation of the program including interim
milestones leading to mandatory testing. The milestones shall include,
at a minimum:
(i) Passage of enabling statutory or other legal authority;
(ii) Proposal of draft regulations and promulgation of final
regulations;
(iii) Issuance of final specifications and procedures;
(iv) Issuance of final Request for Proposals (if applicable);
(v) Licensing or certifications of stations and inspectors;
(vi) The date mandatory testing will begin for each model year to be
covered by the program;
(vii) The date full-stringency cutpoints will take effect;
(viii) All other relevant dates;
(2) An analysis of emission level targets for the program using the
most current EPA mobile source emission model or an alternative approved
by the Administrator showing that the program meets the performance
standard described in Sec. 51.351 or Sec. 51.352 of this subpart, as
applicable;
(3) A description of the geographic coverage of the program,
including ZIP codes if the program is not county-wide;
(4) A detailed discussion of each of the required design elements,
including provisions for Federal facility compliance;
(5) Legal authority requiring or allowing implementation of the I/M
program and providing either broad or specific authority to perform all
required elements of the program;
(6) Legal authority for I/M program operation until such time as it
is no longer necessary (i.e., until a Section 175 maintenance plan
without an I/M program is approved by EPA);
(7) Implementing regulations, interagency agreements, and memoranda
of understanding; and
(8) Evidence of adequate funding and resources to implement all
aspects of the program.
(b) Submittal schedule. The SIP shall be submitted to EPA according
to the following schedule--
(1) [Reserved]
(2) A SIP revision required as a result of a change in an area's
designation or
[[Page 355]]
classification under a NAAQS for ozone, including all necessary legal
authority and the items specified in paragraphs (a)(1) through (8) of
this section, shall be submitted no later than the deadline for
submitting the area's attainment SIP for the NAAQS in question.
(3) [Reserved]
(c) Redesignation requests. Any nonattainment area that EPA
determines would otherwise qualify for redesignation from nonattainment
to attainment shall receive full approval of a State Implementation Plan
(SIP) submittal under Sections 182(a)(2)(B) or 182(b)(4) if the
submittal contains the following elements:
(1) Legal authority to implement a basic I/M program (or enhanced if
the State chooses to opt up) as required by this subpart. The
legislative authority for an I/M program shall allow the adoption of
implementing regulations without requiring further legislation.
(2) A request to place the I/M plan (if no I/M program is currently
in place or if an I/M program has been terminated,) or the I/M upgrade
(if the existing I/M program is to continue without being upgraded) into
the contingency measures portion of the maintenance plan upon
redesignation.
(3) A contingency measure consisting of a commitment by the Governor
or the Governor's designee to adopt or consider adopting regulations to
implement an I/M program to correct a violation of the ozone or CO
standard or other air quality problem, in accordance with the provisions
of the maintenance plan.
(4) A contingency commitment that includes an enforceable schedule
for adoption and implementation of the I/M program, and appropriate
milestones. The schedule shall include the date for submission of a SIP
meeting all of the requirements of this subpart. Schedule milestones
shall be listed in months from the date EPA notifies the State that it
is in violation of the ozone or CO standard or any earlier date
specified in the State plan. Unless the State, in accordance with the
provisions of the maintenance plan, chooses not to implement I/M, it
must submit a SIP revision containing an I/M program no more than 18
months after notification by EPA.
(d) Basic areas continuing operation of I/M programs as part of
their maintenance plan without implemented upgrades shall be assumed to
be 80% as effective as an implemented, upgraded version of the same I/M
program design, unless a State can demonstrate using operating
information that the I/M program is more effective than the 80% level.
(e) SIP submittals to correct violations. SIP submissions required
pursuant to a violation of the ambient ozone or CO standard (as
discussed in paragraph (c) of this section) shall address all of the
requirements of this subpart. The SIP shall demonstrate that performance
standards in either Sec. 51.351 or Sec. 51.352 shall be met using an
evaluation date (rounded to the nearest January for carbon monoxide and
July for hydrocarbons) seven years after the date EPA notifies the State
that it is in violation of the ozone or CO standard or any earlier date
specified in the State plan. Emission standards for vehicles subject to
an IM240 test may be phased in during the program but full standards
must be in effect for at least one complete test cycle before the end of
the 5-year period. All other requirements shall take effect within 24
months of the date EPA notifies the State that it is in violation of the
ozone or CO standard or any earlier date specified in the State plan.
The phase-in allowances of Sec. 51.373(c) of this subpart shall not
apply.
[57 FR 52987, Nov. 5, 1992, as amended at 60 FR 1738, Jan. 5, 1995; 60
FR 48036, Sept. 18, 1995; 61 FR 40946, Aug. 6, 1996; 61 FR 44119, Aug.
27, 1996; 71 FR 17711, Apr. 7, 2006; 80 FR 12318, Mar. 6, 2015]
Sec. 51.373 Implementation deadlines.
I/M programs shall be implemented as expeditiously as practicable.
(a) Decentralized basic programs shall be fully implemented by
January 1, 1994, and centralized basic programs shall be fully
implemented by July 1, 1994. More implementation time may be approved by
the Administrator if an enhanced I/M program is implemented.
[[Page 356]]
(b) For areas newly required to implement basic I/M as a result of
designation under the 8-hour ozone standard, the required program shall
be fully implemented no later than 4 years after the effective date of
designation and classification under the 8-hour ozone standard.
(c) All requirements related to enhanced I/M programs shall be
implemented by January 1, 1995, with the following exceptions.
(1) Areas switching from an existing test-and-repair network to a
test-only network may phase in the change between January of 1995 and
January of 1996. Starting in January of 1995 at least 30% of the subject
vehicles shall participate in the test-only system (in States with
multiple I/M areas, implementation is not required in every area by
January 1995 as long as statewide, 30% of the subject vehicles are
involved in testing) and shall be subject to the new test procedures
(including the evaporative system checks, visual inspections, and
tailpipe emission tests). By January 1, 1996, all applicable vehicle
model years and types shall be included in the test-only system. During
the phase-in period, all requirements of this subpart shall be applied
to the test-only portion of the program; existing requirements may
continue to apply for the test-and-repair portion of the program until
it is phased out by January 1, 1996.
(2) Areas starting new test-only programs and those with existing
test-only programs may also phase in the new test procedures between
January 1, 1995 and January 1, 1996. Other program requirements shall be
fully implemented by January 1, 1995.
(d) For areas newly required to implement enhanced I/M as a result
of designation under the 8-hour ozone standard, the required program
shall be fully implemented no later than 4 years after the effective
date of designation and classification under the 8-hour ozone standard.
(e) [Reserved]
(f) Areas that choose to implement an enhanced I/M program only
meeting the requirements of Sec. 51.351(h) shall fully implement the
program no later than July 1, 1999. The availability and use of this
late start date does not relieve the area of the obligation to meet the
requirements of Sec. 51.351(h)(11) by the end of 1999.
(g) On-Board Diagnostic checks shall be implemented in all basic,
low enhanced and high enhanced areas as part of the I/M program by
January 1, 2002. Alternatively, states may elect to phase-in OBD-I/M
testing for one test cycle by using the OBD-I/M check to screen clean
vehicles from tailpipe testing and require repair and retest for only
those vehicles which proceed to fail the tailpipe test. An additional
alternative is also available to states with regard to the deadline for
mandatory testing, repair, and retesting of vehicles based upon the OBD-
I/M check. Under this third option, if a state can show good cause (and
the Administrator takes notice-and-comment action to approve this good
cause showing), up to an additional 12 months' extension may be granted,
establishing an alternative start date for such states of no later than
January 1, 2003. States choosing to make this showing will also have
available to them the phase-in approach described in this section, with
the one-cycle time limit to begin coincident with the alternative start
date established by Administrator approval of the showing, but no later
than January 1, 2003. The showing of good cause (and its approval or
disapproval) will be addressed on a case-by-case basis.
(h) For areas newly required to implement either a basic or enhanced
I/M program as a result of being designated and classified under the 8-
hour ozone standard, such programs shall begin OBD testing on subject
OBD-equipped vehicles coincident with program start-up.
[57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993; 61
FR 39037, July 25, 1996; 61 FR 40946, Aug. 6, 1996; 63 FR 24433, May 4,
1998; 66 FR 18178, Apr. 5, 2001; 71 FR 17711, Apr. 7, 2006]
Sec. Appendix A to Subpart S of Part 51--Calibrations, Adjustments and
Quality Control
(I) Steady-State Test Equipment
States may opt to use transient emission test equipment for steady-
state tests and follow the quality control requirements in
[[Page 357]]
paragraph (II) of this appendix instead of the following requirements.
(a) Equipment shall be calibrated in accordance with the
manufacturers' instructions.
(b) Prior to each test--(1) Hydrocarbon hang-up check. Immediately
prior to each test the analyzer shall automatically perform a
hydrocarbon hang-up check. If the HC reading, when the probe is sampling
ambient air, exceeds 20 ppm, the system shall be purged with clean air
or zero gas. The analyzer shall be inhibited from continuing the test
until HC levels drop below 20 ppm.
(2) Automatic zero and span. The analyzer shall conduct an automatic
zero and span check prior to each test. The span check shall include the
HC, CO, and CO2 channels, and the NO and O2 channels, if
present. If zero and/or span drift cause the signal levels to move
beyond the adjustment range of the analyzer, it shall lock out from
testing.
(3) Low flow. The system shall lock out from testing if sample flow
is below the acceptable level as defined in paragraph (I)(b)(6) of
appendix D to this subpart.
(c) Leak check. A system leak check shall be performed within
twenty-four hours before the test in low volume stations (those
performing less than the 4,000 inspections per year) and within four
hours in high-volume stations (4,000 or more inspections per year) and
may be performed in conjunction with the gas calibration described in
paragraph (I)(d)(1) of this appendix. If a leak check is not performed
within the preceding twenty-four hours in low volume stations and within
four hours in high-volume stations or if the analyzer fails the leak
check, the analyzer shall lock out from testing. The leak check shall be
a procedure demonstrated to effectively check the sample hose and probe
for leaks and shall be performed in accordance with good engineering
practices. An error of more than [2% of the reading using low range span
gas shall cause the analyzer to lock out from testing and shall require
repair of leaks.
(d) Gas calibration. (1) On each operating day in high-volume
stations, analyzers shall automatically require and successfully pass a
two-point gas calibration for HC, CO, and CO2 and shall continually
compensate for changes in barometric pressure. Calibration shall be
checked within four hours before the test and the analyzer adjusted if
the reading is more than 2% different from the span gas value. In low-
volume stations, analyzers shall undergo a two-point calibration within
seventy-two hours before each test, unless changes in barometric
pressure are compensated for automatically and statistical process
control demonstrates equal or better quality control using different
frequencies. Gas calibration shall be accomplished by introducing span
gas that meets the requirements of paragraph (I)(d)(3) of this appendix
into the analyzer through the calibration port. If the analyzer reads
the span gas within the allowable tolerance range (i.e., the square root
of sum of the squares of the span gas tolerance described in paragraph
(I)(d)(3) of this appendix and the calibration tolerance, which shall be
equal to 2%), no adjustment of the analyzer is necessary. The gas
calibration procedure shall correct readings that exceed the allowable
tolerance range to the center of the allowable tolerance range. The
pressure in the sample cell shall be the same with the calibration gas
flowing during calibration as with the sample gas flowing during
sampling. If the system is not calibrated, or the system fails the
calibration check, the analyzer shall lock out from testing.
(2) Span points. A two point gas calibration procedure shall be
followed. The span shall be accomplished at one of the following pairs
of span points:
(A) 300--ppm propane (HC)
1.0--% carbon monoxide (CO)
6.0--% carbon dioxide (CO2)
1000--ppm nitric oxide (if equipped with NO)
1200--ppm propane (HC)
4.0--% carbon monoxide (CO)
12.0--% carbon dioxide (CO2)
3000--ppm nitric oxide (if equipped with NO)
(B) --ppm propane
0.0--% carbon monoxide
0.0--% carbon dioxide
0--ppm nitric oxide (if equipped with NO)
600--ppm propane (HC)
1.6--% carbon monoxide (CO)
11.0--% carbon dioxide (CO2)
1200--ppm nitric oxide (if equipped with NO)
(3) Span gases. The span gases used for the gas calibration shall be
traceable to National Institute of Standards and Technology (NIST)
standards [2%, and shall be within two percent of the span points
specified in paragraph (d)(2) of this appendix. Zero gases shall conform
to the specifications given in Sec. 86.114-79(a)(5) of this chapter.
(e) Dynamometer checks--(1) Monthly check. Within one month
preceding each loaded test, the accuracy of the roll speed indicator
shall be verified and the dynamometer shall be checked for proper power
absorber settings.
(2) Semi-annual check. Within six months preceding each loaded test,
the road-load response of the variable-curve dynamometer or the
frictional power absorption of the dynamometer shall be checked by a
coast down procedure similar to that described in Sec. 86.118-78 of
this chapter. The check shall be done at 30 mph, and a power absorption
load setting to generate a total horsepower (hp) of 4.1 hp. The actual
coast down time from 45 mph to 15 mph shall be within [1 second of the
time calculated by the following equation:
[[Page 358]]
[GRAPHIC] [TIFF OMITTED] TC08NO91.014
where W is the total inertia weight as represented by the weight of the
rollers (excluding free rollers), and any inertia flywheels used,
measured in pounds. If the coast down time is not within the specified
tolerance the dynamometer shall be taken out of service and corrective
action shall be taken.
(f) Other checks. In addition to the above periodic checks, these
shall also be used to verify system performance under the following
special circumstances.
(1) Gas Calibration. (A) Each time the analyzer electronic or
optical systems are repaired or replaced, a gas calibration shall be
performed prior to returning the unit to service.
(B) In high-volume stations, monthly multi-point calibrations shall
be performed. Low-volume stations shall perform multi-point calibrations
every six months. The calibration curve shall be checked at 20%, 40%,
60%, and 80% of full scale and adjusted or repaired if the
specifications in appendix D(I)(b)(1) to this subpart are not met.
(2) Leak checks. Each time the sample line integrity is broken, a
leak check shall be performed prior to testing.
(II) Transient Test Equipment
(a) Dynamometer. Once per week, the calibration of each dynamometer
and each fly wheel shall be checked by a dynamometer coast-down
procedure comparable to that in Sec. 86.118-78 of this chapter between
the speeds of 55 to 45 mph, and between 30 to 20 mph. All rotating
dynamometer components shall be included in the coast-down check for the
inertia weight selected. For dynamometers with uncoupled rolls, the
uncoupled rollers may undergo a separate coast-down check. If a vehicle
is used to motor the dynamometer to the beginning coast-down speed, the
vehicle shall be lifted off the dynamometer rolls before the coast-down
test begins. If the difference between the measured coast-down time and
the theoretical coast-down time is greater than + 1 second, the system
shall lock out, until corrective action brings the dynamometer into
calibration.
(b) Constant volume sampler. (1) The constant volume sampler (CVS)
flow calibration shall be checked daily by a procedure that identifies
deviations in flow from the true value. Deviations greater than [4%
shall be corrected.
(2) The sample probe shall be cleaned and checked at least once per
month. The main CVS venturi shall be cleaned and checked at least once
per year.
(3) Verification that flow through the sample probe is adequate for
the design shall be done daily. Deviations greater than the design
tolerances shall be corrected.
(c) Analyzer system--(1) Calibration checks. (A) Upon initial
operation, calibration curves shall be generated for each analyzer. The
calibration curve shall consider the entire range of the analyzer as one
curve. At least 6 calibration points plus zero shall be used in the
lower portion of the range corresponding to an average concentration of
approximately 2 gpm for HC, 30 gpm for CO, 3 gpm for NOX, and
400 gpm for CO2. For the case where a low and a high range
analyzer is used, the high range analyzer shall use at least 6
calibration points plus zero in the lower portion of the high range
scale corresponding to approximately 100% of the full-scale value of the
low range analyzer. For all analyzers, at least 6 calibration points
shall also be used to define the calibration curve in the region above
the 6 lower calibration points. Gas dividers may be used to obtain the
intermediate points for the general range classifications specified. The
calibration curves generated shall be a polynomial of no greater order
than 4th order, and shall fit the date within 0.5% at each calibration
point.
(B) For all calibration curves, curve checks, span adjustments, and
span checks, the zero gas shall be considered a down-scale reference
gas, and the analyzer zero shall be set at the trace concentration value
of the specific zero gas used.
(2) The basic curve shall be checked monthly by the same procedure
used to generate the curve, and to the same tolerances.
(3) On a daily basis prior to vehicle testing--
(A) The curve for each analyzer shall be checked by adjusting the
analyzer to correctly read a zero gas and an up-scale span gas, and then
by correctly reading a mid-scale span gas within 2% of point. If the
analyzer does not read the mid-scale span point within 2% of point, the
system shall lock out. The up-scale span gas concentration for each
analyzer shall correspond to approximately 80 percent of full scale, and
the mid-point concentration shall correspond to approximately 15 percent
of full scale; and
(B) After the up-scale span check, each analyzer in a given facility
shall analyze a sample of a random concentration corresponding to
approximately 0.5 to 3 times the cut point (in gpm) for the constituent.
The value of the random sample may be determined by a gas blender. The
deviation in analysis from the sample concentration for each analyzer
shall be recorded and compared to the historical mean and standard
deviation for the analyzers at the facility and at all facilities. Any
reading exceeding 3 sigma shall cause the analyzer to lock out.
