[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2018 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 40
Protection of Environment
________________________
Parts 53 to 59
Revised as of July 1, 2018
Containing a codification of documents of general
applicability and future effect
As of July 1, 2018
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
U.S. GOVERNMENT OFFICIAL EDITION NOTICE
Legal Status and Use of Seals and Logos
The seal of the National Archives and Records Administration
(NARA) authenticates the Code of Federal Regulations (CFR) as
the official codification of Federal regulations established
under the Federal Register Act. Under the provisions of 44
U.S.C. 1507, the contents of the CFR, a special edition of the
Federal Register, shall be judicially noticed. The CFR is
prima facie evidence of the original documents published in
the Federal Register (44 U.S.C. 1510).
It is prohibited to use NARA's official seal and the stylized Code
of Federal Regulations logo on any republication of this
material without the express, written permission of the
Archivist of the United States or the Archivist's designee.
Any person using NARA's official seals and logos in a manner
inconsistent with the provisions of 36 CFR part 1200 is
subject to the penalties specified in 18 U.S.C. 506, 701, and
1017.
Use of ISBN Prefix
This is the Official U.S. Government edition of this publication
and is herein identified to certify its authenticity. Use of
the 0-16 ISBN prefix is for U.S. Government Publishing Office
Official Editions only. The Superintendent of Documents of the
U.S. Government Publishing Office requests that any reprinted
edition clearly be labeled as a copy of the authentic work
with a new ISBN.
U . S . G O V E R N M E N T P U B L I S H I N G O F F I C E
------------------------------------------------------------------
U.S. Superintendent of Documents Washington, DC 20402-
0001
http://bookstore.gpo.gov
Phone: toll-free (866) 512-1800; DC area (202) 512-1800
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency
(Continued) 3
Finding Aids:
Table of CFR Titles and Chapters........................ 413
Alphabetical List of Agencies Appearing in the CFR...... 433
List of CFR Sections Affected........................... 443
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 53.1 refers
to title 40, part 53,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, July 1, 2018), consult the ``List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
amendments to existing regulations in the CFR. These OMB numbers are
placed as close as possible to the applicable recordkeeping or reporting
requirements.
PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of
the revision date stated on the cover of each volume are not carried.
Code users may find the text of provisions in effect on any given date
in the past by using the appropriate List of CFR Sections Affected
(LSA). For the convenience of the reader, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume. For changes to
the Code prior to the LSA listings at the end of the volume, consult
previous annual editions of the LSA. For changes to the Code prior to
2001, consult the List of CFR Sections Affected compilations, published
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.
``[RESERVED]'' TERMINOLOGY
The term ``[Reserved]'' is used as a place holder within the Code of
Federal Regulations. An agency may add regulatory information at a
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used
editorially to indicate that a portion of the CFR was left vacant and
not accidentally dropped due to a printing or computer error.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
valid, the Director of the Federal Register must approve it. The legal
effect of incorporation by reference is that the material is treated as
if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed as
an approved incorporation by reference, please contact the agency that
issued the regulation containing that incorporation. If, after
contacting the agency, you find the material is not available, please
notify the Director of the Federal Register, National Archives and
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001,
or call 202-741-6010.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Authorities
and Rules. A list of CFR titles, chapters, subchapters, and parts and an
alphabetical list of agencies publishing in the CFR are also included in
this volume.
[[Page vii]]
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-741-6000
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, 8601 Adelphi Road, College Park, MD
20740-6001 or e-mail [email protected].
SALES
The Government Publishing Office (GPO) processes all sales and
distribution of the CFR. For payment by credit card, call toll-free,
866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or
fax your order to 202-512-2104, 24 hours a day. For payment by check,
write to: US Government Publishing Office - New Orders, P.O. Box 979050,
St. Louis, MO 63197-9000.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of
CFR Sections Affected), The United States Government Manual, the Federal
Register, Public Laws, Public Papers of the Presidents of the United
States, Compilation of Presidential Documents and the Privacy Act
Compilation are available in electronic format via www.govinfo.gov. For
more information, contact the GPO Customer Contact Center, U.S.
Government Publishing Office. Phone 202-512-1800, or 866-512-1800 (toll-
free). E-mail, [email protected].
The Office of the Federal Register also offers a free service on the
National Archives and Records Administration's (NARA) World Wide Web
site for public law numbers, Federal Register finding aids, and related
information. Connect to NARA's web site at www.archives.gov/federal-
register.
The e-CFR is a regularly updated, unofficial editorial compilation
of CFR material and Federal Register amendments, produced by the Office
of the Federal Register and the Government Publishing Office. It is
available at www.ecfr.gov.
Oliver A. Potts,
Director,
Office of the Federal Register
July 1, 2018
[[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, 2018.
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, Robert J. Sheehan, III 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 53 to 59)
--------------------------------------------------------------------
Part
chapter i--Environmental Protection Agency (Continued)...... 53
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
--------------------------------------------------------------------
Editorial Note: Nomenclature changes to chapter I appear at 65 FR
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001.
SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part Page
53 Ambient air monitoring reference and
equivalent methods...................... 5
54 Prior notice of citizen suits............... 114
55 Outer Continental Shelf air regulations..... 115
56 Regional consistency........................ 172
57 Primary nonferrous smelter orders........... 174
58 Ambient air quality surveillance............ 249
59 National volatile organic compound emission
standards for consumer and commercial
products................................ 325
[[Page 5]]
SUBCHAPTER C_AIR PROGRAMS (CONTINUED)
PART 53_AMBIENT AIR MONITORING REFERENCE AND EQUIVALENT METHODS
--Table of Contents
Subpart A_General Provisions
Sec.
53.1 Definitions.
53.2 General requirements for a reference method determination.
53.3 General requirements for an equivalent method determination.
53.4 Applications for reference or equivalent method determinations.
53.5 Processing of applications.
53.6 Right to witness conduct of tests.
53.7 Testing of methods at the initiative of the Administrator.
53.8 Designation of reference and equivalent methods.
53.9 Conditions of designation.
53.10 Appeal from rejection of application.
53.11 Cancellation of reference or equivalent method designation.
53.12 Request for hearing on cancellation.
53.13 Hearings.
53.14 Modification of a reference or equivalent method.
53.15 Trade secrets and confidential or privileged information.
53.16 Supersession of reference methods.
Table A-1 to Subpart A of Part 53--Summary of Applicable Requirements
for Reference and Equivalent Methods for Air Monitoring of
Criteria Pollutants
Appendix A to Subpart A of Part 53--References
Subpart B_Procedures for Testing Performance Characteristics of
Automated Methods for SO2, CO, O3, and NO2
53.20 General provisions.
53.21 Test conditions.
53.22 Generation of test atmospheres.
53.23 Test procedures.
Figure B-1 to Subpart B of Part 53--Example
Table B-1 to Subpart B of Part 53--Performance Limit Specifications for
Automated Methods
Table B-2 to Subpart B of Part 53--Test Atmospheres
Table B-3 to Subpart B of Part 53--Interferent Test Concentration, Parts
Per Million
Table B-4 to Subpart B of Part 53-- Line Voltage and Room Temperature
Test Conditions
Table B-5 to Subpart B of Part 53--Symbols and Abbreviations
Appendix A to Subpart B of Part 53--Optional Forms for Reporting Test
Results
Subpart C_Procedures for Determining Comparability Between Candidate
Methods and Reference Methods
53.30 General provisions.
53.31 [Reserved]
53.32 Test procedures for methods for SO2, CO,
O3, and NO2.
53.33 Test Procedure for Methods for Lead (Pb).
53.34 Test procedures for methods for PM 10 and Class I
methods for PM 2.5.
53.35 Test procedures for Class II and Class III methods for PM
2.5 and PM 10-2.5.
Table C-1 to Subpart C of Part 53--Test Concentration Ranges, Number of
Measurements Required, and Maximum Discrepancy Specifications
Table C-2 to Subpart C of Part 53--Sequence of Test Measurements
Table C-3 to Subpart C of Part 53--Test Specifications for Pb in TSP and
Pb in PM 10 Methods
Table C-4 to Subpart C of Part 53--Test Specifications for PM
10, PM 2.5, and PM 10-2.5
Candidate Equivalent Methods
Table C-5 to Subpart C of Part 53--Summary of Comparability Field
Testing Campaign Site and Seasonal Requirements for Class II
and III FEMs for PM 10-2.5 and PM 2.5
Figure C-1 to Subpart C of Part 53--Suggested Format for Reporting Test
Results for Methods for SO2, CO, O3,
NO2
Figure C-2 to Subpart C of Part 53--Illustration of the Slope and
Intercept Limits for Class II and Class III PM 2.5
Candidate Equivalent Methods
Figure C-3 to Subpart C of Part 53--Illustration of the Slope and
Intercept Limits for Class II and Class III PM
10-2.5 Candidate Equivalent Methods
Figure C-4 to Subpart C of Part 53--Illustration of the Minimum Limits
for Correlation Coefficient for PM 2.5 and PM
10-2.5 Class II and III Methods
Appendix A to Subpart C of Part 53--References
Subpart D_Procedures for Testing Performance Characteristics of Methods
for PM 10
53.40 General provisions.
53.41 Test conditions.
53.42 Generation of test atmospheres for wind tunnel tests.
[[Page 6]]
53.43 Test procedures.
Subpart E_Procedures for Testing Physical (Design) and Performance
Characteristics of Reference Methods and Class I Equivalent Methods for
PM 2.5
53.50 General provisions.
53.51 Demonstration of compliance with design specifications and
manufacturing and test requirements.
53.52 Leak check test.
53.53 Test for flow rate accuracy, regulation, measurement accuracy,
and cut-off.
53.54 Test for proper sampler operation following power interruptions.
53.55 Test for effect of variations in power line voltage and ambient
temperature.
53.56 Test for effect of variations in ambient pressure.
53.57 Test for filter temperature control during sampling and post-
sampling periods.