(4) Flame ionization detector check. Upon initial operation, and
after maintenance to the detector, each Flame Ionization Detector
[[Page 359]]
(FID) shall be checked, and adjusted if necessary, for proper peaking
and characterization. Procedures described in SAE Paper No. 770141 are
recommended for this purpose. A copy of this paper may be obtained from
the Society of Automotive Engineers, Inc. (SAE), 400 Commonwealth Drive,
Warrendale, Pennsylvania, 15096-0001. Additionally, every month the
response of each FID to a methane concentration of approximately 50 ppm
CH4 shall be checked. If the response is outside of the range
of 1.10 to 1.20, corrective action shall be taken to bring the FID
response within this range. The response shall be computed by the
following formula:
[GRAPHIC] [TIFF OMITTED] TC08NO91.015
(5) Spanning frequency. The zero and up-scale span point shall be
checked, and adjusted if necessary, at 2 hour intervals following the
daily mid-scale curve check. If the zero or the up-scale span point
drifts by more than 2% for the previous check (except for the first
check of the day), the system shall lock out, and corrective action
shall be taken to bring the system into compliance.
(6) Spanning limit checks. The tolerance on the adjustment of the
up-scale span point is 0.4% of point. A software algorithm to perform
the span adjustment and subsequent calibration curve adjustment shall be
used. However, software up-scale span adjustments greater than [10%
shall cause the system to lock out, requiring system maintenance.
(7) Integrator checks. Upon initial operation, and every three
months thereafter, emissions from a randomly selected vehicle with
official test value greater than 60% of the standard (determined
retrospectively) shall be simultaneously sampled by the normal
integration method and by the bag method in each lane. The data from
each method shall be put into a historical data base for determining
normal and deviant performance for each test lane, facility, and all
facilities combined. Specific deviations exceeding [5% shall require
corrective action.
(8) Interference. CO and CO2 analyzers shall be checked
prior to initial service, and on a yearly basis thereafter, for water
interference. The specifications and procedures used shall generally
comply with either Sec. 86.122-78 or Sec. 86.321-79 of this chapter.
(9) NOX converter check. The converter efficiency of the
NO2 to NO converter shall be checked on a weekly basis. The
check shall generally conform to Sec. 86.123-78 of this chapter, or EPA
MVEL Form 305-01. Equivalent methods may be approved by the
Administrator.
(10) NO/NOX flow balance. The flow balance between the NO
and NOX test modes shall be checked weekly. The check may be
combined with the NOX convertor check as illustrated in EPA
MVEL Form 305-01.
(11) Additional checks. Additional checks shall be performed on the
HC, CO, CO2, and NOX analyzers according to best
engineering practices for the measurement technology used to ensure that
measurements meet specified accuracy requirements.
(12) System artifacts (hang-up). Prior to each test a comparison
shall be made between the background HC reading, the HC reading measured
through the sample probe (if different), and the zero gas. Deviations
from the zero gas greater than 10 parts per million carbon (ppmC) shall
cause the analyzer to lock out.
(13) Ambient background. The average of the pre-test and post-test
ambient background levels shall be compared to the permissible levels of
10 ppmC HC, 20 ppm CO, and 1 ppm NOX. If the permissible
levels are exceeded, the test shall be voided and corrective action
taken to lower the ambient background concentrations.
(14) Analytical gases. Zero gases shall meet the requirements of
Sec. 86.114-79(a)(5) of this chapter. NOX calibration gas
shall be a single blend using nitrogen as the diluent. Calibration gas
for the flame ionization detector shall be a single blend of propane
with a diluent of air. Calibration gases for CO and CO2 shall
be single blends using nitrogen or air as a diluent. Multiple blends of
HC, CO, and CO2 in air may be used if shown to be stable and
accurate.
(III) Purge Analysis System
On a daily basis each purge flow meter shall be checked with a
simulated purge flow against a reference flow measuring device with
performance specifications equal to or better than those specified for
the purge meter. The check shall include a mid-scale rate check, and a
total flow check between 10 and 20 liters. Deviations greater than [5%
shall be corrected. On a monthly basis, the calibration of purge meters
shall be checked for proper rate and total flow with three equally
spaced points across the flow rate and the totalized flow range.
Deviations exceeding the specified accuracy shall be corrected. The
dynamometer quality assurance checks required under paragraph (II) of
this
[[Page 360]]
appendix shall also apply to the dynamometer used for purge tests.
(IV) Evaporative System Integrity Test Equipment
(a) On a weekly basis pressure measurement devices shall be checked
against a reference device with performance specifications equal to or
better than those specified for the measurement device. Deviations
exceeding the performance specifications shall be corrected. Flow
measurement devices, if any, shall be checked according to paragraph III
of this appendix.
(b) Systems that monitor evaporative system leaks shall be checked
for integrity on a daily basis by sealing and pressurizing.
[57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993]
Sec. Appendix B to Subpart S of Part 51--Test Procedures
(I) Idle test
(a) General requirements--(1) Exhaust gas sampling algorithm. The
analysis of exhaust gas concentrations shall begin 10 seconds after the
applicable test mode begins. Exhaust gas concentrations shall be
analyzed at a minimum rate of two times per second. The measured value
for pass/fail determinations shall be a simple running average of the
measurements taken over five seconds.
(2) Pass/fail determination. A pass or fail determination shall be
made for each applicable test mode based on a comparison of the short
test standards contained in appendix C to this subpart, and the measured
value for HC and CO as described in paragraph (I)(a)(1) of this
appendix. A vehicle shall pass the test mode if any pair of simultaneous
measured values for HC and CO are below or equal to the applicable short
test standards. A vehicle shall fail the test mode if the values for
either HC or CO, or both, in all simultaneous pairs of values are above
the applicable standards.
(3) Void test conditions. The test shall immediately end and any
exhaust gas measurements shall be voided if the measured concentration
of CO plus CO2 falls below six percent or the vehicle's
engine stalls at any time during the test sequence.
(4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle
engines equipped with multiple exhaust pipes shall be sampled
simultaneously.
(5) This test shall be immediately terminated upon reaching the
overall maximum test time.
(b) Test sequence. (1) The test sequence shall consist of a first-
chance test and a second-chance test as follows:
(i) The first-chance test, as described under paragraph (c) of this
section, shall consist of an idle mode.
(ii) The second-chance test as described under paragraph (I)(d) of
this appendix shall be performed only if the vehicle fails the first-
chance test.
(2) The test sequence shall begin only after the following
requirements are met:
(i) The vehicle shall be tested in as-received condition with the
transmission in neutral or park and all accessories turned off. The
engine shall be at normal operating temperature (as indicated by a
temperature gauge, temperature lamp, touch test on the radiator hose, or
other visual observation for overheating).
(ii) For all pre-1996 model year vehicles, a tachometer shall be
attached to the vehicle in accordance with the analyzer manufacturer's
instructions. For 1996 and newer model year vehicles the OBD data link
connector will be used to monitor RPM. In the event that an OBD data
link connector is not available or that an RPM signal is not available
over the data link connector, a tachometer shall be used instead.
(iii) The sample probe shall be inserted into the vehicle's tailpipe
to a minimum depth of 10 inches. If the vehicle's exhaust system
prevents insertion to this depth, a tailpipe extension shall be used.
(iv) The measured concentration of CO plus CO2 shall be
greater than or equal to six percent.
(c) First-chance test. The test timer shall start (tt = 0) when the
conditions specified in paragraph (I)(b)(2) of this appendix are met.
The first-chance test shall have an overall maximum test time of 145
seconds (tt = 145). The first-chance test shall consist of an idle mode
only.
(1) The mode timer shall start (mt = 0) when the vehicle engine
speed is between 350 and 1100 rpm. If engine speed exceeds 1100 rpm or
falls below 350 rpm, the mode timer shall reset zero and resume timing.
The minimum mode length shall be determined as described under paragraph
(I)(c)(2) of this appendix. The maximum mode length shall be 90 seconds
elapsed time (mt = 90).
(2) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
(i) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(ii) The vehicle shall pass the idle mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30), if
prior to that time the criteria of paragraph (I)(c)(2)(i) of this
appendix are not satisfied and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(I)(a)(2) of this appendix.
[[Page 361]]
(iii) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), the measured values are less
than or equal to the applicable short test standards as described in
paragraph (I)(a)(2) of this appendix.
(iv) The vehicle shall fail the idle mode and the test shall be
terminated if none of the provisions of paragraphs (I)(c)(2)(i), (ii)
and (iii) of this appendix is satisfied by an elapsed time of 90 seconds
(mt = 90). Alternatively, the vehicle may be failed if the provisions of
paragraphs (I)(c)(2)(i) and (ii) of this appendix are not met within an
elapsed time of 30 seconds.
(v) Optional. The vehicle may fail the first-chance test and the
second-chance test shall be omitted if no exhaust gas concentration
lower than 1800 ppm HC is found by an elapsed time of 30 seconds (mt =
30).
(d) Second-chance test. If the vehicle fails the first-chance test,
the test timer shall reset to zero (tt = 0) and a second-chance test
shall be performed. The second-chance test shall have an overall maximum
test time of 425 seconds (tt = 425). The test shall consist of a
preconditioning mode followed immediately by an idle mode.
(1) Preconditioning mode. The mode timer shall start (mt = 0) when
the engine speed is between 2200 and 2800 rpm. The mode shall continue
for an elapsed time of 180 seconds (mt = 180). If engine speed falls
below 2200 rpm or exceeds 2800 rmp for more than five seconds in any one
excursion, or 15 seconds over all excursions, the mode timer shall reset
to zero and resume timing.
(2) Idle mode--(i) Ford Motor Company and Honda vehicles. The
engines of 1981-1987 Ford Motor Company vehicles and 1984-1985 Honda
Preludes shall be shut off for not more than 10 seconds and restarted.
This procedure may also be used for 1988-1989 Ford Motor Company
vehicles but should not be used for other vehicles. The probe may be
removed from the tailpipe or the sample pump turned off if necessary to
reduce analyzer fouling during the restart procedure.
(ii) The mode timer shall start (mt = 0) when the vehicle engine
speed is between 350 and 1100 rpm. If engine speed exceeds 1100 rpm or
falls below 350 rpm, the mode timer shall reset to zero and resume
timing. The minimum idle mode length shall be determined as described in
paragraph (I)(d)(2)(iii) of this appendix. The maximum idle mode length
shall be 90 seconds elapsed time (mt = 90).
(iii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the idle mode shall be terminated as follows:
(A) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(B) The vehicle shall pass the idle mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30), if
prior to that time the criteria of paragraph (I)(d)(2)(iii)(A) of this
appendix are not satisfied and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(I)(a)(2) of this appendix.
(C) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), measured values are less
than or equal to the applicable short test standards described in
paragraph (I)(a)(2) of this appendix.
(D) The vehicle shall fail the idle mode and the test shall be
terminated if none of the provisions of paragraphs (I)(d)(2)(iii)(A),
(d)(2)(iii)(B), and (d)(2)(iii)(C) of this appendix are satisfied by an
elapsed time of 90 seconds (mt = 90).
(II) Two Speed Idle Test
(a) General requirements--(1) Exhaust gas sampling algorithm. The
analysis of exhaust gas concentrations shall begin 10 seconds after the
applicable test mode begins. Exhaust gas concentrations shall be
analyzed at a rate of two times per second. The measured value for pass/
fail determinations shall be a simple running average of the
measurements taken over five seconds.
(2) Pass/fail determination. A pass or fail determination shall be
made for each applicable test mode based on a comparison of the short
test standards contained in appendix C to this subpart, and the measured
value for HC and CO as described in paragraph (II)(a)(1) of this
appendix. A vehicle shall pass the test mode if any pair of simultaneous
values for HC and CO are below or equal to the applicable short test
standards. A vehicle shall fail the test mode if the values for either
HC or CO, or both, in all simultaneous pairs of values are above the
applicable standards.
(3) Void test conditions. The test shall immediately end and any
exhaust gas measurements shall be voided if the measured concentration
of CO plus CO2 falls below six percent or the vehicle's
engine stalls at any time during the test sequence.
(4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle
engines equipped with multiple exhaust pipes shall be sampled
simultaneously.
(5) The test shall be immediately terminated upon reaching the
overall maximum test time.
(b) Test sequence. (1) The test sequence shall consist of a first-
chance test and a second-chance test as follows:
[[Page 362]]
(i) The first-chance test, as described under paragraph (II)(c) of
this appendix, shall consist of an idle mode followed by a high-speed
mode.
(ii) The second-chance high-speed mode, as described under paragraph
(II)(c) of this appendix, shall immediately follow the first-chance
high-speed mode. It shall be performed only if the vehicle fails the
first-chance test. The second-chance idle mode, as described under
paragraph (II)(d) of this appendix, shall follow the second-chance high-
speed mode and be performed only if the vehicle fails the idle mode of
the first-chance test.
(2) The test sequence shall begin only after the following
requirements are met:
(i) The vehicle shall be tested in as-received condition with the
transmission in neutral or park and all accessories turned off. The
engine shall be at normal operating temperature (as indicated by a
temperature gauge, temperature lamp, touch test on the radiator hose, or
other visual observation for overheating).
(ii) For all pre-1996 model year vehicles, a tachometer shall be
attached to the vehicle in accordance with the analyzer manufacturer's
instructions. For 1996 and newer model year vehicles the OBD data link
connector will be used to monitor RPM. In the event that an OBD data
link connector is not available or that an RPM signal is not available
over the data link connector, a tachometer shall be used instead.
(iii) The sample probe shall be inserted into the vehicle's tailpipe
to a minimum depth of 10 inches. If the vehicle's exhaust system
prevents insertion to this depth, a tailpipe extension shall be used.
(iv) The measured concentration of CO plus CO2 shall be
greater than or equal to six percent.
(c) First-chance test and second-chance high-speed mode. The test
timer shall start (tt = 0) when the conditions specified in paragraph
(b)(2) of this section are met. The first-chance test and second-chance
high-speed mode shall have an overall maximum test time of 425 seconds
(tt = 425). The first-chance test shall consist of an idle mode followed
immediately by a high-speed mode. This is followed immediately by an
additional second-chance high-speed mode, if necessary.
(1) First-chance idle mode. (i) The mode timer shall start (mt = 0)
when the vehicle engine speed is between 350 and 1100 rpm. If engine
speed exceeds 1100 rpm or falls below 350 rpm, the mode timer shall
reset to zero and resume timing. The minimum idle mode length shall be
determined as described in paragraph (II)(c)(1)(ii) of this appendix.
The maximum idle mode length shall be 90 seconds elapsed time (mt = 90).
(ii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode terminated as follows:
(A) The vehicle shall pass the idle mode and the mode shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(B) The vehicle shall pass the idle mode and the mode shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (II)(c)(1)(ii)(A) of this
appendix are not satisfied, and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(II)(a)(2) of this appendix.
(C) The vehicle shall pass the idle mode and the mode shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), the measured values are less
than or equal to the applicable short test standards as described in
paragraph (II)(a)(2) of this appendix.
(D) The vehicle shall fail the idle mode and the mode shall be
terminated if none of the provisions of paragraphs (II)(c)(1)(ii)(A),
(B), and (C) of this appendix is satisfied by an elapsed time of 90
seconds (mt = 90). Alternatively, the vehicle may be failed if the
provisions of paragraphs (II)(c)(2)(i) and (ii) of this appendix are not
met within an elapsed time of 30 seconds.
(E) Optional. The vehicle may fail the first-chance test and the
second-chance test shall be omitted if no exhaust gas concentration less
than 1800 ppm HC is found by an elapsed time of 30 seconds (mt = 30).
(2) First-chance and second-chance high-speed modes. This mode
includes both the first-chance and second-chance high-speed modes, and
follows immediately upon termination of the first-chance idle mode.
(i) The mode timer shall reset (mt = 0) when the vehicle engine
speed is between 2200 and 2800 rpm. If engine speed falls below 2200 rpm
or exceeds 2800 rpm for more than two seconds in one excursion, or more
than six seconds over all excursions within 30 seconds of the final
measured value used in the pass/fail determination, the measured value
shall be invalidated and the mode continued. If any excursion lasts for
more than ten seconds, the mode timer shall reset to zero (mt = 0) and
timing resumed. The minimum high-speed mode length shall be determined
as described under paragraphs (II)(c)(2)(ii) and (iii) of this appendix.
The maximum high-speed mode length shall be 180 seconds elapsed time (mt
= 180).
(ii) Ford Motor Company and Honda vehicles. For 1981-1987 model year
Ford Motor Company vehicles and 1984-1985 model year Honda Preludes, the
pass/fail analysis shall begin after an elapsed time of 10 seconds (mt
[[Page 363]]
= 10) using the following procedure. This procedure may also be used for
1988-1989 Ford Motor Company vehicles but should not be used for other
vehicles.
(A) A pass or fail determination, as described below, shall be used,
for vehicles that passed the idle mode, to determine whether the high-
speed test should be terminated prior to or at the end of an elapsed
time of 180 seconds (mt = 180).
(1) The vehicle shall pass the high-speed mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), the measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(2) The vehicle shall pass the high-speed mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (II)(c)(2)(ii)(A)(1) of
this appendix are not satisfied, and the measured values are less than
or equal to the applicable short test standards as described in
paragraph (II)(a)(2) of this appendix.
(3) The vehicle shall pass the high-speed mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 180 seconds (mt = 180), the measured values are
less than or equal to the applicable short test standards as described
in paragraph (II)(a)(2) of this appendix.
(4) Restart. If at an elapsed time of 90 seconds (mt = 90) the
measured values are greater than the applicable short test standards as
described in paragraph (II)(a)(2) of this appendix, the vehicle's engine
shall be shut off for not more than 10 seconds after returning to idle
and then shall be restarted. The probe may be removed from the tailpipe
or the sample pump turned off if necessary to reduce analyzer fouling
during the restart procedure. The mode timer will stop upon engine shut
off (mt = 90) and resume upon engine restart. The pass/fail
determination shall resume as follows after 100 seconds have elapsed (mt
= 100).
(i) The vehicle shall pass the high-speed mode and the test shall be
immediately terminated if, at any point between an elapsed time of 100
seconds (mt = 100) and 180 seconds (mt = 180), the measured values are
less than or equal to the applicable short test standards described in
paragraph (II)(a)(2) of this appendix.