53.58 Operational field precision and blank test.
53.59 Aerosol transport test for Class I equivalent method samplers.
Table E-1 to Subpart E of Part 53--Summary of Test Requirements for
Reference and Class I Equivalent Methods for PM 2.5
Table E-2 to Subpart E of Part 53--Spectral Energy Distribution and
Permitted Tolerance for Conducting Radiative Tests
Figure E-1 to Subpart E of Part 53--Designation Testing Checklist
Appendix A to Subpart E of Part 53--References
Subpart F_Procedures for Testing Performance Characteristics of Class II
Equivalent Methods for PM 2.5
53.60 General provisions.
53.61 Test conditions for PM 2.5 reference method
equivalency.
53.62 Test procedure: Full wind tunnel test.
53.63 Test procedure: Wind tunnel inlet aspiration test.
53.64 Test procedure: Static fractionator test.
53.65 Test procedure: Loading test.
53.66 Test procedure: Volatility test.
Table F-1 to Subpart F of Part 53--Performance Specifications for PM
2.5 Class II Equivalent Samplers
Table F-2 to Subpart F of Part 53--Particle Sizes and Wind Speeds for
Full Wind Tunnel Test, Wind Tunnel Inlet Aspiration Test, and
Static Chamber Test
Table F-3 to Subpart F of Part 53--Critical Parameters of Idealized
Ambient Particle Size Distributions
Table F-4 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM 2.5 for Idealized Coarse Aerosol
Size Distribution
Table F-5 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM 2.5 for Idealized ``Typical''
Coarse Aerosol Size Distribution
Table F-6 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM 2.5 for Idealized Fine Aerosol
Size Distribution
Figure F-1 to Subpart F of Part 53--Designation Testing Checklist
Appendix A to Subpart F of Part 53--References
Authority: Sec. 301(a) of the Clean Air Act (42 U.S.C. sec.
1857g(a)), as amended by sec. 15(c)(2) of Pub. L. 91-604, 84 Stat. 1713,
unless otherwise noted.
Source: 40 FR 7049, Feb. 18, 1975, unless otherwise noted.
Subpart A_General Provisions
Source: 62 FR 38784, July 18, 1997, unless otherwise noted.
Sec. 53.1 Definitions.
Terms used but not defined in this part shall have the meaning given
them by the Act.
Act means the Clean Air Act (42 U.S.C. 1857-1857l), as amended.
Additive and multiplicative bias means the linear regression
intercept and slope of a linear plot fitted to corresponding candidate
and reference method mean measurement data pairs.
Administrator means the Administrator of the Environmental
Protection Agency (EPA) or his or her authorized representative.
Agency means the Environmental Protection Agency.
Applicant means a person or entity who submits an application for a
Federal reference method or Federal equivalent method determination
under Sec. 53.4, or a person or entity who assumes the rights and
obligations of an applicant under Sec. 53.7. Applicant may include a
manufacturer, distributor, supplier, or vendor.
Automated method or analyzer means a method for measuring
concentrations of an ambient air pollutant in which sample collection
(if necessary), analysis, and measurement are performed automatically by
an instrument.
[[Page 7]]
Candidate method means a method for measuring the concentration of
an air pollutant in the ambient air for which an application for a
Federal reference method determination or a Federal equivalent method
determination is submitted in accordance with Sec. 53.4, or a method
tested at the initiative of the Administrator in accordance with
Sec. 53.7.
Class I equivalent method means an equivalent method for PM
2.5 or PM 10-2.5 which is based on a sampler that
is very similar to the sampler specified for reference methods in
appendix L or appendix O (as applicable) of part 50 of this chapter,
with only minor deviations or modifications, as determined by EPA.
Class II equivalent method means an equivalent method for PM
2.5 or PM 10-2.5 that utilizes a PM 2.5
sampler or PM 10-2.5 sampler in which integrated PM
2.5 samples or PM 10-2.5 samples are obtained from
the atmosphere by filtration and subjected to a subsequent filter
conditioning process followed by a gravimetric mass determination, but
which is not a Class I equivalent method because of substantial
deviations from the design specifications of the sampler specified for
reference methods in appendix L or appendix O (as applicable) of part 50
of this chapter, as determined by EPA.
Class III equivalent method means an equivalent method for PM
2.5 or PM 10-2.5 that is an analyzer capable of
providing PM 2.5 or PM 10-2.5 ambient air
measurements representative of one-hour or less integrated PM
2.5 or PM 10-2.5 concentrations as well as 24-hour
measurements determined as, or equivalent to, the mean of 24 one-hour
consecutive measurements.
CO means carbon monoxide.
Collocated means two or more air samplers, analyzers, or other
instruments that are operated simultaneously while located side by side,
separated by a distance that is large enough to preclude the air sampled
by any of the devices from being affected by any of the other devices,
but small enough so that all devices obtain identical or uniform ambient
air samples that are equally representative of the general area in which
the group of devices is located.
Federal equivalent method (FEM) means a method for measuring the
concentration of an air pollutant in the ambient air that has been
designated as an equivalent method in accordance with this part; it does
not include a method for which an equivalent method designation has been
canceled in accordance with Sec. 53.11 or Sec. 53.16.
Federal reference method (FRM) means a method of sampling and
analyzing the ambient air for an air pollutant that is specified as a
reference method in an appendix to part 50 of this chapter, or a method
that has been designated as a reference method in accordance with this
part; it does not include a method for which a reference method
designation has been canceled in accordance with Sec. 53.11 or
Sec. 53.16.
ISO 9001-registered facility means a manufacturing facility that is
either:
(1) An International Organization for Standardization (ISO) 9001-
registered manufacturing facility, registered to the ISO 9001 standard
(by the Registrar Accreditation Board (RAB) of the American Society for
Quality Control (ASQC) in the United States), with registration
maintained continuously; or
(2) A facility that can be demonstrated, on the basis of information
submitted to the EPA, to be operated according to an EPA-approved and
periodically audited quality system which meets, to the extent
appropriate, the same general requirements as an ISO 9001-registered
facility for the design and manufacture of designated Federal reference
method and Federal equivalent method samplers and monitors.
ISO-certified auditor means an auditor who is either certified by
the Registrar Accreditation Board (in the United States) as being
qualified to audit quality systems using the requirements of recognized
standards such as ISO 9001, or who, based on information submitted to
the EPA, meets the same general requirements as provided for ISO-
certified auditors.
Manual method means a method for measuring concentrations of an
ambient air pollutant in which sample collection, analysis, or
measurement, or some combination thereof, is performed manually. A
method for PM 10 or PM 2.5 which utilizes a
sampler that
[[Page 8]]
requires manual preparation, loading, and weighing of filter samples is
considered a manual method even though the sampler may be capable of
automatically collecting a series of sequential samples.
NO means nitrogen oxide.
NO2 means nitrogen dioxide.
NOX means oxides of nitrogen and is defined as the sum of the
concentrations of NO2 and NO.
O3 means ozone.
Operated simultaneously means that two or more collocated samplers
or analyzers are operated concurrently with no significant difference in
the start time, stop time, and duration of the sampling or measurement
period.
Pb means lead.
PM means PM 10, PM 10C, PM 2.5, PM
10-2.5, or particulate matter of unspecified size range.
PM2.5 means particulate matter with an aerodynamic diameter less
than or equal to a nominal 2.5 micrometers as measured by a reference
method based on appendix L of part 50 of this chapter and designated in
accordance with part 53 of this chapter, by an equivalent method
designated in accordance with part 53 of this chapter, or by an approved
regional method designated in accordance with appendix C to this part.
PM10 means particulate matter with an aerodynamic diameter less than
or equal to a nominal 10 micrometers as measured by a reference method
based on appendix J of part 50 of this chapter and designated in
accordance with this part or by an equivalent method designated in
accordance with this part.
PM10C means particulate matter with an aerodynamic diameter less
than or equal to a nominal 10 micrometers as measured by a reference
method based on appendix O of part 50 of this chapter and designated in
accordance with this part or by an equivalent method designated in
accordance with this part.
PM10^2.5 means particulate matter with an aerodynamic diameter less
than or equal to a nominal 10 micrometers and greater than a nominal 2.5
micrometers as measured by a reference method based on appendix O to
part 50 of this chapter and designated in accordance with this part or
by an equivalent method designated in accordance with this part.
PM2.5 sampler means a device, associated with a manual method for
measuring PM 2.5, designed to collect PM 2.5 from
an ambient air sample, but lacking the ability to automatically analyze
or measure the collected sample to determine the mass concentrations of
PM 2.5 in the sampled air.
PM10 sampler means a device, associated with a manual method for
measuring PM 10, designed to collect PM 10 from an
ambient air sample, but lacking the ability to automatically analyze or
measure the collected sample to determine the mass concentrations of PM
10 in the sampled air.
PM10C sampler means a PM 10 sampler that meets the
special requirements for a PM 10C sampler that is part of a
PM 10-2.5 reference method sampler, as specified in appendix
O to part 50 of this chapter, or a PM 10 sampler that is part
of a PM 10-2.5 sampler that has been designated as an
equivalent method for PM 10-2.5.
PM10^2.5 sampler means a sampler, or a collocated pair of samplers,
associated with a manual method for measuring PM 10-2.5 and
designed to collect either PM 10-2.5 directly or PM
10C and PM 2.5 separately and simultaneously from
concurrent ambient air samples, but lacking the ability to automatically
analyze or measure the collected sample(s) to determine the mass
concentrations of PM 10-2.5 in the sampled air.
Sequential samples for PM samplers means two or more PM samples for
sequential (but not necessarily contiguous) time periods that are
collected automatically by the same sampler without the need for
intervening operator service.
SO2 means sulfur dioxide.
Test analyzer means an analyzer subjected to testing as part of a
candidate method in accordance with subparts B, C, D, E, or F of this
part, as applicable.
Test sampler means a PM 10 sampler, PM 2.5
sampler, or PM 10-2.5 sampler subjected to testing as part of
a candidate method in accordance with subparts C, D, E, or F of this
part.
Ultimate purchaser means the first person or entity who purchases a
Federal reference method or a Federal
[[Page 9]]
equivalent method for purposes other than resale.