(ii) The vehicle shall fail the high-speed mode and the test shall
be terminated if paragraph (II)(c)(2)(ii)(A)(4)(i) of this appendix is
not satisfied by an elapsed time of 180 seconds (mt = 180).
(B) A pass or fail determination shall be made for vehicles that
failed the idle mode and the high-speed mode terminated at the end of an
elapsed time of 180 seconds (mt = 180) as follows:
(1) The vehicle shall pass the high-speed mode and the mode shall be
terminated at an elapsed time of 180 seconds (mt = 180) if any measured
values of HC and CO exhaust gas concentrations during the high-speed
mode are less than or equal to the applicable short test standards as
described in paragraph (II)(a)(2) of this appendix.
(2) Restart. If at an elapsed time of 90 seconds (mt = 90) the
measured values of HC and CO exhaust gas concentrations during the high-
speed mode are greater than the applicable short test standards as
described in paragraph (II)(a)(2) of this appendix, the vehicle's engine
shall be shut off for not more than 10 seconds after returning to idle
and then shall be restarted. The probe may be removed from the tailpipe
or the sample pump turned off if necessary to reduce analyzer fouling
during the restart procedure. The mode timer will stop upon engine shut
off (mt = 90) and resume upon engine restart. The pass/fail
determination shall resume as follows after 100 seconds have elapsed (mt
= 100).
(i) The vehicle shall pass the high-speed mode and the mode shall be
terminated at an elapsed time of 180 seconds (mt = 180) if any measured
values of HC and CO exhaust gas concentrations during the high-speed
mode are less than or equal to the applicable short test standards as
described in paragraph (II)(a)(2) of this appendix.
(ii) The vehicle shall fail the high-speed mode and the test shall
be terminated if paragraph (II)(c)(2)(ii)(B)(2)(i) of this appendix is
not satisfied by an elapsed time of 180 seconds (mt = 180).
(iii) All other light-duty motor vehicles. The pass/fail analysis
for vehicles not specified in paragraph (II)(c)(2)(ii) of this appendix
shall begin after an elapsed time of 10 seconds (mt = 10) using the
following procedure.
(A) A pass or fail determination, as described below, shall be used
for vehicles that passed the idle mode, to determine whether the high-
speed mode should be terminated prior to or at the end of an elapsed
time of 180 seconds (mt = 180).
(1) The vehicle shall pass the high-speed mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), any measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(2) The vehicle shall pass the high-speed mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (II)(c)(2)(iii)(A)(1) of
this appendix are not satisfied, and the measured values are less than
or equal to the applicable short test standards as described in
paragraph (II)(a)(2) of this appendix.
(3) The vehicle shall pass the high-speed mode and the test shall be
immediately terminated if, at any point between an elapsed
[[Page 364]]
time of 30 seconds (mt = 30) and 180 seconds (mt = 180), the measured
values are less than or equal to the applicable short test standards as
described in paragraph (II)(a)(2) of this appendix.
(4) The vehicle shall fail the high-speed mode and the test shall be
terminated if none of the provisions of paragraphs
(II)(c)(2)(iii)(A)(1), (2), and (3) of this appendix is satisfied by an
elapsed time of 180 seconds (mt = 180).
(B) A pass or fail determination shall be made for vehicles that
failed the idle mode and the high-speed mode terminated at the end of an
elapsed time of 180 seconds (mt = 180) as follows:
(1) The vehicle shall pass the high-speed mode and the mode shall be
terminated at an elapsed time of 180 seconds (mt = 180) if any measured
values are less than or equal to the applicable short test standards as
described in paragraph (II)(a)(2) of this appendix.
(2) The vehicle shall fail the high-speed mode and the test shall be
terminated if paragraph (II)(c)(2)(iii)(B)(1) of this appendix is not
satisfied by an elapsed time of 180 seconds (mt = 180).
(d) Second-chance idle mode. If the vehicle fails the first-chance
idle mode and passes the high-speed mode, the test timer shall reset to
zero (tt = 0) and a second-chance idle mode shall commence. The second-
chance idle mode shall have an overall maximum test time of 145 seconds
(tt = 145). The test shall consist of an idle mode only.
(1) The engines of 1981-1987 Ford Motor Company vehicles and 1984-
1985 Honda Preludes shall be shut off for not more than 10 seconds and
restarted. The probe may be removed from the tailpipe or the sample pump
turned off if necessary to reduce analyzer fouling during the restart
procedure. This procedure may also be used for 1988-1989 Ford Motor
Company vehicles but should not be used for other vehicles.
(2) The mode timer shall start (mt = 0) when the vehicle engine
speed is between 350 and 1100 rpm. If the engine speed exceeds 1100 rpm
or falls below 350 rpm the mode timer shall reset to zero and resume
timing. The minimum second-chance idle mode length shall be determined
as described in paragraph (II)(d)(3) of this appendix. The maximum
second-chance idle mode length shall be 90 seconds elapsed time (mt =
90).
(3) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the second-chance idle mode shall be terminated as follows:
(i) The vehicle shall pass the second-chance idle mode and the test
shall be immediately terminated if, prior to an elapsed time of 30
seconds (mt = 30), any measured values are less than or equal to 100 ppm
HC and 0.5 percent CO.
(ii) The vehicle shall pass the second-chance idle mode and the test
shall be terminated at the end of an elapsed time of 30 seconds (mt =
30) if, prior to that time, the criteria of paragraph (II)(d)(3)(i) of
this appendix are not satisfied, and the measured values are less than
or equal to the applicable short test standards as described in
paragraph (II)(a)(2) of this appendix.
(iii) The vehicle shall pass the second-chance idle mode and the
test shall be immediately terminated if, at any point between an elapsed
time of 30 seconds (mt = 30) and 90 seconds (mt = 90), the measured
values are less than or equal to the applicable short test standards as
described in paragraph (II)(a)(2) of this appendix.
(iv) The vehicle shall fail the second-chance idle mode and the test
shall be terminated if none of the provisions of paragraph
(II)(d)(3)(i), (ii), and (iii) of this appendix is satisfied by an
elapsed time of 90 seconds (mt = 90).
(III) Loaded Test
(a) General requirements--(1) Exhaust gas sampling algorithm. The
analysis of exhaust gas concentrations shall begin 10 seconds after the
applicable test mode begins. Exhaust gas concentrations shall be
analyzed at a minimum rate of two times per second. The measured value
for pass/fail determinations shall be a simple running average of the
measurements taken over five seconds.
(2) Pass/fail determination. A pass or fail determination shall be
made for each applicable test mode based on a comparison of the short
test standards contained in appendix C to this subpart and the measured
value for HC and CO as described in paragraph (III)(a)(1) of this
appendix. A vehicle shall pass the test mode if any pair of simultaneous
values for HC and CO are below or equal to the applicable short test
standards. A vehicle shall fail the test mode if the values for either
HC or CO, or both, in all simultaneous pairs of values are above the
applicable standards.
(3) Void test conditions. The test shall immediately end and any
exhaust gas measurements shall be voided if the measured concentration
of CO plus CO2 falls below six percent or the vehicle's
engine stalls at any time during the test sequence.
(4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle
engines equipped with multiple exhaust pipes shall be sampled
simultaneously.
(5) The test shall be immediately terminated upon reaching the
overall maximum test time.
(b) Test sequence. (1) The test sequence shall consist of a loaded
mode using a chassis dynamometer followed immediately by an idle mode as
described under paragraphs (III)(c)(1) and (2) of this appendix.
[[Page 365]]
(2) The test sequence shall begin only after the following
requirements are met:
(i) The dynamometer shall be warmed up, in stabilized operating
condition, adjusted, and calibrated in accordance with the procedures of
appendix A to this subpart. Prior to each test, variable-curve
dynamometers shall be checked for proper setting of the road-load
indicator or road-load controller.
(ii) The vehicle shall be tested in as-received condition with all
accessories turned off. The engine shall be at normal operating
temperature (as indicated by a temperature gauge, temperature lamp,
touch test on the radiator hose, or other visual observation for
overheating).
(iii) The vehicle shall be operated during each mode of the test
with the gear selector in the following position:
(A) In drive for automatic transmissions and in second (or third if
more appropriate) for manual transmissions for the loaded mode;
(B) In park or neutral for the idle mode.
(iv) For all pre-1996 model year vehicles, a tachometer shall be
attached to the vehicle in accordance with the analyzer manufacturer's
instructions. For 1996 and newer model year vehicles the OBD data link
connector will be used to monitor RPM. In the event that an OBD data
link connector is not available or that an RPM signal is not available
over the data link connector, a tachometer shall be used instead.
(v) The sample probe shall be inserted into the vehicle's tailpipe
to a minimum depth of 10 inches. If the vehicle's exhaust system
prevents insertion to this depth, a tailpipe extension shall be used.
(vi) The measured concentration of CO plus CO2 shall be
greater than or equal to six percent.
(c) Overall test procedure. The test timer shall start (tt = 0) when
the conditions specified in paragraph (III)(b)(2) of this appendix are
met and the mode timer initiates as specified in paragraph (III)(c)(1)
of this appendix. The test sequence shall have an overall maximum test
time of 240 seconds (tt = 240). The test shall be immediately terminated
upon reaching the overall maximum test time.
(1) Loaded mode--(i) Ford Motor Company and Honda vehicles.
(Optional) The engines of 1981-1987 Ford Motor Company vehicles and
1984-1985 Honda Preludes shall be shut off for not more than 10 seconds
and restarted. This procedure may also be used for 1988-1989 Ford Motor
Company vehicles but should not be used for other vehicles. The probe
may be removed from the tailpipe or the sample pump turned off if
necessary to reduce analyzer fouling during the restart procedure.
(ii) The mode timer shall start (mt = 0) when the dynamometer speed
is within the limits specified for the vehicle engine size according to
the following schedule. If the dynamometer speed falls outside the
limits for more than five seconds in one excursion, or 15 seconds over
all excursions, the mode timer shall reset to zero and resume timing.
The minimum mode length shall be determined as described in paragraph
(III)(c)(1)(iii)(A) of this appendix. The maximum mode length shall be
90 seconds elapsed time (mt = 90).
Dynamometer Test Schedule
------------------------------------------------------------------------
Normal
Roll speed loading
Gasoline engine size (cylinders) (mph) (brake
horsepower)
------------------------------------------------------------------------
4 or less..................................... 22-25 2.8-4.1
5-6........................................... 29-32 6.8-8.4
7 or more..................................... 32-35 8.4-10.8
------------------------------------------------------------------------
(iii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
(A) The vehicle shall pass the loaded mode and the mode shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), measured values are less
than or equal to the applicable short test standards described in
paragraph (a)(2) of this section.
(B) The vehicle shall fail the loaded mode and the mode shall be
terminated if paragraph (III)(c)(1)(iii)(A) of this appendix is not
satisfied by an elapsed time of 90 seconds (mt = 90).
(C) Optional. The vehicle may fail the loaded mode and any
subsequent idle mode shall be omitted if no exhaust gas concentration
less than 1800 ppm HC is found by an elapsed time of 30 seconds (mt =
30).
(2) Idle mode--(i) Ford Motor Company and Honda vehicles. (Optional)
The engines of 1981-1987 Ford Motor Company vehicles and 1984-1985 Honda
Preludes shall be shut off for not more than 10 seconds and restarted.
This procedure may also be used for 1988-1989 Ford Motor Company
vehicles but should not be used for other vehicles. The probe may be
removed from the tailpipe or the sample pump turned off if necessary to
reduce analyzer fouling during the restart procedure.
(ii) The mode timer shall start (mt = 0) when the dynamometer speed
is zero and the vehicle engine speed is between 350 and 1100 rpm. If
engine speed exceeds 1100 rpm or falls below 350 rpm, the mode timer
shall reset to zero and resume timing. The minimum idle mode length
shall be determined as described in paragraph (II)(c)(2)(ii) of this
appendix. The maximum idle mode length shall be 90 seconds elapsed time
(mt = 90).
(iii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
[[Page 366]]
(A) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(B) The vehicle shall pass the idle mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (III)(c)(2)(iii)(A) of
this appendix are not satisfied, and the measured values are less than
or equal to the applicable short test standards as described in
paragraph (III)(a)(2) of this appendix.
(C) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), measured values are less
than or equal to the applicable short test standards described in
paragraph (III)(a)(2) of this appendix.
(D) The vehicle shall fail the idle mode and the test shall be
terminated if none of the provisions of paragraphs (III)(c)(2)(iii)(A),
(c)(2)(iii)(B), and (c)(2)(iii)(C) of this appendix is satisfied by an
elapsed time of 90 seconds (mt = 90).
(IV) Preconditioned IDLE TEST
(a) General requirements--(1) Exhaust gas sampling algorithm. The
analysis of exhaust gas concentrations shall begin 10 seconds after the
applicable test mode begins. Exhaust gas concentrations shall be
analyzed at a minimum rate of two times per second. The measured value
for pass/fail determinations shall be a simple running average of the
measurements taken over five seconds.
(2) Pass/fail determination. A pass or fail determination shall be
made for each applicable test mode based on a comparison of the short
test standards contained in appendix C to this subpart, and the measured
value for HC and CO as described in paragraph (IV)(a)(1) of this
appendix. A vehicle shall pass the test mode if any pair of simultaneous
values for HC and CO are below or equal to the applicable short test
standards. A vehicle shall fail the test mode if the values for either
HC or CO, or both, in all simultaneous pairs of values are above the
applicable standards.
(3) Void test conditions. The test shall immediately end and any
exhaust gas measurements shall be voided if the measured concentration
of CO plus CO2 falls below six percent or the vehicle's
engine stalls at any time during the test sequence.
(4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle
engines equipped with multiple exhaust pipes shall be sampled
simultaneously.
(5) The test shall be immediately terminated upon reaching the
overall maximum test time.
(b) Test sequence. (1) The test sequence shall consist of a first-
chance test and a second-chance test as follows:
(i) The first-chance test, as described under paragraph (IV)(c) of
this appendix, shall consist of a preconditioning mode followed by an
idle mode.
(ii) The second-chance test, as described under paragraph (IV)(d) of
this appendix, shall be performed only if the vehicle fails the first-
chance test.
(2) The test sequence shall begin only after the following
requirements are met:
(i) The vehicle shall be tested in as-received condition with the
transmission in neutral or park and all accessories turned off. The
engine shall be at normal operating temperature (as indicated by a
temperature gauge, temperature lamp, touch test on the radiator hose, or
other visual observation for overheating).
(ii) For all pre-1996 model year vehicles, a tachometer shall be
attached to the vehicle in accordance with the analyzer manufacturer's
instructions. For 1996 and newer model year vehicles the OBD data link
connector will be used to monitor RPM. In the event that an OBD data
link connector is not available or that an RPM signal is not available
over the data link connector, a tachometer shall be used instead.
(iii) The sample probe shall be inserted into the vehicle's tailpipe
to a minimum depth of 10 inches. If the vehicle's exhaust system
prevents insertion to this depth, a tailpipe extension shall be used.
(iv) The measured concentration of CO plus CO2 shall be greater than
or equal to six percent.
(c) First-chance test. The test timer shall start (tt = 0) when the
conditions specified in paragraph (IV)(b)(2) of this appendix are met.
The test shall have an overall maximum test time of 200 seconds (tt =
200). The first-chance test shall consist of a preconditioning mode
followed immediately by an idle mode.
(1) Preconditioning mode. The mode timer shall start (mt = 0) when
the engine speed is between 2200 and 2800 rpm. The mode shall continue
for an elapsed time of 30 seconds (mt = 30). If engine speed falls below
2200 rpm or exceeds 2800 rpm for more than five seconds in any one
excursion, or 15 seconds over all excursions, the mode timer shall reset
to zero and resume timing.
(2) Idle mode. (i) The mode timer shall start (mt = 0) when the
vehicle engine speed is between 350 and 1100 rpm. If engine speed
exceeds 1100 rpm or falls below 350 rpm, the mode timer shall reset to
zero and resume timing. The minimum idle mode length shall be determined
as described in paragraph (IV)(c)(2)(ii) of this appendix. The maximum
idle mode length shall be 90 seconds elapsed time (mt = 90).
(ii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A
[[Page 367]]
pass or fail determination shall be made for the vehicle and the mode
shall be terminated as follows:
(A) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(B) The vehicle shall pass the idle mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (IV)(c)(2)(ii)(A) of this
appendix are not satisfied, and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(IV)(a)(2) of this appendix.
(C) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), measured values are less
than or equal to the applicable short test standards as described in
paragraph (IV)(a)(2) of this section.
(D) The vehicle shall fail the idle mode and the test shall be
terminated if none of the provisions of paragraphs (IV)(c)(2)(ii)(A),
(B), and (C) of this appendix is satisfied by an elapsed time of 90
seconds (mt = 90). Alternatively, the vehicle may be failed if the
provisions of paragraphs (IV)(c)(2) (i) and (ii) of this appendix are
not met within an elapsed time of 30 seconds.
(E) Optional. The vehicle may fail the first-chance test and the
second-chance test shall be omitted if no exhaust gas concentration less
than 1800 ppm HC is found at an elapsed time of 30 seconds (mt = 30).
(d) Second-chance test. If the vehicle fails the first-chance test,
the test timer shall reset to zero and a second-chance test shall be
performed. The second-chance test shall have an overall maximum test
time of 425 seconds. The test shall consist of a preconditioning mode
followed immediately by an idle mode.
(1) Preconditioning mode. The mode timer shall start (mt = 0) when
engine speed is between 2200 and 2800 rpm. The mode shall continue for
an elapsed time of 180 seconds (mt = 180). If the engine speed falls
below 2200 rpm or exceeds 2800 rpm for more than five seconds in any one
excursion, or 15 seconds over all excursions, the mode timer shall reset
to zero and resume timing.
(2) Idle mode--(i) Ford Motor Company and Honda vehicles. The
engines of 1981-1987 Ford Motor Company vehicles and 1984-1985 Honda
Preludes shall be shut off for not more than 10 seconds and then shall
be restarted. The probe may be removed from the tailpipe or the sample
pump turned off if necessary to reduce analyzer fouling during the
restart procedure. This procedure may also be used for 1988-1989 Ford
Motor Company vehicles but should not be used for other vehicles.
(ii) The mode timer shall start (mt = 0) when the vehicle engine
speed is between 350 and 1100 rpm. If the engine speed exceeds 1100 rpm
or falls below 350 rpm, the mode timer shall reset to zero and resume
timing. The minimum idle mode length shall be determined as described in
paragraph (IV)(d)(2)(iii) of this appendix. The maximum idle mode length
shall be 90 seconds elapsed time (mt = 90).
(iii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
(A) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(B) The vehicle shall pass the idle mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (IV)(d)(2)(iii)(A) of this
appendix are not satisfied, and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(IV)(a)(2) of this appendix.
(C) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), measured values are less
than or equal to the applicable short test standards described in
paragraph (IV)(a)(2) of this appendix.
(D) The vehicle shall fail the idle mode and the test shall be
terminated if none of the provisions of paragraphs (IV)(d)(2)(iii) (A),
(B), and (C) of this appendix is satisfied by an elapsed time of 90
seconds (mt = 90).
(V) Idle Test With Loaded Preconditioning
(a) General requirements--(1) Exhaust gas sampling algorithm. The
analysis of exhaust gas concentrations shall begin 10 seconds after the
applicable test mode begins. Exhaust gas concentrations shall be
analyzed at a minimum rate of two times per second. The measured value
for pass/fail determinations shall be a simple running average of the
measurements taken over five seconds.
(2) Pass/fail determination. A pass or fail determination shall be
made for each applicable test mode based on a comparison of the short
test standards contained in appendix C to this subpart, and the measured
value for HC and CO as described in paragraph (V)(a)(1) of this
appendix. A vehicle shall pass the test mode if any pair of simultaneous
values for HC and CO are below or equal to the applicable short test
standards. A vehicle shall fail the test mode if the values for either
HC or CO, or both, in all simultaneous pairs of values are above the
applicable standards.
[[Page 368]]
(3) Void test conditions. The test shall immediately end and any
exhaust gas measurements shall be voided if the measured concentration
of CO plus CO2 falls below six percent or the vehicle's
engine stalls at any time during the test sequence.
(4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle
engines equipped with multiple exhaust pipes shall be sampled
simultaneously.
(5) The test shall be immediately terminated upon reaching the
overall maximum test time.
(b) Test sequence. (1) The test sequence shall consist of a first-
chance test and a second-chance test as follows:
(i) The first-chance test, as described under paragraph (V)(c) of
this appendix, shall consist of an idle mode.
(ii) The second-chance test as described under paragraph (V)(d) of
this appendix shall be performed only if the vehicle fails the first-
chance test.
(2) The test sequence shall begin only after the following
requirements are met:
(i) The dynamometer shall be warmed up, in stabilized operating
condition, adjusted, and calibrated in accordance with the procedures of
appendix A to this subpart. Prior to each test, variable-curve
dynamometers shall be checked for proper setting of the road-load
indicator or road-load controller.
(ii) The vehicle shall be tested in as-received condition with all
accessories turned off. The engine shall be at normal operating
temperature (as indicated by a temperature gauge, temperature lamp,
touch test on the radiator hose, or other visual observation for
overheating).
(iii) The vehicle shall be operated during each mode of the test
with the gear selector in the following position:
(A) In drive for automatic transmissions and in second (or third if
more appropriate) for manual transmissions for the loaded
preconditioning mode;
(B) In park or neutral for the idle mode.
(iv) For all pre-1996 model year vehicles, a tachometer shall be
attached to the vehicle in accordance with the analyzer manufacturer's
instructions. For 1996 and newer model year vehicles the OBD data link
connector will be used to monitor RPM. In the event that an OBD data
link connector is not available or that an RPM signal is not available
over the data link connector, a tachometer shall be used instead.
(v) The sample probe shall be inserted into the vehicle's tailpipe
to a minimum depth of 10 inches. If the vehicle's exhaust system
prevents insertion to this depth, a tailpipe extension shall be used.
(vi) The measured concentration of CO plus CO2 shall be
greater than or equal to six percent.
(c) First-chance test. The test timer shall start (tt = 0) when the
conditions specified in paragraph (V)(b)(2) of this appendix are met.
The test shall have an overall maximum test time of 155 seconds (tt =
155). The first-chance test shall consist of an idle mode only.
(1) The mode timer shall start (mt = 0) when the vehicle engine
speed is between 350 and 1100 rpm. If the engine speed exceeds 1100 rpm
or falls below 350 rpm, the mode timer shall reset to zero and resume
timing. The minimum mode length shall be determined as described in
paragraph (V)(c)(2) of this appendix. The maximum mode length shall be
90 seconds elapsed time (mt = 90).
(2) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
(i) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(ii) The vehicle shall pass the idle mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (V)(c)(2)(i) of this
appendix are not satisfied, and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(V)(a)(2) of this appendix.
(iii) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), the measured values are less
than or equal to the applicable short test standards as described in
paragraph (V)(a)(2) of this appendix.
(iv) The vehicle shall fail the idle mode and the test shall be
terminated if none of the provisions of paragraphs (V)(c)(2)(i), (ii),
and (iii) of this appendix is satisfied by an elapsed time of 90 seconds
(mt = 90). Alternatively, the vehicle may be failed if the provisions of
paragraphs (V)(c)(2) (i) and (ii) of this appendix are not met within an
elapsed time of 30 seconds.
(v) Optional. The vehicle may fail the first-chance test and the
second-chance test shall be omitted if no exhaust gas concentration less
than 1800 ppm HC is found at an elapsed time of 30 seconds (mt = 30).
(d) Second-chance test. If the vehicle fails the first-chance test,
the test timer shall reset to zero (tt = 0) and a second-chance test
shall be performed. The second-chance test shall have an overall maximum
test time of 200 seconds (tt = 200). The test shall consist of a
preconditioning mode using a chassis dynamometer, followed immediately
by an idle mode.
(1) Preconditioning mode. The mode timer shall start (mt = 0) when
the dynamometer speed is within the limits specified for the
[[Page 369]]
vehicle engine size in accordance with the following schedule. The mode
shall continue for a minimum elapsed time of 30 seconds (mt = 30). If
the dynamometer speed falls outside the limits for more than five
seconds in one excursion, or 15 seconds over all excursions, the mode
timer shall reset to zero and resume timing.
------------------------------------------------------------------------
Dynamometer test
schedule
---------------------
Gasoline engine size (cylinders) Normal
Roll loading
speed (brake
(mph) horsepower)
------------------------------------------------------------------------
4 or less......................................... 22-25 2.8-4.1
5-6............................................... 29-32 6.8-8.4
7 or more......................................... 32-35 8.4-10.8
------------------------------------------------------------------------
(2) Idle mode. (i) Ford Motor Company and Honda vehicles. (Optional)
The engines of 1981-1987 Ford Motor Company vehicles and 1984-1985 Honda
Preludes shall be shut off for not more than 10 seconds and restarted.
This procedure may also be used for 1988-1989 Ford Motor Company
vehicles but should not be used for other vehicles. The probe may be
removed from the tailpipe or the sample pump turned off if necessary to
reduce analyzer fouling during the restart procedure.
(ii) The mode timer shall start (mt = 0) when the dynamometer speed
is zero and the vehicle engine speed is between 350 and 1100 rpm. If the
engine speed exceeds 1100 rpm or falls below 350 rpm, the mode timer
shall reset to zero and resume timing. The minimum idle mode length
shall be determined as described in paragraph (V)(d)(2)(ii) of this
appendix. The maximum idle mode length shall be 90 seconds elapsed time
(mt = 90).
(iii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
(A) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(B) The vehicle shall pass the idle mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (V)(d)(2)(ii)(A) of this
appendix are not satisfied, and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(V)(a)(2) of this appendix.
(C) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), the measured values are less
than or equal to the applicable short test standards as described in
paragraph (V)(a)(2) of this appendix.
(D) The vehicle shall fail the idle mode and the test shall be
terminated if none of the provisions of paragraphs (V)(d)(2)(ii)(A),
(B), and (C) of this appendix is satisfied by an elapsed time of 90
seconds (mt = 90).
(VI) Preconditioned Two Speed Idle Test
(a) General requirements--(1) Exhaust gas sampling algorithm. The
analysis of exhaust gas concentrations shall begin 10 seconds after the
applicable test mode begins. Exhaust gas concentrations shall be
analyzed at a minimum rate of two times per second. The measured value
for pass/fail determinations shall be a simple running average of the
measurements taken over five seconds.
(2) Pass/fail determination. A pass or fail determination shall be
made for each applicable test mode based on a comparison of the short
test standards contained in appendix C to this subpart, and the measured
value for HC and CO as described in paragraph (VI)(a)(1) of this
appendix. A vehicle shall pass the test mode if any pair of simultaneous
values for HC and CO are below or equal to the applicable short test
standards. A vehicle shall fail the test mode if the values for either
HC or CO, or both, in all simultaneous pairs of values are above the
applicable standards.
(3) Void test conditions. The test shall immediately end and any
exhaust gas measurements shall be voided if the measured concentration
of CO plus CO2 falls below six percent or the vehicle's
engine stalls at any time during the test sequence.
(4) Multiple exhaust pipes. Exhaust gas concentrations from vehicle
engines equipped with multiple exhaust pipes shall be sampled
simultaneously.
(5) The test shall be immediately terminated upon reaching the
overall maximum test time.
(b) Test sequence. (1) The test sequence shall consist of a first-
chance test and a second-chance test as follows:
(i) The first-chance test, as described under paragraph (VI)(c) of
this appendix, shall consist of a first-chance high-speed mode followed
immediately by a first-chance idle mode.
(ii) The second-chance test as described under paragraph (VI)(d) of
this appendix shall be performed only if the vehicle fails the first-
chance test.
(2) The test sequence shall begin only after the following
requirements are met:
(i) The vehicle shall be tested in as-received condition with the
transmission in neutral or park and all accessories turned off. The
engine shall be at normal operating temperature (as indicated by a
temperature gauge, temperature lamp, touch test on the radiator hose, or
other visual observation for overheating).
[[Page 370]]
(ii) For all pre-1996 model year vehicles, a tachometer shall be
attached to the vehicle in accordance with the analyzer manufacturer's
instructions. For 1996 and newer model year vehicles the OBD data link
connector will be used to monitor rpm. In the event that an OBD data
link connector is not available or that an rpm signal is not available
over the data link connector, a tachometer shall be used instead.
(iii) The sample probe shall be inserted into the vehicle's tailpipe
to a minimum depth of 10 inches. If the vehicle's exhaust system
prevents insertion to this depth, a tailpipe extension shall be used.
(iv) The measured concentration of CO plus CO2 shall be
greater than or equal to six percent.
(c) First-chance test. The test timer shall start (tt = 0) when the
conditions specified in paragraph (VI)(b)(2) of this appendix are met.
The test shall have an overall maximum test time of 290 seconds (tt =
290). The first-chance test shall consist of a high-speed mode followed
immediately by an idle mode.
(1) First-chance high-speed mode. (i) The mode timer shall reset (mt
= 0) when the vehicle engine speed is between 2200 and 2800 rpm. If the
engine speed falls below 2200 rpm or exceeds 2800 rpm for more than two
seconds in one excursion, or more than six seconds over all excursions
within 30 seconds of the final measured value used in the pass/fail
determination, the measured value shall be invalidated and the mode
continued. If any excursion lasts for more than ten seconds, the mode
timer shall reset to zero (mt = 0) and timing resumed. The high-speed
mode length shall be 90 seconds elapsed time (mt = 90).
(ii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
(A) The vehicle shall pass the high-speed mode and the mode shall be
terminated at an elapsed time of 90 seconds (mt = 90) if any measured
values are less than or equal to the applicable short test standards as
described in paragraph (VI)(a)(2) of this appendix.
(B) The vehicle shall fail the high-speed mode and the mode shall be
terminated if the requirements of paragraph (VI)(c)(1)(ii)(A) of this
appendix are not satisfied by an elapsed time of 90 seconds (mt = 90).
(C) Optional. The vehicle shall fail the first-chance test and any
subsequent test shall be omitted if no exhaust gas concentration lower
than 1800 ppm HC is found at an elapsed time of 30 seconds (mt = 30).
(2) First-chance idle mode. (i) The mode timer shall start (mt = 0)
when the vehicle engine speed is between 350 and 1100 rpm. If the engine
speed exceeds 1100 rpm or falls below 350 rpm, the mode timer shall
reset to zero and resume timing. The minimum first-chance idle mode
length shall be determined as described in paragraph (VI)(c)(2)(ii) of
this appendix. The maximum first-chance idle mode length shall be 90
seconds elapsed time (mt = 90).
(ii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
(A) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(B) The vehicle shall pass the idle mode and the test shall be
terminated at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (VI)(c)(2)(ii)(A) of this
appendix are not satisfied, and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(VI)(a)(2) of this appendix.
(C) The vehicle shall pass the idle mode and the test shall be
immediately terminated if, at any point between an elapsed time of 30
seconds (mt = 30) and 90 seconds (mt = 90), the measured values are less
than or equal to the applicable short test standards as described in
paragraph (VI)(a)(2) of this appendix.
(D) The vehicle shall fail the idle mode and the test shall be
terminated if none of the provisions of paragraphs (VI)(c)(2)(ii) (A),
(B), and (C) of this appendix is satisfied by an elapsed time of 90
seconds (mt = 90). Alternatively, the vehicle may be failed if the
provisions of paragraphs (VI)(c)(2)(i) and (ii) of this appendix are not
met within the elapsed time of 30 seconds.
(d) Second-chance test. (1) If the vehicle fails either mode of the
first-chance test, the test timer shall reset to zero (tt = 0) and a
second-chance test shall commence. The second-chance test shall be
performed based on the first-chance test failure mode or modes as
follows:
(A) If the vehicle failed only the first-chance high-speed mode, the
second-chance test shall consist of a second-chance high-speed mode as
described in paragraph (VI)(d)(2) of this appendix. The overall maximum
test time shall be 280 seconds (tt = 280).
(B) If the vehicle failed only the first-chance idle mode, the
second-chance test shall consist of a second-chance pre-conditioning
mode followed immediately by a second-chance idle mode as described in
paragraphs (VI)(d) (3) and (4) of this appendix. The overall maximum
test time shall be 425 seconds (tt = 425).
(C) If both the first-chance high-speed mode and first-chance idle
mode were failed, the second-chance test shall consist of the
[[Page 371]]
second-chance high-speed mode followed immediately by the second-chance
idle mode as described in paragraphs (VI)(d) (2) and (4) of this
appendix. However, if during this second-chance procedure the vehicle
fails the second-chance high-speed mode, then the second-chance idle
mode may be eliminated. The overall maximum test time shall be 425
seconds (tt = 425).
(2) Second-chance high-speed mode--(i) Ford Motor Company and Honda
vehicles. The engines of 1981-1987 Ford Motor Company vehicles and 1984-
1985 Honda Preludes shall be shut off for not more than 10 seconds and
then shall be restarted. The probe may be removed from the tailpipe or
the sample pump turned off if necessary to reduce analyzer fouling
during the restart procedure. This procedure may also be used for 1988-
1989 Ford Motor Company vehicles but should not be used for other
vehicles.
(ii) The mode timer shall reset (mt = 0) when the vehicle engine
speed is between 2200 and 2800 rpm. If the engine speed falls below 2200
rpm or exceeds 2800 rpm for more than two seconds in one excursion, or
more than six seconds over all excursions within 30 seconds of the final
measured value used in the pass/fail determination, the measured value
shall be invalidated and the mode continued. The minimum second-chance
high-speed mode length shall be determined as described in paragraphs
(VI)(d)(2) (iii) and (iv) of this appendix. If any excursion lasts for
more than ten seconds, the mode timer shall reset to zero (mt = 0) and
timing resumed. The maximum second-chance high-speed mode length shall
be 180 seconds elapsed time (mt = 180).
(iii) In the case where the second-chance high-speed mode is not
followed by the second-chance idle mode, the pass/fail analysis shall
begin after an elapsed time of 10 seconds (mt = 10). A pass or fail
determination shall be made for the vehicle and the mode shall be
terminated as follows:
(A) The vehicle shall pass the high-speed mode and the test shall be
immediately terminated if, prior to an elapsed time of 30 seconds (mt =
30), measured values are less than or equal to 100 ppm HC and 0.5
percent CO.
(B) The vehicle shall pass the high-speed mode and the test shall be
terminated if at the end of an elapsed time of 30 seconds (mt = 30) if,
prior to that time, the criteria of paragraph (VI)(d)(2)(iii)(A) of this
appendix are not satisfied, and the measured values are less than or
equal to the applicable short test standards as described in paragraph
(VI)(a)(2) of this appendix.
(C) The vehicle shall pass the high-speed mode and the test shall be
immediately terminated if, at any point between an elapsed time for 30
seconds (mt = 30) and 180 seconds (mt = 180), the measured values are
less than or equal to the applicable short test standards as described
in paragraph (VI)(a)(2) of this appendix.
(D) The vehicle shall fail the high-speed mode and the test shall be
terminated if none of the provisions of paragraphs (VI)(d)(2)(iii) (A),
(B), and (C) of this appendix is satisfied by an elapsed time of 180
seconds (mt = 180).
(iv) In the case where the second-chance high-speed mode is followed
by the second-chance idle mode, the pass/fail analysis shall begin after
an elapsed time of 10 seconds (mt = 10). A pass or fail determination
shall be made for the vehicle and the mode shall be terminated as
follows:
(A) The vehicle shall pass the high-speed mode and the mode shall be
terminated at the end of an elapsed time of 180 seconds (mt = 180) if
any measured values are less than or equal to the applicable short test
standards as described in paragraph (VI)(a)(2) of this appendix.