[71 FR 61271, Oct. 17, 2006]
Sec. 53.2 General requirements for a reference method determination.
The following general requirements for a Federal reference method
(FRM) determination are summarized in table A-1 of this subpart.
(a) Manual methods--(1) Sulfur dioxide (SO2) and Lead.
For measuring SO2 and lead, appendixes A-2 and G of part 50
of this chapter specify unique manual FRM for measuring those
pollutants. Except as provided in Sec. 53.16, other manual methods for
lead will not be considered for a reference method determination under
this part.
(2) PM10. A FRM for measuring PM 10 must be a manual
method that meets all requirements specified in appendix J of part 50 of
this chapter and must include a PM 10 sampler that has been
shown in accordance with this part to meet all requirements specified in
this subpart A and subpart D of this part.
(3) PM2.5. A FRM for measuring PM 2.5 must be a manual
method that meets all requirements specified in appendix L of part 50 of
this chapter and must include a PM 2.5 sampler that has been
shown in accordance with this part to meet the applicable requirements
specified in this subpart A and subpart E of this part. Further, FRM
samplers must be manufactured in an ISO 9001-registered facility, as
defined in Sec. 53.1 and as set forth in Sec. 53.51.
(4) PM10^2.5. A FRM for measuring PM 10-2.5 must be a
manual method that meets all requirements specified in appendix O of
part 50 of this chapter and must include PM 10C and PM
2.5 samplers that have been shown in accordance with this
part to meet the applicable requirements specified in this subpart A and
subpart E of this part. Further, PM 10-2.5 FRM samplers must
be manufactured in an ISO 9001-registered facility, as defined in
Sec. 53.1 and as set forth in Sec. 53.51.
(b) Automated methods. An automated FRM for measuring
SO2, CO, O3, or NO2 must utilize the
measurement principle and calibration procedure specified in the
appropriate appendix to part 50 of this chapter (appendix A-1 only for
SO2 methods) and must have been shown in accordance with this
part to meet the requirements specified in this subpart A and subpart B
of this part.
[71 FR 61271, Oct. 17, 2006, as amended at 75 FR 35597, June 22, 2010]
Sec. 53.3 General requirements for an equivalent method determination.
(a) Manual methods. A manual Federal equivalent method (FEM) must
have been shown in accordance with this part to satisfy the applicable
requirements specified in this subpart A and subpart C of this part. In
addition, a PM sampler associated with a manual method for PM
10, PM 2.5, or PM 10-2.5 must have been
shown in accordance with this part to satisfy the following additional
requirements, as applicable:
(1) PM10. A PM 10 sampler associated with a manual method
for PM 10 must satisfy the requirements of subpart D of this
part.
(2) PM2.5 Class I. A PM 2.5 Class I FEM sampler must also
satisfy all requirements of subpart E of this part, which shall include
appropriate demonstration that each and every deviation or modification
from the FRM sampler specifications does not significantly alter the
performance of the sampler.
(3) PM2.5 Class II. (i) A PM 2.5 Class II FEM sampler
must also satisfy the applicable requirements of subparts E and F of
this part or the alternative requirements in paragraph (a)(3)(ii) of
this section.
(ii) In lieu of the applicable requirements specified for Class II
PM 2.5 methods in subparts C and F of this part, a Class II
PM 2.5 FEM sampler may alternatively meet the applicable
requirements in paragraphs (b)(3)(i) through (iii) of this section and
the testing, performance, and comparability requirements specified for
Class III equivalent methods for PM 2.5 in subpart C of this
part.
(4) PM10^2.5 Class I. A PM 10-2.5 Class I FEM sampler
must also satisfy the applicable requirements of subpart E of this part
(there are no additional requirements specifically for Class I PM
10-2.5 methods in subpart C of this part).
(5) PM10^2.5 Class II. (i) A PM 10-2.5 Class II FEM
sampler must also satisfy the applicable requirements of subpart C of
this part and also the applicable
[[Page 10]]
requirements and provisions of paragraphs (b)(3)(i) through (iii) of
this section, or the alternative requirements in paragraph (a)(5)(ii) of
this section.
(ii) In lieu of the applicable requirements specified for Class II
PM 10-2.5 methods in subpart C of this part and in paragraph
(b)(3)(iii) of this section, a Class II PM 10-2.5 FEM sampler
may alternatively meet the applicable requirements in paragraphs
(b)(3)(i) and (ii) of this section and the testing, performance, and
comparability requirements specified for Class III FEMs for PM
10-2.5 in subpart C of this part.
(6) ISO 9001. All designated FEMs for PM 2.5 or PM
10-2.5 must be manufactured in an ISO 9001-registered
facility, as defined in Sec. 53.1 and as set forth in Sec. 53.51.
(b) Automated methods. All types of automated FEMs must have been
shown in accordance with this part to satisfy the applicable
requirements specified in this subpart A and subpart C of this part. In
addition, an automated FEM must have been shown in accordance with this
part to satisfy the following additional requirements, as applicable:
(1) An automated FEM for pollutants other than PM must be shown in
accordance with this part to satisfy the applicable requirements
specified in subpart B of this part.
(2) An automated FEM for PM 10 must be shown in
accordance with this part to satisfy the applicable requirements of
subpart D of this part.
(3) A Class III automated FEM for PM 2.5 or PM
10-2.5 must be shown in accordance with this part to satisfy
the requirements in paragraphs (b)(3)(i) through (iii) of this section,
as applicable.
(i) All pertinent requirements of 40 CFR part 50, appendix L,
including sampling height, range of operational conditions, ambient
temperature and pressure sensors, outdoor enclosure, electrical power
supply, control devices and operator interfaces, data output port,
operation/instruction manual, data output and reporting requirements,
and any other requirements that would be reasonably applicable to the
method, unless adequate (as determined by the Administrator) rationale
can be provided to support the contention that a particular requirement
does not or should not be applicable to the particular candidate method.
(ii) All pertinent tests and requirements of subpart E of this part,
such as instrument manufacturing quality control; final assembly and
inspection; manufacturer's audit checklists; leak checks; flow rate
accuracy, measurement accuracy, and flow rate cut-off; operation
following power interruptions; effect of variations in power line
voltage, ambient temperature and ambient pressure; and aerosol
transport; unless adequate (as determined by the Administrator)
rationale can be provided to support the contention that a particular
test or requirement does not or should not be applicable to the
particular candidate method.
(iii) Candidate methods shall be tested for and meet any performance
requirements, such as inlet aspiration, particle size separation or
selection characteristics, change in particle separation or selection
characteristics due to loading or other operational conditions, or
effects of surface exposure and particle volatility, determined by the
Administrator to be necessary based on the nature, design, and specifics
of the candidate method and the extent to which it deviates from the
design and performance characteristics of the reference method. These
performance requirements and the specific test(s) for them will be
determined by Administrator for each specific candidate method or type
of candidate method and may be similar to or based on corresponding
tests and requirements set forth in subpart F of this part or may be
special requirements and tests tailored by the Administrator to the
specific nature, design, and operational characteristics of the
candidate method. For example, a candidate method with an inlet design
deviating substantially from the design of the reference method inlet
would likely be subject to an inlet aspiration test similar to that set
forth in Sec. 53.63. Similarly, a candidate method having an inertial
fractionation system substantially different from that of the reference
method would likely be subject to a static fractionation test and a
loading test similar to those set forth in Secs. 53.64 and 53.65,
respectively. A candidate method
[[Page 11]]
with more extensive or profound deviations from the design and function
of the reference method may be subject to other tests, full wind-tunnel
tests similar to those described in Sec. 53.62, or to special tests
adapted or developed individually to accommodate the specific type of
measurement or operation of the candidate method.
(4) All designated FEM for PM 2.5 or PM 10-2.5
must be manufactured in an ISO 9001-registered facility, as defined in
Sec. 53.1 and as set forth in Sec. 53.51.
[71 FR 61271, Oct. 17, 2006]
Sec. 53.4 Applications for reference or equivalent method determinations.
(a) Applications for FRM or FEM determinations shall be submitted in
duplicate to: Director, National Exposure Research Laboratory, Reference
and Equivalent Method Program (MD-D205-03), U.S. Environmental
Protection Agency, Research Triangle Park, North Carolina 27711
(Commercial delivery address: 4930 Old Page Road, Durham, North Carolina
27703).
(b) Each application shall be signed by an authorized representative
of the applicant, shall be marked in accordance with Sec. 53.15 (if
applicable), and shall contain the following:
(1) A clear identification of the candidate method, which will
distinguish it from all other methods such that the method may be
referred to unambiguously. This identification must consist of a unique
series of descriptors such as title, identification number, analyte,
measurement principle, manufacturer, brand, model, etc., as necessary to
distinguish the method from all other methods or method variations, both
within and outside the applicant's organization.
(2) A detailed description of the candidate method, including but
not limited to the following: The measurement principle, manufacturer,
name, model number and other forms of identification, a list of the
significant components, schematic diagrams, design drawings, and a
detailed description of the apparatus and measurement procedures.
Drawings and descriptions pertaining to candidate methods or samplers
for PM 2.5 or PM 10-2.5 must meet all applicable
requirements in reference 1 of appendix A of this subpart, using
appropriate graphical, nomenclature, and mathematical conventions such
as those specified in references 3 and 4 of appendix A of this subpart.
(3) A copy of a comprehensive operation or instruction manual
providing a complete and detailed description of the operational,
maintenance, and calibration procedures prescribed for field use of the
candidate method and all instruments utilized as part of that method
(under Sec. 53.9(a)).
(i) As a minimum this manual shall include:
(A) Description of the method and associated instruments.
(B) Explanation of all indicators, information displays, and
controls.
(C) Complete setup and installation instructions, including any
additional materials or supplies required.
(D) Details of all initial or startup checks or acceptance tests and
any auxiliary equipment required.
(E) Complete operational instructions.
(F) Calibration procedures and descriptions of required calibration
equipment and standards.
(G) Instructions for verification of correct or proper operation.
(H) Trouble-shooting guidance and suggested corrective actions for
abnormal operation.