(B) The vehicle shall fail the high-speed mode and the mode shall be
terminated if paragraph (VI)(d)(2)(iv)(A) of this appendix is not
satisfied by an elapsed time of 180 seconds (mt = 180).
(3) Second-chance preconditioning mode. The mode timer shall start
(mt = 0) when engine speed is between 2200 and 2800 rpm. The mode shall
continue for an elapsed time of 180 seconds (mt = 180). If the engine
speed falls below 2200 rpm or exceeds 2800 rpm for more than five
seconds in any one excursion, or 15 seconds over all excursions, the
mode timer shall reset to zero and resume timing.
(4) Second-chance idle mode--(i) Ford Motor Company and Honda
vehicles. The engines of 1981-1987 Ford Motor Company vehicles and 1984-
1985 Honda Preludes shall be shut off for not more than 10 seconds and
then shall be restarted. The probe may be removed from the tailpipe or
the sample pump turned off if necessary to reduce analyzer fouling
during the restart procedure. This procedure may also be used for 1988-
1989 Ford Motor Company vehicles but should not be used for other
vehicles.
(ii) The mode timer shall start (mt = 0) when the vehicle engine
speed is between 350 and 1100 rpm. If the engine exceeds 1100 rpm or
falls below 350 rpm the mode timer shall reset to zero and resume
timing. The minimum second-chance idle mode length shall be determined
as described in paragraph (VI)(d)(4)(iii) of this appendix. The maximum
second-chance idle mode length shall be 90 seconds elapsed time (mt =
90).
(iii) The pass/fail analysis shall begin after an elapsed time of 10
seconds (mt = 10). A pass or fail determination shall be made for the
vehicle and the mode shall be terminated as follows:
(A) The vehicle shall pass the second-chance idle mode and the test
shall be immediately terminated if, prior to an elapsed time of 30
seconds (mt = 30), measured values
[[Page 372]]
are less than or equal to 100 ppm HC and 0.5 percent CO.
(B) The vehicle shall pass the second-chance idle mode and the test
shall be terminated at the end of an elapsed time of 30 seconds (mt =
30) if, prior to that time, the criteria of paragraph (VI)(d)(4)(iii)(A)
of this appendix are not satisfied, and the measured values are less
than or equal to the applicable short test standards as described in
paragraph (VI)(a)(2) of this appendix.
(C) The vehicle shall pass the second-chance idle mode and the test
shall be immediately terminated if, at any point between an elapsed time
of 30 seconds (mt = 30) and 90 seconds (mt = 90), measured values are
less than or equal to the applicable short test standards described in
paragraph (VI)(a)(2) of this appendix.
(D) The vehicle shall fail the second-chance idle mode and the test
shall be terminated if none of the provisions of paragraphs
(VI)(d)(4)(iii) (A), (B), and (C) of this appendix is satisfied by an
elapsed time of 90 seconds (mt = 90).
[57 FR 52987, Nov. 5, 1992, as amended at 61 FR 40946, Aug. 6, 1996]
Sec. Appendix C to Subpart S of Part 51--Steady-State Short Test
Standards
(I) Short Test Standards for 1981 and Later Model Year Light-Duty
Vehicles
For 1981 and later model year light-duty vehicles for which any of
the test procedures described in appendix B to this subpart are utilized
to establish Emissions Performance Warranty eligibility (i.e., 1981 and
later model year light-duty vehicles at low altitude and 1982 and later
model year vehicles at high altitude to which high altitude
certification standards of 1.5 gpm HC and 15 gpm CO or less apply),
short test emissions for all tests and test modes shall not exceed:
(a) Hydrocarbons: 220 ppm as hexane.
(b) Carbon monoxide: 1.2%.
(II) Short Test Standards for 1981 and Later Model Year Light-Duty
Trucks
For 1981 and later model year light-duty trucks for which any of the
test procedures described in appendix B to this subpart are utilized to
establish Emissions Performance Warranty eligibility (i.e., 1981 and
later model year light-duty trucks at low altitude and 1982 and later
model year trucks at high altitude to which high altitude certification
standards of 2.0 gpm HC and 26 gpm CO or less apply), short test
emissions for all tests and test modes shall not exceed:
(a) Hydrocarbons: 220 ppm as hexane.
(b) Carbon monoxide: 1.2%.
Sec. Appendix D to Subpart S of Part 51--Steady-State Short Test
Equipment
(I) Steady-State Test Exhaust Analysis System
(a) Sampling system--(1) General requirements. The sampling system
for steady-state short tests shall, at a minimum, consist of a tailpipe
probe, a flexible sample line, a water removal system, particulate trap,
sample pump, flow control components, tachometer or dynamometer,
analyzers for HC, CO, and CO2, and digital displays for
exhaust concentrations of HC, CO, and CO2, and engine rpm.
Materials that are in contact with the gases sampled shall not
contaminate or change the character of the gases to be analyzed,
including gases from alcohol fueled vehicles. The probe shall be capable
of being inserted to a depth of at least ten inches into the tailpipe of
the vehicle being tested, or into an extension boot if one is used. A
digital display for dynamometer speed and load shall be included if the
test procedures described in appendix B to this subpart, paragraphs
(III) and (V), are conducted. Minimum specifications for optional NO
analyzers are also described in this appendix. The analyzer system shall
be able to test, as specified in at least one section in appendix B to
this subpart, all model vehicles in service at the time of sale of the
analyzer.
(2) Temperature operating range. The sampling system and all
associated hardware shall be of a design certified to operate within the
performance specifications described in paragraph (I)(b) of this
appendix in ambient air temperatures ranging from 41 to 110 degrees
Fahrenheit. The analyzer system shall, where necessary, include features
to keep the sampling system within the specified range.
(3) Humidity operating range. The sampling system and all associated
hardware shall be of a design certified to operate within the
performance specifications described in paragraph (I)(b) of this
appendix at a minimum of 80 percent relative humidity throughout the
required temperature range.
(4) Barometric pressure compensation. Barometric pressure
compensation shall be provided. Compensation shall be made for
elevations up to 6,000 feet (above mean sea level). At any given
altitude and ambient conditions specified in paragraph (I)(b) of this
appendix, errors due to barometric pressure changes of [2 inches of
mercury shall not exceed the accuracy limits specified in paragraph
(I)(b) of this appendix.
(5) Dual sample probe requirements. When testing a vehicle with dual
exhaust pipes, a dual sample probe of a design certified by the analyzer
manufacturer to provide equal flow in each leg shall be used. The equal
flow requirement is considered to be met if the flow rate in each leg of
the probe has been measured under two sample pump flow rates (the
[[Page 373]]
normal rate and a rate equal to the onset of low flow), and if the flow
rates in each of the legs are found to be equal to each other (within
15% of the flow rate in the leg having lower flow).
(6) System lockout during warm-up. Functional operation of the gas
sampling unit shall remain disabled through a system lockout until the
instrument meets stability and warm-up requirements. The instrument
shall be considered ``warmed up'' when the zero and span readings for
HC, CO, and CO2 have stabilized, within [3% of the full range
of low scale, for five minutes without adjustment.
(7) Electromagnetic isolation and interference. Electromagnetic
signals found in an automotive service environment shall not cause
malfunctions or changes in the accuracy in the electronics of the
analyzer system. The instrument design shall ensure that readings do not
vary as a result of electromagnetic radiation and induction devices
normally found in the automotive service environment, including high
energy vehicle ignition systems, radio frequency transmission radiation
sources, and building electrical systems.
(8) Vibration and shock protection. System operation shall be
unaffected by the vibration and shock encountered under the normal
operating conditions encountered in an automotive service environment.
(9) Propane equivalency factor. The propane equivalency factor shall
be displayed in a manner that enables it to be viewed conveniently,
while permitting it to be altered only by personnel specifically
authorized to do so.
(b) Analyzers--(1) Accuracy. The analyzers shall be of a design
certified to meet the following accuracy requirements when calibrated to
the span points specified in appendix A to this subpart:
------------------------------------------------------------------------
Channel Range Accuracy Noise Repeatability
------------------------------------------------------------------------
HC, ppm......................... 0-400 [12 6 8
as hexane....................... 401-10 [30 10 15
00
1001-2 [80 20 30
000
CO, %........................... 0-2.00 [0.06 0.02 0.03
2.01-5 [0.15 0.06 0.08
.00
5.01-9 [0.40 0.10 0.15
.99
CO2, %.......................... 0-4.0 [0.6 0.2 0.3
4.1-14 [0.5 0.2 0.3
.0
NO, ppm......................... 0-1000 [32 16 20
1001-2 [60 25 30
000
2001-4 [120 50 60
000
------------------------------------------------------------------------
(2) Minimum analyzer display resolution. The analyzer electronics
shall have sufficient resolution to achieve the following:
HC.................................. 1ppm HC as hexane.
CO.................................. 0.01% CO.
CO2................................. 0.1% CO2.
NO.................................. 1ppm NO.
RPM................................. 1rpm.
(3) Response time. The response time from the probe to the display
for HC, CO, and CO2 analyzers shall not exceed eight seconds
to 90% of a step change in input. For NO analyzers, the response time
shall not exceed twelve seconds to 90% of a step change in input.
(4) Display refresh rate. Dynamic information being displayed shall
be refreshed at a minimum rate of twice per second.
(5) Interference effects. The interference effects for non-interest
gases shall not exceed [10 ppm for hydrocarbons, [0.05 percent for
carbon monoxide, [0.20 percent for carbon dioxide, and [20 ppm for
oxides of nitrogen.
(6) Low flow indication. The analyzer shall provide an indication
when the sample flow is below the acceptable level. The sampling system
shall be equipped with a flow meter (or equivalent) that shall indicate
sample flow degradation when meter error exceeds three percent of full
scale, or causes system response time to exceed 13 seconds to 90 percent
of a step change in input, whichever is less.
(7) Engine speed detection. The analyzer shall utilize a tachometer
capable of detecting engine speed in revolutions per minute (rpm) with a
0.5 second response time and an accuracy of [3% of the true rpm.
(8) Test and mode timers. The analyzer shall be capable of
simultaneously determining the amount of time elapsed in a test, and in
a mode within that test.
(9) Sample rate. The analyzer shall be capable of measuring exhaust
concentrations of gases specified in this section at a minimum rate of
twice per second.
(c) Demonstration of conformity. The analyzer shall be demonstrated
to the satisfaction of the inspection program manager, through
acceptance testing procedures, to meet the requirements of this section
and that it is capable of being maintained as required in appendix A to
this subpart.
(II) Steady-State Test Dynamometer
(a) The chassis dynamometer for steady-state short tests shall
provide the following capabilities:
(1) Power absorption. The dynamometer shall be capable of applying a
load to the vehicle's driving tire surfaces at the horsepower and speed
levels specified in paragraph (II)(b) of this appendix.
(2) Short-term stability. Power absorption at constant speed shall
not drift more than [0.5 horsepower (hp) during any single test mode.
(3) Roll weight capacity. The dynamometer shall be capable of
supporting a driving axle weight up to four thousand (4,000) pounds or
greater.
(4) Between roll wheel lifts. These shall be controllable and
capable of lifting a minimum of four thousand (4,000) pounds.
(5) Roll brakes. Both rolls shall be locked when the wheel lift is
up.
[[Page 374]]
(6) Speed indications. The dynamometer speed display shall have a
range of 0-60 mph, and a resolution and accuracy of at least 1 mph.
(7) Safety interlock. A roll speed sensor and safety interlock
circuit shall be provided which prevents the application of the roll
brakes and upward lift movement at any roll speed above 0.5 mph.
(b) The dynamometer shall produce the load speed relationships
specified in paragraphs (III) and (V) of appendix B to this subpart.
(III) Transient Emission Test Equipment [Reserved]
(IV) Evaporative System Purge Test Equipment [Reserved]
(V) Evaporative System Integrity Test Equipment [Reserved]
[57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993]
Sec. Appendix E to Subpart S of Part 51--Transient Test Driving Cycle
(I) Driver's trace. All excursions in the transient driving cycle
shall be evaluated by the procedures defined in Sec. 86.115-78(b)(1)
and Sec. 86.115(c) of this chapter. Excursions exceeding these limits
shall cause a test to be void. In addition, provisions shall be
available to utilize cycle validation criteria, as described in Sec.
86.1341-90 of this chapter, for trace speed versus actual speed as a
means to determine a valid test.
(II) Driving cycle. The following table shows the time speed
relationship for the transient IM240 test procedure.
------------------------------------------------------------------------
Second MPH
------------------------------------------------------------------------
0.............................................................. 0
1.............................................................. 0
2.............................................................. 0
3.............................................................. 0
4.............................................................. 0
5.............................................................. 3
6.............................................................. 5.9
7.............................................................. 8.6
8.............................................................. 11.5
9.............................................................. 14.3
10............................................................. 16.9
11............................................................. 17.3
12............................................................. 18.1
13............................................................. 20.7
14............................................................. 21.7
15............................................................. 22.4
16............................................................. 22.5
17............................................................. 22.1
18............................................................. 21.5
19............................................................. 20.9
20............................................................. 20.4
21............................................................. 19.8
22............................................................. 17
23............................................................. 14.9
24............................................................. 14.9
25............................................................. 15.2
26............................................................. 15.5
27............................................................. 16
28............................................................. 17.1
29............................................................. 19.1
30............................................................. 21.1
31............................................................. 22.7
32............................................................. 22.9
33............................................................. 22.7
34............................................................. 22.6
35............................................................. 21.3
36............................................................. 19
37............................................................. 17.1
38............................................................. 15.8
39............................................................. 15.8
40............................................................. 17.7
41............................................................. 19.8
42............................................................. 21.6
43............................................................. 23.2
44............................................................. 24.2
45............................................................. 24.6
46............................................................. 24.9
47............................................................. 25
48............................................................. 25.7
49............................................................. 26.1
50............................................................. 26.7
51............................................................. 27.5
52............................................................. 28.6
53............................................................. 29.3
54............................................................. 29.8
55............................................................. 30.1
56............................................................. 30.4
57............................................................. 30.7
58............................................................. 30.7
59............................................................. 30.5
60............................................................. 30.4
61............................................................. 30.3
62............................................................. 30.4
63............................................................. 30.8
64............................................................. 30.4
65............................................................. 29.9
66............................................................. 29.5
67............................................................. 29.8
68............................................................. 30.3
69............................................................. 30.7
70............................................................. 30.9
71............................................................. 31
72............................................................. 30.9
73............................................................. 30.4
74............................................................. 29.8
75............................................................. 29.9
76............................................................. 30.2
77............................................................. 30.7
78............................................................. 31.2
79............................................................. 31.8
80............................................................. 32.2
81............................................................. 32.4
82............................................................. 32.2
83............................................................. 31.7
84............................................................. 28.6
85............................................................. 25.1
86............................................................. 21.6
87............................................................. 18.1
88............................................................. 14.6
89............................................................. 11.1
90............................................................. 7.6
91............................................................. 4.1
92............................................................. 0.6
93............................................................. 0
94............................................................. 0
95............................................................. 0
96............................................................. 0
97............................................................. 0
98............................................................. 3.3
99............................................................. 6.6
[[Page 375]]
100............................................................ 9.9
101............................................................ 13.2
102............................................................ 16.5
103............................................................ 19.8
104............................................................ 22.2
105............................................................ 24.3
106............................................................ 25.8
107............................................................ 26.4
108............................................................ 25.7
109............................................................ 25.1
110............................................................ 24.7
111............................................................ 25.2
112............................................................ 25.4
113............................................................ 27.2
114............................................................ 26.5
115............................................................ 24
116............................................................ 22.7
117............................................................ 19.4
118............................................................ 17.7
119............................................................ 17.2
120............................................................ 18.1
121............................................................ 18.6
122............................................................ 20
123............................................................ 20.7
124............................................................ 21.7
125............................................................ 22.4
126............................................................ 22.5
127............................................................ 22.1
128............................................................ 21.5
129............................................................ 20.9
130............................................................ 20.4
131............................................................ 19.8
132............................................................ 17
133............................................................ 17.1
134............................................................ 15.8
135............................................................ 15.8
136............................................................ 17.7
137............................................................ 19.8
138............................................................ 21.6
139............................................................ 22.2
140............................................................ 24.5
141............................................................ 24.7
142............................................................ 24.8
143............................................................ 24.7
144............................................................ 24.6
145............................................................ 24.6
146............................................................ 25.1
147............................................................ 25.6
148............................................................ 25.7
149............................................................ 25.4
150............................................................ 24.9
151............................................................ 25
152............................................................ 25.4
153............................................................ 26
154............................................................ 26
155............................................................ 25.7
156............................................................ 26.1
157............................................................ 26.7
158............................................................ 27.3
159............................................................ 30.5
160............................................................ 33.5
161............................................................ 36.2
162............................................................ 37.3
163............................................................ 39.3
164............................................................ 40.5
165............................................................ 42.1
166............................................................ 43.5
167............................................................ 45.1
168............................................................ 46
169............................................................ 46.8
170............................................................ 47.5
171............................................................ 47.5
172............................................................ 47.3
173............................................................ 47.2
174............................................................ 47.2
175............................................................ 47.4
176............................................................ 47.9
177............................................................ 48.5
178............................................................ 49.1
179............................................................ 49.5
180............................................................ 50
181............................................................ 50.6
182............................................................ 51
183............................................................ 51.5
184............................................................ 52.2
185............................................................ 53.2
186............................................................ 54.1
187............................................................ 54.6
188............................................................ 54.9
189............................................................ 55
190............................................................ 54.9
191............................................................ 54.6
192............................................................ 54.6
193............................................................ 54.8
194............................................................ 55.1
195............................................................ 55.5
196............................................................ 55.7
197............................................................ 56.1
198............................................................ 56.3
199............................................................ 56.6
200............................................................ 56.7
201............................................................ 56.7
202............................................................ 56.3
203............................................................ 56
204............................................................ 55
205............................................................ 53.4
206............................................................ 51.6
207............................................................ 51.8
208............................................................ 52.1
209............................................................ 52.5
210............................................................ 53
211............................................................ 53.5
212............................................................ 54
213............................................................ 54.9
214............................................................ 55.4
215............................................................ 55.6
216............................................................ 56
217............................................................ 56
218............................................................ 55.8
219............................................................ 55.2
220............................................................ 54.5
221............................................................ 53.6
222............................................................ 52.5
223............................................................ 51.5
224............................................................ 50.5
225............................................................ 48
226............................................................ 44.5
227............................................................ 41
228............................................................ 37.5
229............................................................ 34
230............................................................ 30.5
231............................................................ 27
232............................................................ 23.5
233............................................................ 20
234............................................................ 16.5
235............................................................ 13
236............................................................ 9.5
237............................................................ 6
238............................................................ 2.5
239............................................................ 0
------------------------------------------------------------------------
[57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993]
[[Page 376]]
Subpart T_Conformity to State or Federal Implementation Plans of
Transportation Plans, Programs, and Projects Developed, Funded or
Approved Under Title 23 U.S.C. or the Federal Transit Laws
Authority: 42 U.S.C. 7401-7671q.
Sec. 51.390 Implementation plan revision.
(a) Purpose and applicability. The federal conformity rules under
part 93, subpart A, of this chapter, in addition to any existing
applicable state requirements, establish the conformity criteria and
procedures necessary to meet the requirements of Clean Air Act section
176(c) until such time as EPA approves the conformity implementation
plan revision required by this subpart. A state with an area subject to
this subpart and part 93, subpart A, of this chapter must submit to EPA
a revision to its implementation plan which contains criteria and
procedures for DOT, MPOs and other state or local agencies to assess the
conformity of transportation plans, programs, and projects, consistent
with this subpart and part 93, subpart A, of this chapter. The federal
conformity regulations contained in part 93, subpart A, of this chapter
would continue to apply for the portion of the requirements that the
state did not include in its conformity implementation plan and the
portion, if any, of the state's conformity provisions that is not
approved by EPA. In addition, any previously applicable implementation
plan conformity requirements remain enforceable until the state submits
a revision to its applicable implementation plan to specifically remove
them and that revision is approved by EPA.
(b) Conformity implementation plan content. To satisfy the
requirements of Clean Air Act section 176(c)(4)(E), the implementation
plan revision required by this section must include the following three
requirements of part 93, subpart A, of this chapter: Sec. Sec. 93.105,
93.122(a)(4)(ii), and 93.125(c). A state may elect to include any other
provisions of part 93, subpart A. If the provisions of the following
sections of part 93, subpart A, of this chapter are included, such
provisions must be included in verbatim form, except insofar as needed
to clarify or to give effect to a stated intent in the revision to
establish criteria and procedures more stringent than the requirements
stated in this chapter: Sec. Sec. 93.101, 93.102, 93.103, 93.104,
93.106, 93.109, 93.110, 93.111, 93.112, 93.113, 93.114, 93.115, 93.116,
93.117, 93.118, 93.119, 93.120, 93.121, 93.126, and 93.127. A state's
conformity provisions may contain criteria and procedures more stringent
than the requirements described in this subpart and part 93, subpart A,
of this chapter only if the state's conformity provisions apply equally
to non-federal as well as federal entities.
(c) Timing and approval. A state must submit this revision to EPA by
November 25, 1994 or within 12 months of an area's redesignation from
attainment to nonattainment, if the state has not previously submitted
such a revision. The state must also revise its conformity
implementation plan within 12 months of the date of publication of any
final amendments to Sec. Sec. 93.105, 93.122(a)(4)(ii), and 93.125(c),
as appropriate. Any other portions of part 93, subpart A, of this
chapter that the state has included in its conformity implementation
plan and EPA has approved must be revised in the state's implementation
plan and submitted to EPA within 12 months of the date of publication of
any final amendments to such sections. EPA will provide DOT with a 30-
day comment period before taking action to approve or disapprove the
submission. In order for EPA to approve the implementation plan revision
submitted to EPA under this subpart, the plan revision must address and
give full legal effect to the following three requirements of part 93,
subpart A: Sec. Sec. 93.105, 93.122(a)(4)(ii), and 93.125(c). Any other
provisions that are incorporated into the conformity implementation plan
must also be done in a manner that gives them full legal effect.
Following EPA approval of the state conformity provisions (or a portion
thereof) in a revision to the state's conformity implementation plan,
conformity determinations will be governed by the approved (or approved
portion of the) state criteria and procedures as well as any applicable
portions
[[Page 377]]
of the federal conformity rules that are not addressed by the approved
conformity SIP.
[73 FR 4438, Jan. 24, 2008]
Subpart U_Economic Incentive Programs
Source: 59 FR 16710, Apr. 7, 1994, unless otherwise noted.
Sec. 51.490 Applicability.
(a) The rules in this subpart apply to any statutory economic
incentive program (EIP) submitted to the EPA as an implementation plan
revision to comply with sections 182(g)(3), 182(g)(5), 187(d)(3), or
187(g) of the Act. Such programs may be submitted by any authorized
governmental organization, including States, local governments, and
Indian governing bodies.
(b) The provisions contained in these rules, except as explicitly
exempted, shall also serve as the EPA's policy guidance on discretionary
EIP's submitted as implementation plan revisions for any purpose other
than to comply with the statutory requirements specified in paragraph
(a) of this section.
Sec. 51.491 Definitions.
Act means the Clean Air Act as amended November 15, 1990.
Actual emissions means the emissions of a pollutant from an affected
source determined by taking into account actual emission rates
associated with normal source operation and actual or representative
production rates (i.e., capacity utilization and hours of operation).
Affected source means any stationary, area, or mobile source of a
criteria pollutant(s) to which an EIP applies. This term applies to
sources explicitly included at the start of a program, as well as
sources that voluntarily enter (i.e., opt into) the program.
Allowable emissions means the emissions of a pollutant from an
affected source determined by taking into account the most stringent of
all applicable SIP emissions limits and the level of emissions
consistent with source compliance with all Federal requirements related
to attainment and maintenance of the NAAQS and the production rate
associated with the maximum rated capacity and hours of operation
(unless the source is subject to federally enforceable limits which
restrict the operating rate, or hours of operation, or both).
Area sources means stationary and nonroad sources that are too small
and/or too numerous to be individually included in a stationary source
emissions inventory.
Attainment area means any area of the country designated or
redesignated by the EPA at 40 CFR part 81 in accordance with section
107(d) as having attained the relevant NAAQS for a given criteria
pollutant. An area can be an attainment area for some pollutants and a
nonattainment area for other pollutants.
Attainment demonstration means the requirement in section
182(b)(1)(A) of the Act to demonstrate that the specific annual
emissions reductions included in a SIP are sufficient to attain the
primary NAAQS by the date applicable to the area.
Directionally-sound strategies are strategies for which adequate
procedures to quantify emissions reductions or specify a program
baseline are not defined as part of the EIP.
Discretionary economic incentive program means any EIP submitted to
the EPA as an implementation plan revision for purposes other than to
comply with the statutory requirements of sections 182(g)(3), 182(g)(5),
187(d)(3), or 187(g) of the Act.
Economic incentive program (EIP) means a program which may include
State established emission fees or a system of marketable permits, or a
system of State fees on sale or manufacture of products the use of which
contributes to O3 formation, or any combination of the
foregoing or other similar measures, as well as incentives and
requirements to reduce vehicle emissions and vehicle miles traveled in
the area, including any of the transportation control measures
identified in section 108(f). Such programs may be directed toward
stationary, area, and/or mobile sources, to achieve emissions reductions
milestones, to attain and maintain ambient air quality standards, and/or
to provide more flexible,
[[Page 378]]
lower-cost approaches to meeting environmental goals. Such programs are
categorized into the following three categories: Emission-limiting,
market-response, and directionally-sound strategies.
Emission-limiting strategies are strategies that directly specify
limits on total mass emissions, emission-related parameters (e.g.,
emission rates per unit of production, product content limits), or
levels of emissions reductions relative to a program baseline that are
required to be met by affected sources, while providing flexibility to
sources to reduce the cost of meeting program requirements.
Indian governing body means the governing body of any tribe, band,
or group of Indians subject to the jurisdiction of the U.S. and
recognized by the U.S. as possessing power of self-government.
Maintenance plan means an implementation plan for an area for which
the State is currently seeking designation or has previously sought
redesignation to attainment, under section 107(d) of the Act, which
provides for the continued attainment of the NAAQS.
Market-response strategies are strategies that create one or more
incentives for affected sources to reduce emissions, without directly
specifying limits on emissions or emission-related parameters that
individual sources or even all sources in the aggregate are required to
meet.
Milestones means the reductions in emissions required to be achieved
pursuant to section 182(b)(1) and the corresponding requirements in
section 182(c)(2) (B) and (C), 182(d), and 182(e) of the Act for
O3 nonattainment areas, as well as the reduction in emissions
of CO equivalent to the total of the specified annual emissions
reductions required by December 31, 1995, pursuant to section 187(d)(1).
Mobile sources means on-road (highway) vehicles (e.g., automobiles,
trucks and motorcycles) and nonroad vehicles (e.g., trains, airplanes,
agricultural equipment, industrial equipment, construction vehicles,
off-road motorcycles, and marine vessels).
National ambient air quality standard (NAAQS) means a standard set
by the EPA at 40 CFR part 50 under section 109 of the Act.
Nonattainment area means any area of the country designated by the
EPA at 40 CFR part 81 in accordance with section 107(d) of the Act as
nonattainment for one or more criteria pollutants. An area could be a
nonattainment area for some pollutants and an attainment area for other
pollutants.
Nondiscriminatory means that a program in one State does not result
in discriminatory effects on other States or sources outside the State
with regard to interstate commerce.
Program baseline means the level of emissions, or emission-related
parameter(s), for each affected source or group of affected sources,
from which program results (e.g., quantifiable emissions reductions)
shall be determined.
Program uncertainty factor means a factor applied to discount the
amount of emissions reductions credited in an implementation plan
demonstration to account for any strategy-specific uncertainties in an
EIP.
Reasonable further progress (RFP) plan means any incremental
emissions reductions required by the CAA (e.g., section 182(b)) and
approved by the EPA as meeting these requirements.
Replicable refers to methods which are sufficiently unambiguous such
that the same or equivalent results would be obtained by the application
of the methods by different users.
RFP baseline means the total of actual volatile organic compounds or
nitrogen oxides emissions from all anthropogenic sources in an
O3 nonattainment area during the calendar year 1990 (net of
growth and adjusted pursuant to section 182(b)(1)(B) of the Act),
expressed as typical O3 season, weekday emissions.
Rule compliance factor means a factor applied to discount the amount
of emissions reductions credited in an implementation plan demonstration
to account for less-than-complete compliance by the affected sources in
an EIP.
Shortfall means the difference between the amount of emissions
reductions credited in an implementation plan for a particular EIP and
those that are actually achieved by that EIP,
[[Page 379]]
as determined through an approved reconciliation process.
State means State, local government, or Indian-governing body.
State implementation plan (SIP) means a plan developed by an
authorized governing body, including States, local governments, and
Indian-governing bodies, in a nonattainment area, as required under
titles I & II of the Clean Air Act, and approved by the EPA as meeting
these same requirements.
Stationary source means any building, structure, facility or
installation, other than an area or mobile source, which emits or may
emit any criteria air pollutant or precursor subject to regulation under
the Act.
Statutory economic incentive program means any EIP submitted to the
EPA as an implementation plan revision to comply with sections
182(g)(3), 182(g)(5), 187(d)(3), or 187(g) of the Act.
Surplus means, at a minimum, emissions reductions in excess of an
established program baseline which are not required by SIP requirements
or State regulations, relied upon in any applicable attainment plan or
demonstration, or credited in any RFP or milestone demonstration, so as
to prevent the double-counting of emissions reductions.
Transportation control measure (TCM) is any measure of the types
listed in section 108(F) of the Act, or any measure in an applicable
implementation plan directed toward reducing emissions of air pollutants
from transportation sources by a reduction in vehicle use or changes in
traffic conditions.
Sec. 51.492 State program election and submittal.
(a) Extreme O3 nonattainment areas. (1) A State or
authorized governing body for any extreme O3 nonattainment
area shall submit a plan revision to implement an EIP, in accordance
with the requirements of this part, pursuant to section 182(g)(5) of the
Act, if:
(i) A required milestone compliance demonstration is not submitted
within the required period.
(ii) The Administrator determines that the area has not met any
applicable milestone.
(2) The plan revision in paragraph (a)(1) of this section shall be
submitted within 9 months after such failure or determination, and shall
be sufficient, in combination with other elements of the SIP, to achieve
the next milestone.
(b) Serious CO nonattainment areas. (1) A State or authorized
governing body for any serious CO nonattainment area shall submit a plan
revision to implement an EIP, in accordance with the requirements of
this part, if:
(i) A milestone demonstration is not submitted within the required
period, pursuant to section 187(d) of the Act.
(ii) The Administrator notifies the State, pursuant to section
187(d) of the Act, that a milestone has not been met.
(iii) The Administrator determines, pursuant to section 186(b)(2) of
the Act that the NAAQS for CO has not been attained by the applicable
date for that area. Such revision shall be submitted within 9 months
after such failure or determination.
(2) Submittals made pursuant to paragraphs (b)(1) (i) and (ii) of
this section shall be sufficient, together with a transportation control
program, to achieve the specific annual reductions in CO emissions set
forth in the implementation plan by the attainment date. Submittals made
pursuant to paragraph (b)(1)(iii) of this section shall be adequate, in
combination with other elements of the revised plan, to reduce the total
tonnage of emissions of CO in the area by at least 5 percent per year in
each year after approval of the plan revision and before attainment of
the NAAQS for CO.
(c) Serious and severe O3 nonattainment areas. If a
State, for any serious or severe O3 nonattainment area,
elects to implement an EIP in the circumstances set out in section
182(g)(3) of the Act, the State shall submit a plan revision to
implement the program in accordance with the requirements of this part.
If the option to implement an EIP is elected, a plan revision shall be
submitted within 12 months after the date required for election, and
shall be sufficient, in combination with other elements of the SIP, to
achieve the next milestone.
[[Page 380]]
(d) Any nonattainment or attainment area. Any State may at any time
submit a plan or plan revision to implement a discretionary EIP, in
accordance with the requirements of this part, pursuant to sections
110(a)(2)(A) and 172(c)(6) and other applicable provisions of the Act
concerning SIP submittals. The plan revision shall not interfere with
any applicable requirement concerning attainment and RFP, or any other
applicable requirements of the Act.
Sec. 51.493 State program requirements.
Economic incentive programs shall be State and federally
enforceable, nondiscriminatory, and consistent with the timely
attainment of NAAQS, all applicable RFP and visibility requirements,
applicable PSD increments, and all other applicable requirements of the
Act. Programs in nonattainment areas for which credit is taken in
attainment and RFP demonstrations shall be designed to ensure that the
effects of the program are quantifiable and permanent over the entire
duration of the program, and that the credit taken is limited to that
which is surplus. Statutory programs shall be designed to result in
quantifiable, significant reductions in actual emissions. The EIP's
shall include the following elements, as applicable:
(a) Statement of goals and rationale. This element shall include a
clear statement as to the environmental problem being addressed, the
intended environmental and economic goals of the program, and the
rationale relating the incentive-based strategy to the program goals.
(1) The statement of goals must include the goal that the program
will benefit both the environment and the regulated entities. The
program shall be designed so as to meaningfully meet this goal either
directly, through increased or more rapid emissions reductions beyond
those that would be achieved through a traditional regulatory program,
or, alternatively, through other approaches that will result in real
environmental benefits. Such alternative approaches include, but are not
limited to, improved administrative mechanisms, reduced administrative
burdens on regulatory agencies, improved emissions inventories, and the
adoption of emission caps which over time constrain or reduce growth-
related emissions beyond traditional regulatory approaches.
(2) The incentive-based strategy shall be described in terms of one
of the following three strategies:
(i) Emission-limiting strategies, which directly specify limits on
total mass emissions, emission-related parameters (e.g., emission rates
per unit of production, product content limits), or levels of emissions
reductions relative to a program baseline that affected sources are
required to meet, while providing flexibility to sources to reduce the
cost of meeting program requirements.
(ii) Market-response strategies, which create one or more incentives
for affected sources to reduce emissions, without directly specifying
limits on emissions or emission-related parameters that individual
sources or even all sources in the aggregate are required to meet.
(iii) Directionally-sound strategies, for which adequate procedures
to quantify emissions reductions are not defined.
(b) Program scope. (1) This element shall contain a clear definition
of the sources affected by the program. This definition shall address:
(i) The extent to which the program is mandatory or voluntary for
the affected sources.
(ii) Provisions, if any, by which sources that are not required to
be in the program may voluntarily enter the program.
(iii) Provisions, if any, by which sources covered by the program
may voluntarily leave the program.
(2) Any opt-in or opt-out provisions in paragraph (b)(1) of this
section shall be designed to provide mechanisms by which such program
changes are reflected in an area's attainment and RFP demonstrations,
thus ensuring that there will not be an increase in the emissions
inventory for the area caused by voluntary entry or exit from the
program.
(3) The program scope shall be defined so as not to interfere with
any other Federal requirements which apply to the affected sources.
[[Page 381]]
(c) Program baseline. A program baseline shall be defined as a basis
for projecting program results and, if applicable, for initializing the
incentive mechanism (e.g., for marketable permits programs). The program
baseline shall be consistent with, and adequately reflected in, the
assumptions and inputs used to develop an area's RFP plans and
attainment and maintenance demonstrations, as applicable. The State
shall provide sufficient supporting information from the areawide
emissions inventory and other sources to justify the baseline used in
the EIP.