(I) Required or recommended routine, periodic, and preventative
maintenance and maintenance schedules.
(J) Any calculations required to derive final concentration
measurements.
(K) Appropriate references to any applicable appendix of part 50 of
this chapter; reference 6 of appendix A of this subpart; and any other
pertinent guidelines.
(ii) The manual shall also include adequate warning of potential
safety hazards that may result from normal use and/or malfunction of the
method and a description of necessary safety precautions. (See
Sec. 53.9(b).) However, the previous requirement shall not be
interpreted to constitute or imply any warranty of safety of the method
by EPA. For samplers and automated methods, the manual shall include a
clear description of all procedures pertaining to installation,
operation, preventive maintenance, and troubleshooting and shall also
include parts
[[Page 12]]
identification diagrams. The manual may be used to satisfy the
requirements of paragraphs (b)(1) and (2) of this section to the extent
that it includes information necessary to meet those requirements.
(4) A statement that the candidate method has been tested in
accordance with the procedures described in subparts B, C, D, E, and/or
F of this part, as applicable.
(5) Descriptions of test facilities and test configurations, test
data, records, calculations, and test results as specified in subparts
B, C, D, E, and/or F of this part, as applicable. Data must be
sufficiently detailed to meet appropriate principles described in part
B, sections 3.3.1 (paragraph 1) and 3.5.1 and part C, section 4.6 of
reference 2 of appendix A of this subpart; and in paragraphs 1 through 3
of section 4.8 (Records) of reference 5 of appendix A of this subpart.
Salient requirements from these references include the following:
(i) The applicant shall maintain and include records of all relevant
measuring equipment, including the make, type, and serial number or
other identification, and most recent calibration with identification of
the measurement standard or standards used and their National Institute
of Standards and Technology (NIST) traceability. These records shall
demonstrate the measurement capability of each item of measuring
equipment used for the application and include a description and
justification (if needed) of the measurement setup or configuration in
which it was used for the tests. The calibration results shall be
recorded and identified in sufficient detail so that the traceability of
all measurements can be determined and any measurement could be
reproduced under conditions close to the original conditions, if
necessary, to resolve any anomalies.
(ii) Test data shall be collected according to the standards of good
practice and by qualified personnel. Test anomalies or irregularities
shall be documented and explained or justified. The impact and
significance of the deviation on test results and conclusions shall be
determined. Data collected shall correspond directly to the specified
test requirement and be labeled and identified clearly so that results
can be verified and evaluated against the test requirement. Calculations
or data manipulations must be explained in detail so that they can be
verified.
(6) A statement that the method, analyzer, or sampler tested in
accordance with this part is representative of the candidate method
described in the application.
(c) For candidate automated methods and candidate manual methods for
PM 10, PM 2.5, and PM 10-2.5 the
application shall also contain the following:
(1) A detailed description of the quality system that will be
utilized, if the candidate method is designated as a reference or
equivalent method, to ensure that all analyzers or samplers offered for
sale under that designation will have essentially the same performance
characteristics as the analyzer(s) or samplers tested in accordance with
this part. In addition, the quality system requirements for candidate
methods for PM 2.5 and PM 10-2.5 must be described
in sufficient detail, based on the elements described in section 4 of
reference 1 (Quality System Requirements) of appendix A of this subpart.
Further clarification is provided in the following sections of reference
2 of appendix A of this subpart: part A (Management Systems), sections
2.2 (Quality System and Description), 2.3 (Personnel Qualification and
Training), 2.4 (Procurement of Items and Services), 2.5 (Documents and
Records), and 2.7 (Planning); part B (Collection and Evaluation of
Environmental Data), sections 3.1 (Planning and Scoping), 3.2 (Design of
Data Collection Operations), and 3.5 (Assessment and Verification of
Data Usability); and part C (Operation of Environmental Technology),
sections 4.1 (Planning), 4.2 (Design of Systems), and 4.4 (Operation of
Systems).
(2) A description of the durability characteristics of such
analyzers or samplers (see Sec. 53.9(c)). For methods for PM
2.5 and PM 10-2.5 the warranty program must ensure
that the required specifications (see Table A-1 to this subpart) will be
met throughout the warranty period and that the applicant accepts
responsibility and liability for ensuring this conformance or for
resolving any nonconformities, including
[[Page 13]]
all necessary components of the system, regardless of the original
manufacturer. The warranty program must be described in sufficient
detail to meet appropriate provisions of the ANSI/ASQC and ISO 9001
standards (references 1 and 2 in appendix A of this subpart) for
controlling conformance and resolving nonconformance, particularly
sections 4.12, 4.13, and 4.14 of reference 1 in appendix A of this
subpart.
(i) Section 4.12 in reference 1 of appendix A of this subpart
requires the manufacturer to establish and maintain a system of
procedures for identifying and maintaining the identification of
inspection and test status throughout all phases of manufacturing to
ensure that only instruments that have passed the required inspections
and tests are released for sale.
(ii) Section 4.13 in reference 1 of appendix A of this subpart
requires documented procedures for control of nonconforming product,
including review and acceptable alternatives for disposition; section
4.14 in reference 1 of appendix A of this subpart requires documented
procedures for implementing corrective (4.14.2) and preventive (4.14.3)
action to eliminate the causes of actual or potential nonconformities.
In particular, section 4.14.3 requires that potential causes of
nonconformities be eliminated by using information such as service
reports and customer complaints to eliminate potential causes of
nonconformities.
(d) For candidate reference or equivalent methods for PM
2.5 and Class II or Class III equivalent methods for PM
10-2.5, the applicant, if requested by EPA, shall provide to
EPA for test purposes one sampler or analyzer that is representative of
the sampler or analyzer associated with the candidate method. The
sampler or analyzer shall be shipped FOB destination to Director,
National Exposure Research Laboratory, Reference and Equivalent Method
Program (MD-D205-03), U.S. Environmental Protection Agency, 4930 Old
Page Road, Durham, North Carolina 27703, scheduled to arrive concurrent
with or within 30 days of the arrival of the other application
materials. This analyzer or sampler may be subjected to various tests
that EPA determines to be necessary or appropriate under Sec. 53.5(f),
and such tests may include special tests not described in this part. If
the instrument submitted under this paragraph malfunctions, becomes
inoperative, or fails to perform as represented in the application
before the necessary EPA testing is completed, the applicant shall be
afforded an opportunity to repair or replace the device at no cost to
EPA. Upon completion of EPA testing, the analyzer or sampler submitted
under this paragraph shall be repacked by EPA for return shipment to the
applicant, using the same packing materials used for shipping the
instrument to EPA unless alternative packing is provided by the
applicant. Arrangements for, and the cost of, return shipment shall be
the responsibility of the applicant. The EPA does not warrant or assume
any liability for the condition of the analyzer or sampler upon return
to the applicant.
[71 FR 61271, Oct. 17, 2006]
Sec. 53.5 Processing of applications.
After receiving an application for a FRM or FEM determination, the
Administrator will, within 120 calendar days after receipt of the
application, take one or more of the following actions:
(a) Send notice to the applicant, in accordance with Sec. 53.8, that
the candidate method has been determined to be a reference or equivalent
method.
(b) Send notice to the applicant that the application has been
rejected, including a statement of reasons for rejection.
(c) Send notice to the applicant that additional information must be
submitted before a determination can be made and specify the additional
information that is needed (in such cases, the 120-day period shall
commence upon receipt of the additional information).
(d) Send notice to the applicant that additional test data must be
submitted and specify what tests are necessary and how the tests shall
be interpreted (in such cases, the 120-day period shall commence upon
receipt of the additional test data).
[[Page 14]]
(e) Send notice to the applicant that the application has been found
to be substantially deficient or incomplete and cannot be processed
until additional information is submitted to complete the application
and specify the general areas of substantial deficiency.
(f) Send notice to the applicant that additional tests will be
conducted by the Administrator, specifying the nature of and reasons for
the additional tests and the estimated time required (in such cases, the
120-day period shall commence 1 calendar day after the additional tests
have been completed).
[71 FR 61271, Oct. 17, 2006]
Sec. 53.6 Right to witness conduct of tests.
(a) Submission of an application for a reference or equivalent
method determination shall constitute consent for the Administrator or
the Administrator's authorized representative, upon presentation of
appropriate credentials, to witness or observe any tests required by
this part in connection with the application or in connection with any
modification or intended modification of the method by the applicant.
(b) The applicant shall have the right to witness or observe any
test conducted by the Administrator in connection with the application
or in connection with any modification or intended modification of the
method by the applicant.
(c) Any tests by either party that are to be witnessed or observed
by the other party shall be conducted at a time and place mutually
agreeable to both parties.
Sec. 53.7 Testing of methods at the initiative of the Administrator.
(a) In the absence of an application for a reference or equivalent
method determination, the Administrator may conduct the tests required
by this part for such a determination, may compile such other
information as may be necessary in the judgment of the Administrator to
make such a determination, and on the basis of the tests and information
may determine that a method satisfies applicable requirements of this
part.
(b) In the absence of an application requesting the Administrator to
consider revising an appendix to part 50 of this chapter in accordance
with Sec. 53.16, the Administrator may conduct such tests and compile
such information as may be necessary in the Administrator's judgment to
make a determination under Sec. 53.16(d) and on the basis of the tests
and information make such a determination.
(c) If a method tested in accordance with this section is designated
as a reference or equivalent method in accordance with Sec. 53.8 or is
specified or designated as a reference method in accordance with
Sec. 53.16, any person or entity who offers the method for sale as a
reference or equivalent method thereafter shall assume the rights and
obligations of an applicant for purposes of this part, with the
exception of those pertaining to submission and processing of
applications.
Sec. 53.8 Designation of reference and equivalent methods.
(a) A candidate method determined by the Administrator to satisfy
the applicable requirements of this part shall be designated as a FRM or
FEM (as applicable) by and upon publication of a notice of the
designation in the Federal Register.
(b) Upon designation, a notice indicating that the method has been
designated as a FRM or FEM shall be sent to the applicant.