(1) For EIP's submitted in conjunction with, or subsequent to, the
submission of any areawide progress plan due at the time of EIP
submission (e.g., the 15 percent RFP plan and/or subsequent 3 percent
plans) or an attainment demonstration, a State may exercise flexibility
in setting a program baseline provided the program baseline is
consistent with and reflected in all relevant progress plans or
attainment demonstration. A flexible program baseline may be based on
the lower of actual, allowable, or some other intermediate or lower
level of emissions. For any EIP submitted prior to the submittal of an
attainment demonstration, the State shall include the following with its
EIP submittal:
(i) A commitment that its subsequent attainment demonstration and
all future progress plans, if applicable, will be consistent with the
EIP baseline.
(ii) A discussion of how the baseline will be integrated into the
subsequent attainment demonstration, taking into account the potential
that credit issued prior to the attainment demonstration may no longer
be surplus relative to the attainment demonstration.
(2) Except as provided for in paragraph (c)(4) of this section, for
EIP's submitted during a time period when any progress plans are
required but not yet submitted (e.g., the 15 percent RFP plan and/or the
subsequent 3 percent plans), the program baseline shall be based on the
lower-of-actual-or-allowable emissions. In such cases, actual emissions
shall be taken from the most appropriate inventory, such as the 1990
actual emission inventory (due for submission in November 1992), and
allowable emissions are the lower of SIP-allowable emissions or the
level of emissions consistent with source compliance with all Federal
requirements related to attainment and maintenance of the NAAQS.
(3) For EIP's that are designed to implement new and/or previously
existing RACT requirements through emissions trading and are submitted
in conjunction with, or subsequent to, the submission of an associated
RACT rule, a State may exercise flexibility in setting a program
baseline provided the program baseline is consistent with and reflected
in the associated RACT rule, and any applicable progress plans and
attainment demonstrations.
(4) For EIP's that are designed to implement new and/or previously
existing RACT requirements through emissions trading and are submitted
prior to the submission of a required RFP plan or attainment
demonstration, States also have flexibility in determining the program
baseline, provided the following conditions are met.
(i) For EIP's that implement new RACT requirements for previously
unregulated source categories through emissions trading, the new RACT
requirements must reflect, to the extent practicable, increased
emissions reductions beyond those that would be achieved through a
traditional RACT program.
(ii) For EIP's that impose new RACT requirements on previously
unregulated sources in a previously regulated source category (e.g.,
RACT ``catch-up'' programs), the new incentive-based RACT rule shall, in
the aggregate, yield reductions in actual emissions at least equivalent
to that which would result from source-by-source compliance with the
existing RACT limit for that source category.
(5) A program baseline for individual sources shall, as appropriate,
be contained or incorporated by reference in federally-enforceable
operating permits or a federally-enforceable SIP.
(6) An initial baseline for TCM's shall be calculated by
establishing the preexisting conditions in the areas of interest. This
may include establishing to what extent TCM's have already
[[Page 382]]
been implemented, what average vehicle occupancy (AVO) levels have been
achieved during peak and off-peak periods, what types of trips occur in
the region, and what mode choices have been made in making these trips.
In addition, the extent to which travel options are currently available
within the region of interest shall be determined. These travel options
may include, but are not limited to, the degree of dispersion of transit
services, the current ridership rates, and the availability and usage of
parking facilities.
(7) Information used in setting a program baseline shall be of
sufficient quality to provide for at least as high a degree of
accountability as currently exists for traditional control requirements
for the categories of sources affected by the program.
(d) Replicable emission quantification methods. This program
element, for programs other than those which are categorized as
directionally-sound, shall include credible, workable, and replicable
methods for projecting program results from affected sources and, where
necessary, for quantifying emissions from individual sources subject to
the EIP. Such methods, if used to determine credit taken in attainment,
RFP, and maintenance demonstrations, as applicable, shall yield results
which can be shown to have a level of certainty comparable to that for
source-specific standards and traditional methods of control strategy
development. Such methods include, as applicable, the following
elements:
(1) Specification of quantification methods. This element shall
specify the approach or the combination or range of approaches that are
acceptable for each source category affected by the program. Acceptable
approaches may include, but are not limited to:
(i) Test methods for the direct measurement of emissions, either
continuously or periodically.
(ii) Calculation equations which are a function of process or
control system parameters, ambient conditions, activity levels, and/or
throughput or production rates.
(iii) Mass balance calculations which are a function of inventory,
usage, and/or disposal records.
(iv) EPA-approved emission factors, where appropriate and adequate.
(v) Any combination of these approaches.
(2) Specification of averaging times.
(i) The averaging time for any specified mass emissions caps or
emission rate limits shall be consistent with: attaining and maintaining
all applicable NAAQS, meeting RFP requirements, and ensuring equivalency
with all applicable RACT requirements.
(ii) If the averaging time for any specified VOC or NOX
mass emissions caps or emission rate limits for stationary sources (and
for other sources, as appropriate) is longer than 24 hours, the State
shall provide, in support of the SIP submittal, a statistical showing
that the specified averaging time is consistent with attaining the
O3 NAAQS and satisfying RFP requirements, as applicable, on
the basis of typical summer day emissions; and, if applicable, a
statistical showing that the longer averaging time will produce
emissions reductions that are equivalent on a daily basis to source-
specific RACT requirements.
(3) Accounting for shutdowns and production curtailments. This
accounting shall include provisions which ensure that:
(i) Emissions reductions associated with shutdowns and production
curtailments are not double-counted in attainment or RFP demonstrations.
(ii) Any resultant ``shifting demand'' which increases emissions
from other sources is accounted for in such demonstrations.
(4) Accounting for batch, seasonal, and cyclical operations. This
accounting shall include provisions which ensure that the approaches
used to account for such variable operations are consistent with
attainment and RFP plans.
(5) Accounting for travel mode choice options, as appropriate, for
TCM's. This accounting shall consider the factors or attributes of the
different forms of travel modes (e.g., bus, ridesharing) which determine
which type of travel an individual will choose. Such factors include,
but are not limited to, time, cost, reliability, and convenience of the
mode.
[[Page 383]]
(e) Source requirements. This program element shall include all
source-specific requirements that constitute compliance with the
program. Such requirements shall be appropriate, readily ascertainable,
and State and federally enforceable, including, as applicable:
(1) Emission limits.
(i) For programs that impose limits on total mass emissions,
emission rates, or other emission-related parameter(s), there must be an
appropriate tracking system so that a facility's limits are readily
ascertainable at all times.
(ii) For emission-limiting EIP's that authorize RACT sources to meet
their RACT requirements through RACT/non-RACT trading, such trading
shall result in an exceptional environmental benefit. Demonstration of
an exceptional environmental benefit shall require either the use of the
statutory offset ratios for nonattainment areas as the determinant of
the amount of emissions reductions that would be required from non-RACT
sources generating credits for RACT sources or, alternatively, a trading
ratio of 1.1 to 1, at a minimum, may be authorized, provided exceptional
environmental benefits are otherwise demonstrated.
(2) Monitoring, recordkeeping, and reporting requirements.
(i) An EIP (or the SIP as a whole) must contain test methods and,
where necessary, emission quantification methodologies, appropriate to
the emission limits established in the SIP. EIP sources must be subject
to clearly specified MRR requirements appropriate to the test methods
and any applicable quantification methodologies, and consistent with the
EPA's title V rules, where applicable. Such MRR requirements shall
provide sufficiently reliable and timely information to determine
compliance with emission limits and other applicable strategy-specific
requirements, and to provide for State and Federal enforceability of
such limits and requirements. Methods for MRR may include, but are not
limited to:
(A) The continuous monitoring of mass emissions, emission rates, or
process or control parameters.
(B) In situ or portable measurement devices to verify control system
operating conditions.
(C) Periodic measurement of mass emissions or emission rates using
reference test methods.
(D) Operation and maintenance procedures and/or other work practices
designed to prevent, identify, or remedy noncomplying conditions.
(E) Manual or automated recordkeeping of material usage,
inventories, throughput, production, or levels of required activities.
(F) Any combination of these methods. EIP's shall require that
responsible parties at each facility in the EIP program certify reported
information.
(ii) Procedures for determining required data, including the
emissions contribution from affected sources, for periods for which
required data monitoring is not performed, data are otherwise missing,
or data have been demonstrated to have been inaccurately determined.
(3) Any other applicable strategy-specific requirements.
(f) Projected results and audit/reconciliation procedures. (1) The
SIP submittal shall include projections of the emissions reductions
associated with the implementation of the program. These projected
results shall be related to and consistent with the assumptions used to
develop the area's attainment demonstration and maintenance plan, as
applicable. For programs designed to produce emissions reductions
creditable towards RFP milestones, projected emissions reductions shall
be related to the RFP baseline and consistent with the area's RFP
compliance demonstration. The State shall provide sufficient supporting
information that shows how affected sources are or will be addressed in
the emissions inventory, RFP plan, and attainment demonstration or
maintenance plan, as applicable.
(i) For emission-limiting programs, the projected results shall be
consistent with the reductions in mass emissions or emissions-related
parameters specified in the program design.
(ii) For market-response programs, the projected results shall be
based on
[[Page 384]]
market analyses relating levels of targeted emissions and/or emission-
related activities to program design parameters.
(iii) For directionally-sound programs, the projected results may be
descriptive and shall be consistent with the area's attainment
demonstration or maintenance plan.
(2) Quantitative projected results shall be adjusted through the use
of two uncertainty factors, as appropriate, to reflect uncertainties
inherent in both the extent to which sources will comply with program
requirements and the overall program design.
(i) Uncertainty resulting from incomplete compliance shall be
addressed through the use of a rule compliance factor.
(ii) Programmatic uncertainty shall be addressed through the use of
a program uncertainty factor. Any presumptive norms set by the EPA shall
be used unless an adequate justification for an alternative factor is
included in supporting information to be supplied with the SIP
submittal. In the absence of any EPA-specified presumptive norms, the
State shall provide an adequate justification for the selected factors
as part of the supporting information to be supplied with the SIP
submittal.
(3) Unless otherwise provided in program-specific guidance issued by
the EPA, EIP's for which SIP credit is taken shall include audit
procedures to evaluate program implementation and track program results
in terms of both actual emissions reductions, and, to the extent
practicable, cost savings relative to traditional regulatory program
requirements realized during program implementation. Such audits shall
be conducted at specified time intervals, not to exceed three years. The
State shall provide timely post-audit reports to the EPA.
(i) For emission-limiting EIP's, the State shall commit to ensure
the timely implementation of programmatic revisions or other measures
which the State, in response to the audit, deems necessary for the
successful operation of the program in the context of overall RFP and
attainment requirements.
(ii) For market-response EIP's, reconciliation procedures that
identify a range of appropriate actions or revisions to program
requirements that will make up for any shortfall between credited
results (i.e., projected results, as adjusted by the two uncertainty
factors described above) and actual results obtained during program
implementation shall be submitted together with the program audit
provisions. Such measures must be federally enforceable, as appropriate,
and automatically executing to the extent necessary to make up the
shortfall within a specified period of time, consistent with relevant
RFP and attainment requirements.
(g) Implementation schedule. The program shall contain a schedule
for the adoption and implementation of all State commitments and source
requirements included in the program design.
(h) Administrative procedures. The program shall contain a
description of State commitments which are integral to the
implementation of the program, and the administrative system to be used
to implement the program, addressing the adequacy of the personnel,
funding, and legislative authority.
(1) States shall furnish adequate documentation of existing legal
authority and demonstrated administrative capacity to implement and
enforce the provisions of the EIP.
(2) For programs which require private and/or public entities to
establish emission-related economic incentives (e.g., programs requiring
employers to exempt carpoolers/multiple occupancy vehicles from paying
for parking), States shall furnish adequate documentation of State
authority and administrative capacity to implement and enforce the
underlying program.
(i) Enforcement mechanisms. The program shall contain a compliance
instrument(s) for all program requirements, which is legally binding and
State and federally enforceable. This program element shall also include
a State enforcement program which defines violations, and specifies
auditing and inspections plans and provisions for enforcement actions.
The program shall contain effective penalties for noncompliance which
preserve the
[[Page 385]]
level of deterrence in traditional programs. For all such programs, the
manner of collection of penalties must be specified.
(1) Emission limit violations. (i) Programs imposing limits on mass
emissions or emission rates that provide for extended averaging times
and/or compliance on a multisource basis shall include procedures for
determining the number of violations, the number of days of violation,
and sources in violation, for statutory maximum penalty purposes, when
the limits are exceeded. The State shall demonstrate that such
procedures shall not lessen the incentive for source compliance as
compared to a program applied on a source-by-source, daily basis.
(ii) Programs shall require plans for remedying noncompliance at any
facility that exceeds a multisource emissions limit for a given
averaging period. These plans shall be enforceable both federally and by
the State.
(2) Violations of MRR requirements. The MRR requirements shall apply
on a daily basis, as appropriate, and violations thereof shall be
subject to State enforcement sanctions and to the Federal penalty of up
to $25,000 for each day a violation occurs or continues. In addition,
where the requisite scienter conditions are met, violations of such
requirements shall be subject to the Act's criminal penalty sanctions of
section 113(c)(2), which provides for fines and imprisonment of up to 2
years.
Sec. 51.494 Use of program revenues.
Any revenues generated from statutory EIP's shall be used by the
State for any of the following:
(a) Providing incentives for achieving emissions reductions.
(b) Providing assistance for the development of innovative
technologies for the control of O3 air pollution and for the
development of lower-polluting solvents and surface coatings. Such
assistance shall not provide for the payment of more than 75 percent of
either the costs of any project to develop such a technology or the
costs of development of a lower-polluting solvent or surface coating.
(c) Funding the administrative costs of State programs under this
Act. Not more than 50 percent of such revenues may be used for this
purpose. The use of any revenues generated from discretionary EIP's
shall not be constrained by the provisions of this part.
Subpart W_Determining Conformity of General Federal Actions to State or
Federal Implementation Plans
Source: 58 FR 63247, Nov. 30, 1993, unless otherwise noted.
Sec. 51.850 [Reserved]
Sec. 51.851 State implementation plan (SIP) or Tribal implementation
plan (TIP) revision.
(a) A State or eligible Tribe (a federally recognized tribal
government determined to be eligible to submit a TIP under 40 CFR 49.6)
may submit to the Environmental Protection Agency (EPA) a revision to
its applicable implementation plan which contains criteria and
procedures for assessing the conformity of Federal actions to the
applicable implementation plan, consistent with this section and 40 CFR
part 93, subpart B.
(b) Until EPA approves the conformity implementation plan revision
permitted by this section, Federal agencies shall use the provisions of
40 CFR part 93, subpart B in addition to any existing applicable State
or tribal requirements, to demonstrate conformity with the applicable
SIP or TIP as required by section 176(c) of the CAA (42 U.S.C. 7506).
(c) Following EPA approval of the State or tribal conformity
provisions (or a portion thereof) in a revision to the applicable SIP or
TIP, conformity determinations shall be governed by the approved (or
approved portion of) State or tribal criteria and procedures. The
Federal conformity regulations contained in 40 CFR part 93, subpart B
would apply only for the portion, if any, of the part 93 requirements
not contained in the State or Tribe conformity provisions approved by
EPA.
(d) The State or tribal conformity implementation plan criteria and
procedures cannot be any less stringent than the requirements in 40 CFR
part 93, subpart B.
[[Page 386]]
(e) A State's or Tribe's conformity provisions may contain criteria
and procedures more stringent than the requirements described in this
subpart and part 93, subpart B, only if the State's or Tribe's
conformity provisions apply equally to non-Federal as well as Federal
entities.
(f) In its SIP or TIP, the State or Tribe may identify a list of
Federal actions or type of emissions that it presumes will conform. The
State or Tribe may place whatever limitations on that list that it deems
necessary. The State or Tribe must demonstrate that the action will not
interfere with timely attainment or maintenance of the standard, meeting
the reasonable further progress milestones or other requirements of the
Clean Air Act. Federal agencies can rely on the list to determine that
their emissions conform with the applicable SIP or TIP.
(g) Any previously applicable SIP or TIP requirements relating to
conformity remain enforceable until EPA approves the revision to the SIP
or TIP to specifically remove them.
[75 FR 17272, Apr. 5, 2010]
Sec. Sec. 51.852-51.860 [Reserved]
Subpart X_Provisions for Implementation of 8-hour Ozone National Ambient
Air Quality Standard
Source: 69 FR 23996, Apr. 30, 2004, unless otherwise noted.
Sec. 51.900 Definitions.
The following definitions apply for purposes of this subpart. Any
term not defined herein shall have the meaning as defined in 40 CFR
51.100.
(a) 1-hour NAAQS means the 1-hour ozone national ambient air quality
standards codified at 40 CFR 50.9.
(b) 8-hour NAAQS means the 8-hour ozone national ambient air quality
standards codified at 40 CFR 50.10.
(c) 1-hour ozone design value is the 1-hour ozone concentration
calculated according to 40 CFR part 50, Appendix H and the
interpretation methodology issued by the Administrator most recently
before the date of the enactment of the CAA Amendments of 1990.
(d) 8-Hour ozone design value is the 8-hour ozone concentration
calculated according to 40 CFR part 50, appendix I.
(e) CAA means the Clean Air Act as codified at 42 U.S.C. 7401-7671q
(2003).
(f) Applicable requirements means for an area the following
requirements to the extent such requirements apply or applied to the
area for the area's classification under section 181(a)(1) of the CAA
for the 1-hour NAAQS at designation for the 8-hour NAAQS:
(1) Reasonably available control technology (RACT).
(2) Inspection and maintenance programs (I/M).
(3) Major source applicability cut-offs for purposes of RACT.
(4) Rate of Progress (ROP) reductions.
(5) Stage II vapor recovery.
(6) Clean fuels fleet program under section 183(c)(4) of the CAA.
(7) Clean fuels for boilers under section 182(e)(3) of the CAA.
(8) Transportation Control Measures (TCMs) during heavy traffic
hours as provided under section 182(e)(4) of the CAA.
(9) Enhanced (ambient) monitoring under section 182(c)(1) of the
CAA.
(10) Transportation controls under section 182(c)(5) of the CAA.
(11) Vehicle miles traveled provisions of section 182(d)(1) of the
CAA.
(12) NOX requirements under section 182(f) of the CAA.
(13) Attainment demonstration or an alternative as provided under
Sec. 51.905(a)(1)(ii).
(14) Contingency measures required under CAA sections 172(c)(9) and
182(c)(9) that would be triggered based on a failure to attain the 1-
hour NAAQS by the applicable attainment date or to make reasonable
further progress toward attainment of the 1-hour NAAQS.
(g) Attainment year ozone season shall mean the ozone season
immediately preceding a nonattainment area's attainment date.
(h) Designation for the 8-hour NAAQS shall mean the effective date
of the 8-hour designation for an area.
(i) Higher classification/lower classification. For purposes of
determining whether a classification is higher or lower, classifications
are ranked from
[[Page 387]]
lowest to highest as follows: classification under subpart 1 of the CAA;
marginal; moderate; serious; severe-15; severe-17; and extreme.
(j) Initially designated means the first designation that becomes
effective for an area for the 8-hour NAAQS and does not include a
redesignation to attainment or nonattainment for that standard.
(k) Maintenance area for the 1-hour NAAQS means an area that was
designated nonattainment for the 1-hour NAAQS on or after November 15,
1990 and was redesignated to attainment for the 1-hour NAAQS subject to
a maintenance plan as required by section 175A of the CAA.
(l) Nitrogen Oxides (NOX) means the sum of nitric oxide
and nitrogen dioxide in the flue gas or emission point, collectively
expressed as nitrogen dioxide.
(m) NOX SIP Call means the rules codified at 40 CFR
51.121 and 51.122.
(n) Ozone season means for each State, the ozone monitoring season
as defined in 40 CFR Part 58, Appendix D, section 2.5 for that State.
(o) Ozone transport region means the area established by section
184(a) of the CAA or any other area established by the Administrator
pursuant to section 176A of the CAA for purposes of ozone.
(p) Reasonable further progress (RFP) means for the purposes of the
8-hour NAAQS, the progress reductions required under section 172(c)(2)
and section 182(b)(1) and (c)(2)(B) and (c)(2)(C) of the CAA.
(q) Rate of progress (ROP) means for purposes of the 1-hour NAAQS,
the progress reductions required under section 172(c)(2) and section
182(b)(1) and (c)(2)(B) and (c)(2)(C) of the CAA.
(r) Revocation of the 1-hour NAAQS means the time at which the 1-
hour NAAQS no longer apply to an area pursuant to 40 CFR 50.9(b).
(s) Subpart 1 (CAA) means subpart 1 of part D of title I of the CAA.
(t) Subpart 2 (CAA) means subpart 2 of part D of title I of the CAA.
(u) Attainment Area means, unless otherwise indicated, an area
designated as either attainment, unclassifiable, or attainment/
unclassifiable.
(v) Summer day emissions means an average day's emissions for a
typical summer work weekday. The state will select the particular
month(s) in summer and the day(s) in the work week to be represented.
The selection of conditions should be coordinated with the conditions
assumed in the development of RFP plans, ROP plans and demonstrations,
and/or emissions budgets for transportation conformity, to allow
comparability of daily emission estimates.
[69 FR 23996, Apr. 30, 2004, as amended at 70 FR 30604, May 26, 2005; 77
FR 28441, May 14, 2012; 80 FR 8799, Feb. 19, 2015]
Sec. 51.901 Applicability of part 51.
The provisions in subparts A through W of part 51 apply to areas for
purposes of the 8-hour NAAQS to the extent they are not inconsistent
with the provisions of this subpart.
Sec. 51.902 Which classification and nonattainment area planning
provisions of the CAA shall apply to areas designated nonattainment
for the 1997 8-hour NAAQS?
(a) An area designated nonattainment for the 1997 8-hour NAAQS will
be classified in accordance with section 181 of the CAA, as interpreted
in Sec. 51.903(a), for purposes of the 1997 8-hour NAAQS, and will be
subject to the requirements of subpart 2 that apply for that
classification.
(b) [Reserved]
[77 FR 28841, May 14, 2012]
Sec. 51.903 How do the classification and attainment date provisions
in section 181 of subpart 2 of the CAA apply to areas subject to
Sec. 51.902(a)?
(a) In accordance with section 181(a)(1) of the CAA, each area
subject to Sec. 51.902(a) shall be classified by operation of law at
the time of designation. However, the classification shall be based on
the 8-hour design value for the area, in accordance with Table 1 below,
or such higher or lower classification as the State may request as
provided in paragraphs (b) and (c) of this section. The 8-hour design
value for the area shall be calculated using the three most recent years
of air quality data. For each area classified under this section, the
primary NAAQS attainment date for the 8-hour NAAQS shall be as
expeditious as practicable
[[Page 388]]
but not later than the date provided in the following Table 1.
Table 1--Classification for 8-Hour Ozone NAAQS for Areas Subject to Sec. 51.902(a)
----------------------------------------------------------------------------------------------------------------
Maximum period for
attainment dates in
8-hour design state plans (years
Area class value (ppm after effective date of
ozone) nonattainment
designation for 8-hour
NAAQS)
----------------------------------------------------------------------------------------------------------------
Marginal................................. from........................ 0.085 3
up to \1\................... 0.092
Moderate................................. from........................ 0.092 6
up to \1\................... 0.107
Serious.................................. from........................ 0.107 9
up to \1\................... 0.120
Severe-15................................ from........................ 0.120 15
up to \1\................... 0.127
Severe-17................................ from........................ 0.127 17
up to \1\................... 0.187
Extreme.................................. equal to.................... 0.187 20
or above....................
----------------------------------------------------------------------------------------------------------------
\1\ but not including.
(b) A State may request a higher classification for any reason in
accordance with section 181(b)(3) of the CAA.
(c) A State may request a lower classification in accordance with
section 181(a)(4) of the CAA.
Sec. 51.904 How do the classification and attainment date provisions
in section 172(a) of subpart 1 of the CAA apply to areas subject to
Sec. 51.902(b)?
(a) Classification. The Administrator may classify an area subject
to Sec. 51.902(b) as an overwhelming transport area if:
(1) The area meets the criteria as specified for rural transport
areas under section 182(h) of the CAA;
(2) Transport of ozone and/or precursors into the area is so
overwhelming that the contribution of local emissions to observed 8-hour
ozone concentration above the level of the NAAQS is relatively minor;
and
(3) The Administrator finds that sources of VOC (and, where the
Administrator determines relevant, NOX) emissions within the
area do not make a significant contribution to the ozone concentrations
measured in other areas.
(b) Attainment dates. For an area subject to Sec. 51.902(b), the
Administrator will approve an attainment date consistent with the
attainment date timing provision of section 172(a)(2)(A) of the CAA at
the time the Administrator approves an attainment demonstration for the
area.
Sec. 51.905 How do areas transition from the 1-hour NAAQS to the 1997
8-hour NAAQS and what are the anti-backsliding provisions?
(a) What requirements that applied in an area for the 1-hour NAAQS
continue to apply after revocation of the 1-hour NAAQS for that area?--
(1) 8-Hour NAAQS Nonattainment/1-Hour NAAQS Nonattainment. The following
requirements apply to an area designated nonattainment for the 8-hour
NAAQS and designated nonattainment for the 1-hour NAAQS at the time of
designation for the 8-hour NAAQS for that area.
(i) The area remains subject to the obligation to adopt and
implement the applicable requirements as defined in Sec. 51.900(f),
except as provided in paragraph (a)(1)(iii) of this section, and except
as provided in paragraph (b) of this section.
(ii) If the area has not met its obligation to have a fully-approved
attainment demonstration SIP for the 1-hour NAAQS, the State must comply
with one of the following:
(A) Submit a 1-hour attainment demonstration no later than 1 year
after designation;
(B) Submit a RFP plan for the 8-hour NAAQS no later than 1-year
following designations for the 8-hour NAAQS providing a 5 percent
increment of emissions reduction from the area's
[[Page 389]]
2002 emissions baseline, which must be in addition to measures (or
enforceable commitments to measures) in the SIP at the time of the
effective date of designation and in addition to national or regional
measures and must be achieved no later than 2 years after the required
date for submission (3 years after designation).
(C) Submit an 8-hour ozone attainment demonstration no later than 1
year following designations that demonstrates attainment of the 8-hour
NAAQS by the area's attainment date; provides for 8-hour RFP for the
area out to the attainment date; and for the initial period of RFP for
the area (between 2003-2008), achieve the emission reductions by
December 31, 2007.
(iii) If the area has an outstanding obligation for an approved 1-
hour ROP SIP, it must develop and submit to EPA all outstanding 1-hour
ROP plans; where a 1-hour obligation overlaps with an 8-hour RFP
requirement, the State's 8-hour RFP plan can be used to satisfy the 1-
hour ROP obligation if the 8-hour RFP plan has an emission target at
least as stringent as the 1-hour ROP emission target in each of the 1-
hour ROP target years for which the 1-hour ROP obligation exists.
(2) 8-Hour NAAQS Nonattainment/1-Hour NAAQS Maintenance. An area
designated nonattainment for the 8-hour NAAQS that is a maintenance area
for the 1-hour NAAQS at the time of designation for the 8-hour NAAQS for
that area remains subject to the obligation to implement the applicable
requirements as defined in Sec. 51.900 (f) to the extent such
obligations are required by the approved SIP, except as provided in
paragraph (b) of this section. Applicable measures in the SIP must
continue to be implemented; however, if these measures were shifted to
contingency measures prior to designation for the 8-hour NAAQS for the
area, they may remain as contingency measures, unless the measures are
required to be implemented by the CAA by virtue of the area's
requirements under the 8-hour NAAQS. The State may not remove such
measures from the SIP.
(3) 8-Hour NAAQS Attainment/1-Hour NAAQS Nonattainment--(i)
Obligations in an approved SIP. For an area that is 8-hour NAAQS
attainment/1-hour NAAQS nonattainment, the State may request that
obligations under the applicable requirements of Sec. 51.900(f) be
shifted to contingency measures, consistent with sections 110(l) and 193
of the CAA, after revocation of the 1-hour NAAQS; however, the State
cannot remove the obligations from the SIP. For such areas, the State
may request that the nonattainment NSR provisions be removed from the
SIP on or after the date of revocation of the 1-hour NAAQS and need not
be shifted to contingency measures subject to paragraph (e)(4) of this
section.
(ii) Attainment demonstration and ROP plans. (A) To the extent an 8-
hour NAAQS attainment/1-hour NAAQS nonattainment area does not have an
approved attainment demonstration or ROP plan that was required for the
1-hour NAAQS under the CAA, the obligation to submit such an attainment
demonstration or ROP plan
(1) Is deferred for so long as the area continues to maintain the 8-
hour NAAQS; and
(2) No longer applies once the area has an approved maintenance plan
pursuant to paragraph (a)(3)(iii) of this section.
(B) For an 8-hour NAAQS attainment/1-hour NAAQS nonattainment area
that violates the 8-hour NAAQS, prior to having an approved maintenance
plan for the 8-hour NAAQS as provided under paragraph (a)(3)(iii) of
this section, paragraphs (a)(3)(ii)(B)(1), (2), and (3) of this section
shall apply.
(1) In lieu of any outstanding obligation to submit an attainment
demonstration, within 1 year after the date on which EPA publishes a
determination that a violation of the 8-hour NAAQS has occurred, the
State must submit (or revise a submitted) maintenance plan for the 8-
hour NAAQS, as provided under paragraph (a)(3)(iii) of this section,
to--
(i) Address the violation by relying on modeling that meets EPA
guidance for purposes of demonstrating maintenance of the NAAQS; or
(ii) Submit a SIP providing for a 3 percent increment of emissions
reductions from the area's 2002 emissions baseline; these reductions
must be in addition to measures (or enforceable commitments to measures)
in the SIP
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at the time of the effective date of designation and in addition to
national or regional measures.
(2) The plan required under paragraph (a)(3)(ii)(B)(1) of this
section must provide for the emission reductions required within 3 years
after the date on which EPA publishes a determination that a violation
of the 8-hour NAAQS has occurred.
(3) The State shall submit an ROP plan to achieve any outstanding
ROP reductions that were required for the area for the 1-hour NAAQS, and
the 3-year period or periods for achieving the ROP reductions will begin
January 1 of the year following the 3-year period on which EPA bases its
determination that a violation of the 8-hour NAAQS occurred.
(iii) Maintenance plans for the 8-hour NAAQS. For areas initially
designated attainment for the 8-hour NAAQS, and designated nonattainment
for the 1-hour NAAQS at the time of designation for the 8-hour NAAQS,
the State shall submit no later than 3 years after the area's
designation for the 8-hour NAAQS, a maintenance plan for the 8-hour
NAAQS in accordance with section 110(a)(1) of the CAA. The maintenance
plan must provide for continued maintenance of the 8-hour NAAQS for 10
years following designation and must include contingency measures. This
provision does not apply to areas redesignated from nonattainment to
attainment for the 8-hour NAAQS pursuant to CAA section 107(d)(3); such
areas are subject to the maintenance plan requirement in section 175A of
the CAA.
(4) 8-Hour NAAQS Attainment/1-Hour NAAQS Maintenance--(i)
Obligations in an approved SIP. For an 8-hour NAAQS attainment/1-hour
NAAQS maintenance area, the State may request that obligations under the
applicable requirements of Sec. 51.900(f) be shifted to contingency
measures, consistent with sections 110(l) and 193 of the CAA, after
revocation of the 1-hour NAAQS; however, the State cannot remove the
obligations from the SIP.
(ii) Maintenance Plans for the 8-hour NAAQS. For areas initially
designated attainment for the 8-hour NAAQS and subject to the
maintenance plan for the 1-hour NAAQS at the time of designation for the
8-hour NAAQS, the State shall submit no later than 3 years after the
area's designation for the 8-hour NAAQS, a maintenance plan for the 8-
hour NAAQS in accordance with section 110(a)(1) of the CAA. The
maintenance plan must provide for continued maintenance of the 8-hour
NAAQS for 10 years following designation and must include contingency
measures. This provision does not apply to areas redesignated from
nonattainment to attainment for the 8-hour NAAQS pursuant to section
107(d)(3); such areas are subject to the maintenance plan requirement in
section 175A of the CAA.
(b) Does attainment of the ozone NAAQS affect the obligations under
paragraph (a) of this section? A State remains subject to the
obligations under paragraphs (a)(1)(i) and (a)(2) of this section until
the area attains the 8-hour NAAQS. After the area attains the 8-hour
NAAQS, the State may request such obligations be shifted to contingency
measures, consistent with sections 110(l) and 193 of the CAA; however,
the State cannot remove the obligations from the SIP. Once an area
attains the 1-hour NAAQS, the section 172 and 182 contingency measures
under the 1-hour NAAQS can be shifted to contingency measures for the
1997 8-hour ozone NAAQS and must remain in the SIP until the area is
redesignated to attainment for the 1997 8-hour NAAQS.
(c) Which portions of an area designated for the 8-hour NAAQS remain
subject to the obligations identified in paragraph (a) of this section?
(1) Except as provided in paragraph (c)(2) of this section, only the
portion of the designated area for the 8-hour NAAQS that was required to
adopt the applicable requirements in Sec. 51.900(f) for purposes of the
1-hour NAAQS is subject to the obligations identified in paragraph (a)
of this section, including the requirement to submit a maintenance plan
for purposes of paragraph (a)(3)(iii) of this section. 40 CFR part 81,
subpart C identifies the boundaries of areas and the area designations
and classifications for the 1-hour NAAQS in place as of the effective
date of designation for the 8-hour NAAQS.
(2) For purposes of paragraph (a)(1)(ii)(B) and (C) of this section,
the
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requirement to achieve emission reductions applies to the entire area
designated nonattainment for the 8-hour ozone NAAQS.
(d) [Reserved]
(e) What obligations that applied for the 1-hour NAAQS will no
longer apply after revocation of the 1-hour NAAQS for an area?--(1)
Maintenance plans. Upon revocation of the 1-hour NAAQS, an area with an
approved 1-hour maintenance plan under section 175A of the CAA may
modify the maintenance plan: To remove the obligation to submit a
maintenance plan for the 1-hour NAAQS 8 years after approval of the
initial 1-hour maintenance plan; and to remove the obligation to
implement contingency measures upon a violation of the 1-hour NAAQS.
However, such requirements will remain enforceable as part of the
approved SIP until such time as EPA approves a SIP revision removing
such obligations. The EPA shall not approve a SIP revision requesting
these modifications until the State submits and EPA approves an
attainment demonstration for the 8-hour NAAQS for an area initially
designated nonattainment for the 8-hour ozone NAAQS or a maintenance SIP
for the 8-hour NAAQS for an area initially designated attainment for the
8-hour NAAQS. Any revision to such SIP must meet the requirements of
section 110(l) and 193 of the CAA.
(2) Findings of failure to attain the 1-hour NAAQS. (i) Upon
revocation of the 1-hour NAAQS for an area, EPA is no longer obligated--
(A) To determine pursuant to section 181(b)(2) or section 179(c) of
the CAA whether an area attained the 1-hour NAAQS by that area's
attainment date for the 1-hour NAAQS; or
(B) To reclassify an area to a higher classification for the 1-hour
NAAQS based upon a determination that the area failed to attain the 1-
hour NAAQS by the area's attainment date for the 1-hour NAAQS.
(ii)-(iii) [Reserved]
(3) Conformity determinations for the 1-hour NAAQS. Upon revocation
of the 1-hour NAAQS for an area, conformity determinations pursuant to
section 176(c) of the CAA are no longer required for the 1-hour NAAQS.
At that time, any provisions of applicable SIPs that require conformity
determinations in such areas for the 1-hour NAAQS will no longer be
enforceable pursuant to section 176(c)(5) of the CAA.
(f) What is the continued applicability of the NO