(c) The Administrator will maintain a current list of methods
designated as FRM or FEM in accordance with this part and will send a
copy of the list to any person or group upon request. A copy of the list
will be available via the Internet and may be available from other
sources.
[71 FR 61276, Oct. 17, 2006, as amended at 75 FR 35597, June 22, 2010]
Sec. 53.9 Conditions of designation.
Designation of a candidate method as a FRM or FEM shall be
conditioned to the applicant's compliance with the following
requirements. Failure to comply with any of the requirements shall
constitute a ground for cancellation of the designation in accordance
with Sec. 53.11.
[[Page 15]]
(a) Any method offered for sale as a FRM or FEM shall be accompanied
by a copy of the manual referred to in Sec. 53.4(b)(3) when delivered to
any ultimate purchaser, and an electronic copy of the manual suitable
for incorporating into user-specific standard operating procedure
documents shall be readily available to any users.
(b) Any method offered for sale as a FRM or FEM shall generate no
unreasonable hazard to operators or to the environment during normal use
or when malfunctioning.
(c) Any analyzer, PM 10 sampler, PM 2.5
sampler, or PM 10-2.5 sampler offered for sale as part of an
FRM or FEM shall function within the limits of the performance
specifications referred to in Sec. 53.20(a), Sec. 53.30(a), Sec. 53.35,
Sec. 53.50, or Sec. 53.60, as applicable, for at least 1 year after
delivery and acceptance when maintained and operated in accordance with
the manual referred to in Sec. 53.4(b)(3).
(d) Any analyzer, PM 10 sampler, PM 2.5
sampler, or PM 10-2.5 sampler offered for sale as a FRM or
FEM shall bear a prominent, permanently affixed label or sticker
indicating that the analyzer or sampler has been designated by EPA as a
FRM or FEM (as applicable) in accordance with this part and displaying
any designated method identification number that may be assigned by EPA.
(e) If an analyzer is offered for sale as a FRM or FEM and has one
or more selectable ranges, the label or sticker required by paragraph
(d) of this section shall be placed in close proximity to the range
selector and shall indicate clearly which range or ranges have been
designated as parts of the FRM or FEM.
(f) An applicant who offers analyzers, PM 10 samplers, PM
2.5 samplers, or PM 10-2.5 samplers for sale as
FRM or FEMs shall maintain an accurate and current list of the names and
mailing addresses of all ultimate purchasers of such analyzers or
samplers. For a period of 7 years after publication of the FRM or FEM
designation applicable to such an analyzer or sampler, the applicant
shall notify all ultimate purchasers of the analyzer or sampler within
30 days if the designation has been canceled in accordance with
Sec. 53.11 or Sec. 53.16 or if adjustment of the analyzer or sampler is
necessary under Sec. 53.11(b).
(g) If an applicant modifies an analyzer, PM 10 sampler,
PM 2.5 sampler, or PM 10-2.5 sampler that has been
designated as a FRM or FEM, the applicant shall not sell the modified
analyzer or sampler as a reference or equivalent method nor attach a
label or sticker to the modified analyzer or sampler under paragraph (d)
or (e) of this section until the applicant has received notice under
Sec. 53.14(c) that the existing designation or a new designation will
apply to the modified analyzer or sampler or has applied for and
received notice under Sec. 53.8(b) of a new FRM or FEM determination for
the modified analyzer or sampler.
(h) An applicant who has offered PM 2.5 or PM
10-2.5 samplers or analyzers for sale as part of a FRM or FEM
may continue to do so only so long as the facility in which the samplers
or analyzers are manufactured continues to be an ISO 9001-registered
facility, as set forth in subpart E of this part. In the event that the
ISO 9001 registration for the facility is withdrawn, suspended, or
otherwise becomes inapplicable, either permanently or for some specified
time interval, such that the facility is no longer an ISO 9001-
registered facility, the applicant shall notify EPA within 30 days of
the date the facility becomes other than an ISO 9001-registered
facility, and upon such notification, EPA shall issue a preliminary
finding and notification of possible cancellation of the FRM or FEM
designation under Sec. 53.11.
[71 FR 61276, Oct. 17, 2006, as amended at 78 FR 3281, Jan. 15, 2013; 80
FR 65460, Oct. 26, 2015]
Sec. 53.10 Appeal from rejection of application.
Any applicant whose application for a reference or equivalent method
determination has been rejected may appeal the Administrator's decision
by taking one or more of the following actions:
(a) The applicant may submit new or additional information in
support of the application.
(b) The applicant may request that the Administrator reconsider the
data and information already submitted.
[[Page 16]]
(c) The applicant may request that any test conducted by the
Administrator that was a material factor in the decision to reject the
application be repeated.
Sec. 53.11 Cancellation of reference or equivalent method designation.
(a) Preliminary finding. If the Administrator makes a preliminary
finding on the basis of any available information that a representative
sample of a method designated as a reference or equivalent method and
offered for sale as such does not fully satisfy the requirements of this
part or that there is any violation of the requirements set forth in
Sec. 53.9, the Administrator may initiate proceedings to cancel the
designation in accordance with the following procedures.
(b) Notification and opportunity to demonstrate or achieve
compliance. (1) After making a preliminary finding in accordance with
paragraph (a) of this section, the Administrator will send notice of the
preliminary finding to the applicant, together with a statement of the
facts and reasons on which the preliminary finding is based, and will
publish notice of the preliminary finding in the Federal Register.
(2) The applicant will be afforded an opportunity to demonstrate or
to achieve compliance with the requirements of this part within 60 days
after publication of notice in accordance with paragraph (b)(1) of this
section or within such further period as the Administrator may allow, by
demonstrating to the satisfaction of the Administrator that the method
in question satisfies the requirements of this part, by commencing a
program to make any adjustments that are necessary to bring the method
into compliance, or by taking such action as may be necessary to cure
any violation of the requirements of Sec. 53.9. If adjustments are
necessary to bring the method into compliance, all such adjustments
shall be made within a reasonable time as determined by the
Administrator. If the applicant demonstrates or achieves compliance in
accordance with this paragraph (b)(2), the Administrator will publish
notice of such demonstration or achievement in the Federal Register.
(c) Request for hearing. Within 60 days after publication of a
notice in accordance with paragraph (b)(1) of this section, the
applicant or any interested person may request a hearing as provided in
Sec. 53.12.
(d) Notice of cancellation. If, at the end of the period referred to
in paragraph (b)(2) of this section, the Administrator determines that
the reference or equivalent method designation should be canceled, a
notice of cancellation will be published in the Federal Register and the
designation will be deleted from the list maintained under Sec. 53.8(c).
If a hearing has been requested and granted in accordance with
Sec. 53.12, action under this paragraph (d) will be taken only after
completion of proceedings (including any administrative review)
conducted in accordance with Sec. 53.13 and only if the decision of the
Administrator reached in such proceedings is that the designation in
question should be canceled.
Sec. 53.12 Request for hearing on cancellation.
Within 60 days after publication of a notice in accordance with
Sec. 53.11(b)(1), the applicant or any interested person may request a
hearing on the Administrator's action. If, after reviewing the request
and supporting data, the Administrator finds that the request raises a
substantial issue of fact, a hearing will be granted in accordance with
Sec. 53.13 with respect to such issue. The request shall be in writing,
signed by an authorized representative of the applicant or interested
person, and shall include a statement specifying:
(a) Any objections to the Administrator's action.
(b) Data or other information in support of such objections.
Sec. 53.13 Hearings.
(a)(1) After granting a request for a hearing under Sec. 53.12, the
Administrator will designate a presiding officer for the hearing.
(2) If a time and place for the hearing have not been fixed by the
Administrator, the hearing will be held as soon as practicable at a time
and place fixed by the presiding officer, except that the hearing shall
in no case be held sooner than 30 days after publication of
[[Page 17]]
a notice of hearing in the Federal Register.
(3) For purposes of the hearing, the parties shall include EPA, the
applicant or interested person(s) who requested the hearing, and any
person permitted to intervene in accordance with paragraph (c) of this
section.
(4) The Deputy General Counsel or the Deputy General Counsel's
representative will represent EPA in any hearing under this section.
(5) Each party other than EPA may be represented by counsel or by
any other duly authorized representative.
(b)(1) Upon appointment, the presiding officer will establish a
hearing file. The file shall contain copies of the notices issued by the
Administrator pursuant to Sec. 53.11(b)(1), together with any
accompanying material, the request for a hearing and supporting data
submitted therewith, the notice of hearing published in accordance with
paragraph (a)(2) of this section, and correspondence and other material
data relevant to the hearing.
(2) The hearing file shall be available for inspection by the
parties or their representatives at the office of the presiding officer,
except to the extent that it contains information identified in
accordance with Sec. 53.15.
(c) The presiding officer may permit any interested person to
intervene in the hearing upon such a showing of interest as the
presiding officer may require; provided that permission to intervene may
be denied in the interest of expediting the hearing where it appears
that the interests of the person seeking to intervene will be adequately
represented by another party (or by other parties), including EPA.
(d)(1) The presiding officer, upon the request of any party or at
the officer's discretion, may arrange for a prehearing conference at a
time and place specified by the officer to consider the following:
(i) Simplification of the issues.
(ii) Stipulations, admissions of fact, and the introduction of
documents.
(iii) Limitation of the number of expert witnesses.
(iv) Possibility of agreement on disposing of all or any of the
issues in dispute.
(v) Such other matters as may aid in the disposition of the hearing,
including such additional tests as may be agreed upon by the parties.
(2) The results of the conference shall be reduced to writing by the
presiding officer and made part of the record.
(e)(1) Hearings shall be conducted by the presiding officer in an
informal but orderly and expeditious manner. The parties may offer oral
or written evidence, subject to exclusion by the presiding officer of
irrelevant, immaterial, or repetitious evidence.
(2) Witnesses shall be placed under oath.
(3) Any witness may be examined or cross-examined by the presiding
officer, the parties, or their representatives. The presiding officer
may, at his/her discretion, limit cross-examination to relevant and
material issues.
(4) Hearings shall be reported verbatim. Copies of transcripts of
proceedings may be purchased from the reporter.
(5) All written statements, charts, tabulations, and data offered in
evidence at the hearing shall, upon a showing satisfactory to the
presiding officer of their authenticity, relevancy, and materiality, be
received in evidence and shall constitute part of the record.
(6) Oral argument shall be permitted. The presiding officer may
limit oral presentations to relevant and material issues and designate
the amount of time allowed for oral argument.
(f)(1) The presiding officer shall make an initial decision which
shall include written findings and conclusions and the reasons therefore
on all the material issues of fact, law, or discretion presented on the
record. The findings, conclusions, and written decision shall be
provided to the parties and made part of the record. The initial
decision shall become the decision of the Administrator without further
proceedings unless there is an appeal to, or review on motion of, the
Administrator within 30 calendar days after the initial decision is
filed.
(2) On appeal from or review of the initial decision, the
Administrator will have all the powers consistent with making the
initial decision, including the discretion to require or allow
[[Page 18]]
briefs, oral argument, the taking of additional evidence or the
remanding to the presiding officer for additional proceedings. The
decision by the Administrator will include written findings and
conclusions and the reasons or basis therefore on all the material
issues of fact, law, or discretion presented on the appeal or considered
in the review.
Sec. 53.14 Modification of a reference or equivalent method.
(a) An applicant who offers a method for sale as a reference or
equivalent method shall report to the EPA Administrator prior to
implementation any intended modification of the method, including but
not limited to modifications of design or construction or of operational
and maintenance procedures specified in the operation manual (see
Sec. 53.9(g)). The report shall be signed by an authorized
representative of the applicant, marked in accordance with Sec. 53.15
(if applicable), and addressed as specified in Sec. 53.4(a).
(b) A report submitted under paragraph (a) of this section shall
include:
(1) A description, in such detail as may be appropriate, of the
intended modification.
(2) A brief statement of the applicant's belief that the
modification will, will not, or may affect the performance
characteristics of the method.
(3) A brief statement of the probable effect if the applicant
believes the modification will or may affect the performance
characteristics of the method.
(4) Such further information, including test data, as may be
necessary to explain and support any statement required by paragraphs
(b)(2) and (b)(3) of this section.
(c) Within 90 calendar days after receiving a report under paragraph
(a) of this section, the Administrator will take one or more of the
following actions:
(1) Notify the applicant that the designation will continue to apply
to the method if the modification is implemented.
(2) Send notice to the applicant that a new designation will apply
to the method (as modified) if the modification is implemented, submit
notice of the determination for publication in the Federal Register, and
revise or supplement the list referred to in Sec. 53.8(c) to reflect the
determination.
(3) Send notice to the applicant that the designation will not apply
to the method (as modified) if the modification is implemented and
submit notice of the determination for publication in the Federal
Register.
(4) Send notice to the applicant that additional information must be
submitted before a determination can be made and specify the additional
information that is needed (in such cases, the 30-day period shall
commence upon receipt of the additional information).
(5) Send notice to the applicant that additional tests are necessary
and specify what tests are necessary and how they shall be interpreted
(in such cases, the 30-day period shall commence upon receipt of the
additional test data).
(6) Send notice to the applicant that additional tests will be
conducted by the Administrator and specify the reasons for and the
nature of the additional tests (in such cases, the 30-day period shall
commence 1 calendar day after the additional tests are completed).
(d) An applicant who has received a notice under paragraph (c)(3) of
this section may appeal the Administrator's action as follows:
(1) The applicant may submit new or additional information pertinent
to the intended modification.
(2) The applicant may request the Administrator to reconsider data
and information already submitted.
(3) The applicant may request that the Administrator repeat any test
conducted that was a material factor in the Administrator's
determination. A representative of the applicant may be present during
the performance of any such retest.
[62 FR 38784, July 18, 1997, as amended at 80 FR 65460, Oct. 26, 2015]
Sec. 53.15 Trade secrets and confidential or privileged information.
Any information submitted under this part that is claimed to be a
trade secret or confidential or privileged information shall be marked
or otherwise clearly identified as such in the submittal. Information so
identified will
[[Page 19]]
be treated in accordance with part 2 of this chapter (concerning public
information).
Sec. 53.16 Supersession of reference methods.
(a) This section prescribes procedures and criteria applicable to
requests that the Administrator specify a new reference method, or a new
measurement principle and calibration procedure on which reference
methods shall be based, by revision of the appropriate appendix to part
50 of this chapter. Such action will ordinarily be taken only if the
Administrator determines that a candidate method or a variation thereof
is substantially superior to the existing reference method(s).
(b) In exercising discretion under this section, the Administrator
will consider:
(1) The benefits, in terms of the requirements and purposes of the
Act, that would result from specifying a new reference method or a new
measurement principle and calibration procedure.
(2) The potential economic consequences of such action for State and
local control agencies.
(3) Any disruption of State and local air quality monitoring
programs that might result from such action.
(c) An applicant who wishes the Administrator to consider revising
an appendix to part 50 of this chapter on the ground that the
applicant's candidate method is substantially superior to the existing
reference method(s) shall submit an application for a reference or
equivalent method determination in accordance with Sec. 53.4 and shall
indicate therein that such consideration is desired. The application
shall include, in addition to the information required by Sec. 53.4,
data and any other information supporting the applicant's claim that the
candidate method is substantially superior to the existing reference
method(s).
(d) After receiving an application under paragraph (c) of this
section, the Administrator will publish notice of its receipt in the
Federal Register and, within 120 calendar days after receipt of the
application, take one of the following actions:
(1) Determine that it is appropriate to propose a revision of the
appendix to part 50 of this chapter in question and send notice of the
determination to the applicant.
(2) Determine that it is inappropriate to propose a revision of the
appendix to part 50 of this chapter in question, determine whether the
candidate method is a reference or equivalent method, and send notice of
the determinations, including a statement of reasons for the
determination not to propose a revision, to the applicant.
(3) Send notice to the applicant that additional information must be
submitted before a determination can be made and specify the additional
information that is needed (in such cases, the 120-day period shall
commence upon receipt of the additional information).
(4) Send notice to the applicant that additional tests are
necessary, specifying what tests are necessary and how the test shall be
interpreted (in such cases, the 120-day period shall commence upon
receipt of the additional test data).
(5) Send notice to the applicant that additional tests will be
conducted by the Administrator, specifying the nature of and reasons for
the additional tests and the estimated time required (in such cases, the
120-day period shall commence 1 calendar day after the additional tests
have been completed).
(e)(1)(i) After making a determination under paragraph (d)(1) of
this section, the Administrator will publish a notice of proposed
rulemaking in the Federal Register. The notice of proposed rulemaking
will indicate that the Administrator proposes:
(A) To revise the appendix to part 50 of this chapter in question.
(B) Where the appendix specifies a measurement principle and
calibration procedure, to cancel reference method designations based on
the appendix.
(C) To cancel equivalent method designations based on the existing
reference method(s).
(ii) The notice of proposed rulemaking will include the terms or
substance of the proposed revision, will indicate what period(s) of time
the Administrator proposes to allow for replacement of existing methods
under
[[Page 20]]
section 2.3 of appendix C to part 58 of this chapter, and will solicit
public comments on the proposal with particular reference to the
considerations set forth in paragraphs (a) and (b) of this section.
(2)(i) If, after consideration of comments received, the
Administrator determines that the appendix to part 50 in question should
be revised, the Administrator will, by publication in the Federal
Register:
(A) Promulgate the proposed revision, with such modifications as may
be appropriate in view of comments received.
(B) Where the appendix to part 50 (prior to revision) specifies a
measurement principle and calibration procedure, cancel reference method
designations based on the appendix.
(C) Cancel equivalent method designations based on the existing
reference method(s).
(D) Specify the period(s) that will be allowed for replacement of
existing methods under section 2.3 of appendix C to part 58 of this
chapter, with such modifications from the proposed period(s) as may be
appropriate in view of comments received.
(3) Canceled designations will be deleted from the list maintained
under Sec. 53.8(c). The requirements and procedures for cancellation set
forth in Sec. 53.11 shall be inapplicable to cancellation of reference
or equivalent method designations under this section.
(4) If the appendix to part 50 of this chapter in question is
revised to specify a new measurement principle and calibration procedure
on which the applicant's candidate method is based, the Administrator
will take appropriate action under Sec. 53.5 to determine whether the
candidate method is a reference method.
(5) Upon taking action under paragraph (e)(2) of this section, the
Administrator will send notice of the action to all applicants for whose
methods reference and equivalent method designations are canceled by
such action.
(f) An applicant who has received notice of a determination under
paragraph (d)(2) of this section may appeal the determination by taking
one or more of the following actions:
(1) The applicant may submit new or additional information in
support of the application.
(2) The applicant may request that the Administrator reconsider the
data and information already submitted.
(3) The applicant may request that any test conducted by the
Administrator that was a material factor in making the determination be
repeated.
Sec. Table A-1 to Subpart A of Part 53--Summary of Applicable
Requirements for Reference and Equivalent Methods for Air Monitoring of
Criteria Pollutants
--------------------------------------------------------------------------------------------------------------------------------------------------------
Applicable subparts of part 53
Pollutant Reference or equivalent Manual or automated Applicable part 50 appendix -----------------------------------------------
A B C D E F
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2................ Reference............... Manual................. A-2
Automated.............. A-1 3 3
Equivalent.............. Manual................. A-1 3 3
Automated.............. A-1 3 3 3
CO................. Reference............... Automated.............. C 3 3
Equivalent.............. Manual................. C 3 3
Automated.............. C 3 3 3
O3................. Reference............... Automated.............. D 3 3
Equivalent.............. Manual................. D 3 3
Automated.............. D 3 3 3
NO2................ Reference............... Automated.............. F 3 3
Equivalent.............. Manual................. F 3 3
Automated.............. F 3 3 3
Pb................. Reference............... Manual................. G
Equivalent.............. Manual................. G 3 3
Automated.............. G 3 3
PM 10-Pb........... Reference............... Manual................. Q
Equivalent.............. Manual................. Q 3 3
Automated.............. Q 3 3
PM 10.............. Reference............... Manual................. J 3 3
Equivalent.............. Manual................. J 3 3 3
[[Page 21]]
Automated.............. J 3 3 3
PM 2.5............. Reference............... Manual................. L 3 3
Equivalent Class I...... Manual................. L 3 3 3
Equivalent Class II..... Manual................. L\1\ 3 3\2\ 3 31 2
Equivalent Class III.... Automated.............. L\1\ 3 3 3 31
PM 10 2.5.......... Reference............... Manual................. L, O 3 3
Equivalent Class I...... Manual................. L, O 3 3 3
Equivalent Class II..... Manual................. L, O 3 3\2\ 3 31 2
Equivalent Class III.... Automated.............. L\1\, O\1\ 3 3 3 31
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Some requirements may apply, based on the nature of each particular candidate method, as determined by the Administrator.
2. Alternative Class III requirements may be substituted.
[75 FR 35597, June 22, 2010]
Sec. Appendix A to Subpart A of Part 53--References
(1) American National Standard Quality Systems--Model for Quality
Assurance in Design, Development, Production, Installation, and
Servicing, ANSI/ISO/ASQC Q9001-1994. Available from American Society for
Quality, P.O. Box 3005, Milwaukee, WI 53202 (http://
qualitypress.asq.org).
(2) American National Standard Quality Systems for Environmental
Data and Technology Programs--Requirements with guidance for use, ANSI/
ASQC E4-2004. Available from American Society for Quality P.O. Box 3005,
Milwaukee, WI 53202 (http://qualitypress.asq.org).
(3) Dimensioning and Tolerancing, ASME Y14.5M-1994. Available from
the American Society of Mechanical Engineers, 345 East 47th Street, New
York, NY 10017.
(4) Mathematical Definition of Dimensioning and Tolerancing
Principles, ASME Y14.5.1M-1994. Available from the American Society of
Mechanical Engineers, 345 East 47th Street, New York, NY 10017.
(5) ISO 10012, Quality Assurance Requirements for Measuring
Equipment-Part 1: Meteorological confirmation system for measuring
equipment):1992(E). Available from American Society for Quality Control,
611 East Wisconsin Avenue, Milwaukee, WI 53202.
(6) Quality Assurance Guidance Document 2.12. Monitoring PM
2.5 in Ambient Air Using Designated Reference or Class I
Equivalent Methods. U.S. EPA, National Exposure Research Laboratory,
Research Triangle Park, NC, November 1998 or later edition. Currently
available at http://www.epa.gov/ttn/amtic/pmqainf.html.
[62 FR 38784, July 18, 1997, as amended at 71 FR 61278, Oct. 17, 2006]
Subpart B_Procedures for Testing Performance Characteristics of
Automated Methods for SO2, CO, O3, and NO2
Source: 76 FR 54326, Aug. 31, 2011, unless otherwise noted.
Sec. 53.20 General provisions.
(a) The test procedures given in this subpart shall be used to test
the performance of candidate automated methods against the performance
requirement specifications given in table B-1 to subpart B of part 53. A
test analyzer representative of the candidate automated method must
exhibit performance better than, or not outside, the specified limit or
limits for each such performance parameter specified (except range) to
satisfy the requirements of this subpart. Except as provided in
paragraph (b) of this section, the measurement range of the candidate
method must be the standard range specified in table B-1 to subpart B of
part 53 to satisfy the requirements of this subpart.
(b) Measurement ranges. For a candidate method having more than one
selectable measurement range, one range must be the standard range
specified in table B-1 to subpart B of part 53, and a test analyzer
representative of the method must pass the tests required by this
subpart while operated in that range.
(i) Higher ranges. The tests may be repeated for one or more higher
(broader) ranges (i.e., ranges extending to higher
[[Page 22]]
concentrations) than the standard range specified in table B-1 to
subpart B of part 53, provided that the range does not extend to
concentrations more than four times the upper range limit of the
standard range specified in table B-1 to subpart B of part 53. For such
higher ranges, only the tests for range (calibration), noise at 80% of
the upper range limit, and lag, rise and fall time are required to be
repeated. For the purpose of testing a higher range, the test procedure
of Sec. 53.23(e) may be abridged to include only those components needed
to test lag, rise and fall time.
(ii) Lower ranges. The tests may be repeated for one or more lower
(narrower) ranges (i.e., ones extending to lower concentrations) than
the standard range specified in table B-1 to subpart B of part 53. For
methods for some pollutants, table B-1 to subpart B of part 53 specifies
special performance limit requirements for lower ranges. If special low-
range performance limit requirements are not specified in table B-1 to
subpart B of part 53, then the performance limit requirements for the
standard range apply. For lower ranges for any method, only the tests
for range (calibration), noise at 0% of the measurement range, lower
detectable limit, (and nitric oxide interference for SO2 UVF
methods) are required to be repeated, provided the tests for the
standard range shows the applicable limit specifications are met for the
other test parameters.
(iii) If the tests are conducted and passed only for the specified
standard range, any FRM or FEM determination with respect to the method
will be limited to that range. If the tests are passed for both the
specified range and one or more higher or lower ranges, any such
determination will include the additional higher or lower range(s) as
well as the specified standard range. Appropriate test data shall be
submitted for each range sought to be included in a FRM or FEM method
determination under this paragraph (b).
(c) For each performance parameter (except range), the test
procedure shall be initially repeated seven (7) times to yield 7 test
results. Each result shall be compared with the corresponding
performance limit specification in table B-1 to subpart B of part 53; a
value higher than or outside the specified limit or limits constitutes a
failure. These 7 results for each parameter shall be interpreted as
follows:
(1) Zero (0) failures: The candidate method passes the test for the
performance parameter.
(2) Three (3) or more failures: The candidate method fails the test
for the performance parameter.
(3) One (1) or two (2) failures: Repeat the test procedures for the
performance parameter eight (8) additional times yielding a total of
fifteen (15) test results. The combined total of 15 test results shall
then be interpreted as follows:
(i) One (1) or two (2) failures: The candidate method passes the
test for the performance parameter.
(ii) Three (3) or more failures: The candidate method fails the test
for the performance parameter.
(d) The tests for zero drift, span drift, lag time, rise time, fall
time, and precision shall be carried out in a single integrated
procedure conducted at various line voltages and ambient temperatures
specified in Sec. 53.23(e). A temperature-controlled environmental test
chamber large enough to contain the test analyzer is recommended for
this test. The tests for noise, lower detectable limit, and interference
equivalent shall be conducted at any ambient temperature between 20 C
and 30 C, at any normal line voltage between 105 and 125 volts, and
shall be conducted such that not more than three (3) test results for
each parameter are obtained in any 24-hour period.
(e) If necessary, all measurement response readings to be recorded
shall be converted to concentration units or adjusted according to the
calibration curve constructed in accordance with Sec. 53.21(b).
(f) All recorder chart tracings (or equivalent data plots), records,
test data and other documentation obtained from or pertinent to these
tests shall be identified, dated, signed by the analyst performing the
test, and submitted.
Note to Sec. 53.20: Suggested formats for reporting the test results
and calculations are provided in Figures B-2, B-3, B-4, B-5, and B-6 in
appendix A to this subpart. Symbols and
[[Page 23]]
abbreviations used in this subpart are listed in table B-5 of appendix A
to this subpart.
Sec. 53.21 Test conditions.
(a) Set-up and start-up of the test analyzer shall be in strict
accordance with the operating instructions specified in the manual
referred to in Sec. 53.4(b)(3). Allow adequate warm-up or stabilization
time as indicated in the operating instructions before beginning the
tests. The test procedures assume that the test analyzer has a
conventional analog measurement signal output that is connected to a
suitable strip chart recorder of the servo, null-balance type. This
recorder shall have a chart width of at least 25 centimeters, chart
speeds up to 10 cm per hour, a response time of 1 second or less, a
deadband of not more than 0.25 percent of full scale, and capability
either of reading measurements at least 5 percent below zero or of
offsetting the zero by at least 5 percent. If the test analyzer does not
have an analog signal output, or if a digital or other type of
measurement data output is used for the tests, an alternative
measurement data recording device (or devices) may be used for recording
the test data, provided that the device is reasonably suited to the
nature and purposes of the tests, and an analog representation of the
analyzer measurements for each test can be plotted or otherwise
generated that is reasonably similar to the analog measurement
recordings that would be produced by a conventional chart recorder
connected to a conventional analog signal output.
(b) Calibration of the test analyzer shall be carried out prior to
conducting the tests described in this subpart. The calibration shall be
as indicated in the manual referred to in Sec. 53.4(b)(3) and as
follows: If the chart recorder or alternative data recorder does not
have below zero capability, adjust either the controls of the test
analyzer or the chart or data recorder to obtain a + 5% offset zero
reading on the recorder chart to facilitate observing negative response
or drift. If the candidate method is not capable of negative response,
the test analyzer (not the data recorder) shall be operated with a
similar offset zero. Construct and submit a calibration curve showing a
plot of recorder scale readings or other measurement output readings
(vertical or y-axis) against pollutant concentrations presented to the
analyzer for measurement (horizontal or x-axis). If applicable, a plot
of base analog output units (volts, millivolts, milliamps, etc.) against
pollutant concentrations shall also be obtained and submitted. All such
calibration plots shall consist of at least seven (7) approximately
equally spaced, identifiable points, including 0 and 90 5 percent of
the upper range limit (URL).
(c) Once the test analyzer has been set up and calibrated and the
tests started, manual adjustment or normal periodic maintenance is
permitted only every 3 days. Automatic adjustments which the test
analyzer performs by itself are permitted at any time. The submitted
records shall show clearly when any manual adjustment or periodic
maintenance was made during the tests and describe the specific
operations performed.
(d) If the test analyzer should malfunction during any of the
performance tests, the tests for that parameter shall be repeated. A
detailed explanation of the malfunction, remedial action taken, and
whether recalibration was necessary (along with all pertinent records
and charts) shall be submitted. If more than one malfunction occurs, all
performance test procedures for all parameters shall be repeated.
(e) Tests for all performance parameters shall be completed on the
same test analyzer; however, use of multiple test analyzers to
accelerate testing is permissible for testing additional ranges of a
multi-range candidate method.
Sec. 53.22 Generation of test atmospheres.
(a) Table B-2 to subpart B of part 53 specifies preferred methods
for generating test atmospheres and suggested methods of verifying their
concentrations. Only one means of establishing the concentration of a
test atmosphere is normally required, provided that that means is
adequately accurate and credible. If the method of generation can
produce accurate, reproducible concentrations, verification is optional.
If the method of generation is
[[Page 24]]
not reproducible or reasonably quantifiable, then establishment of the
concentration by some credible verification method is required.
(b) The test atmosphere delivery system shall be designed and
constructed so as not to significantly alter the test atmosphere
composition or concentration during the period of the test. The system
shall be vented to insure that test atmospheres are presented to the
test analyzer at very nearly atmospheric pressure. The delivery system
shall be fabricated from borosilicate glass, FEP Teflon, or other
material that is inert with regard to the gas or gases to be used.
(c) The output of the test atmosphere generation system shall be
sufficiently stable to obtain stable response readings from the test
analyzer during the required tests. If a permeation device is used for
generation of a test atmosphere, the device, as well as the air passing
over it, shall be controlled to 0.1 C.
(d) All diluent air shall be zero air free of contaminants likely to
react with the test atmospheres or cause a detectable response on the
test analyzer.
(e) The concentration of each test atmosphere used shall be
quantitatively established and/or verified before or during each series
of tests. Samples for verifying test concentrations shall be collected
from the test atmosphere delivery system as close as feasible to the
sample intake port of the test analyzer.
(f) The accuracy of all flow measurements used to calculate test
atmosphere concentrations shall be documented and referenced to a
primary flow rate or volume standard (such as a spirometer, bubble
meter, etc.). Any corrections shall be clearly shown. All flow
measurements given in volume units shall be standardized to 25 C and
760 mm Hg.
(g) Schematic drawings, photos, descriptions, and other information
showing complete procedural details of the test atmosphere generation,
verification, and delivery system shall be provided. All pertinent
calculations shall be clearly indicated.
Sec. 53.23 Test procedures.
(a) Range--(1) Technical definition. The nominal minimum and maximum
concentrations that a method is capable of measuring.
Note to Sec. 53.23(a)(1): The nominal range is given as the lower
and upper range limits in concentration units, for example, 0-0.5 parts
per million (ppm).
(2) Test procedure. Determine and submit a suitable calibration
curve, as specified in Sec. 53.21(b), showing the test analyzer's
measurement response over at least 95 percent of the required or
indicated measurement range.
Note to Sec. 53.23(a)(2): A single calibration curve for each
measurement range for which an FRM or FEM designation is sought will
normally suffice.
(b) Noise--(1) Technical definition. Spontaneous, short duration
deviations in measurements or measurement signal output, about the mean
output, that are not caused by input concentration changes. Measurement
noise is determined as the standard deviation of a series of
measurements of a constant concentration about the mean and is expressed
in concentration units.
(2) Test procedure. (i) Allow sufficient time for the test analyzer
to warm up and stabilize. Determine measurement noise at each of two
fixed concentrations, first using zero air and then a pollutant test gas
concentration as indicated below. The noise limit specification in table
B-1 to subpart B of part 53 shall apply to both of these tests.
(ii) For an analyzer with an analog signal output, connect an
integrating-type digital meter (DM) suitable for the test analyzer's
output and accurate to three significant digits, to determine the
analyzer's measurement output signal.
Note to Sec. 53.23(b)(2): Use of a chart recorder in addition to the
DM is optional.
(iii) Measure zero air with the test analyzer for 60 minutes. During
this 60-minute interval, record twenty-five (25) test analyzer
concentration measurements or DM readings at 2-minute intervals. (See
Figure B-2 in appendix A of this subpart.)
(iv) If applicable, convert each DM test reading to concentration
units (ppm) or adjust the test readings (if
[[Page 25]]
necessary) by reference to the test analyzer's calibration curve as
determined in Sec. 53.21(b). Label and record the test measurements or
converted DM readings as r1, r2, r3 . .
. ri . . . r25.
(v) Calculate measurement noise as the standard deviation, S, as
follows:
[GRAPHIC] [TIFF OMITTED] TR31AU11.005
Where i indicates the i-th test measurement or DM reading in ppm.
(vi) Let S at 0 ppm be identified as S0; compare
S0 to the noise limit specification given in table B-1 to
subpart B of part 53.
(vii) Repeat steps in Paragraphs (b)(2)(iii) through (v) of this
section using a pollutant test atmosphere concentration of 80 5 percent
of the URL instead of zero air, and let S at 80 percent of the URL be
identified as S80. Compare S80 to the noise limit
specification given in table B-1 to subpart B of part 53.
(viii) Both S0 and S80 must be less than or
equal to the table B-1 to subpart B of part 53 noise limit specification
to pass the test for the noise parameter.
(c) Lower detectable limit--(1) Technical definition. The minimum
pollutant concentration that produces a measurement or measurement
output signal of at least twice the noise level.
(2) Test procedure. (i) Allow sufficient time for the test analyzer
to warm up and stabilize. Measure zero air and record the stable
measurement reading in ppm as BZ. (See Figure B-3 in appendix
A of this subpart.)
(ii) Generate and measure a pollutant test concentration equal to
the value for the lower detectable limit specified in table B-1 to
subpart B of part 53.
Note to Sec. 53.23(c)(2): If necessary, the test concentration may
be generated or verified at a higher concentration, then quantitatively
and accurately diluted with zero air to the final required test
concentration.
(iii) Record the test analyzer's stable measurement reading, in ppm,
as BL.
(iv) Determine the lower detectable limit (LDL) test result as LDL =
BL ^ BZ. Compare this LDL value with the noise level, S0,
determined in Sec. 53.23(b), for the 0 concentration test atmosphere.
LDL must be equal to or higher than 2 S0 to pass this test.
(d) Interference equivalent--(1) Technical definition. Positive or
negative measurement response caused by a substance other than the one
being measured.
(2) Test procedure. The test analyzer shall be tested for all
substances likely to cause a detectable response. The test analyzer
shall be challenged, in turn, with each potential interfering agent
(interferent) specified in table B-3 to subpart B of part 53. In the
event that there are substances likely to cause a significant
interference which have not been specified in table B-3 to subpart B of
part 53, these substances shall also be tested, in a manner similar to
that for the specified interferents, at a concentration substantially
higher than that likely to be found in the ambient air. The interference
may be either positive or negative, depending on whether the test
analyzer's measurement response is increased or decreased by the
presence of the interferent. Interference equivalents shall be
determined by mixing each interferent, one at a time, with the pollutant
at an interferent test concentration not lower than the test
concentration specified in table B-3 to subpart B of part 53 (or as
otherwise required for unlisted interferents), and comparing the test
analyzer's measurement response to the response caused by the pollutant
alone. Known gas-phase reactions that might occur between a listed
interferent and the pollutant are designated by footnote 3 in table B-3
to subpart B of part 53. In these cases, the interference equivalent
shall be determined without mixing with the pollutant.
[[Page 26]]
(i) Allow sufficient time for warm-up and stabilization of the test
analyzer.
(ii) For a candidate method using a prefilter or scrubber device
based upon a chemical reaction to derive part of its specificity and
which device requires periodic service or maintenance, the test analyzer
shall be ``conditioned'' prior to conducting each interference test
series. This requirement includes conditioning for the NO2
converter in chemiluminescence NO/NO2/NOX
analyzers and for the ozone scrubber in UV-absorption ozone analyzers.
Conditioning is as follows:
(A) Service or perform the indicated maintenance on the scrubber or
prefilter device, as if it were due for such maintenance, as directed in
the manual referred to in Sec. 53.4(b)(3).
(B) Before testing for each potential interferent, allow the test
analyzer to sample through the prefilter or scrubber device a test
atmosphere containing the interferent at a concentration not lower than
the value specified in table B-3 to subpart B of part 53 (or, for
unlisted potential interferents, at a concentration substantially higher
than likely to be found in ambient air). Sampling shall be at the normal
flow rate and shall be continued for 6 continuous hours prior to the
interference test series. Conditioning for all applicable interferents
prior to any of the interference tests is permissible. Also permissible
is simultaneous conditioning with multiple interferents, provided no
interferent reactions are likely to occur in the conditioning system.
(iii) Generate three test atmosphere streams as follows:
(A) Test atmosphere P: Pollutant test concentration.
(B) Test atmosphere I: Interferent test concentration.
(C) Test atmosphere Z: Zero air.
(iv) Adjust the individual flow rates and the pollutant or
interferent generators for the three test atmospheres as follows:
(A) The flow rates of test atmospheres I and Z shall be equal.
(B) The concentration of the pollutant in test atmosphere P shall be
adjusted such that when P is mixed (diluted) with either test atmosphere
I or Z, the resulting concentration of pollutant shall be as specified
in table B-3 to subpart B of part 53.
(C) The concentration of the interferent in test atmosphere I shall
be adjusted such that when I is mixed (diluted) with test atmosphere P,
the resulting concentration of interferent shall be not less than the
value specified in table B-3 to subpart B of part 53 (or as otherwise
required for unlisted potential interferents).
(D) To minimize concentration errors due to flow rate differences
between I and Z, it is recommended that, when possible, the flow rate of
P be from 10 to 20 times larger than the flow rates of I and Z.
(v) Mix test atmospheres P and Z by passing the total flow of both
atmospheres through a (passive) mixing component to insure complete
mixing of the gases.
(vi) Sample and measure the mixture of test atmospheres P and Z with
the test analyzer. Allow for a stable measurement reading, and record
the reading, in concentration units, as R (see Figure B-3).
(vii) Mix test atmospheres P and I by passing the total flow of both
atmospheres through a (passive) mixing component to insure complete
mixing of the gases.
(viii) Sample and measure this mixture of P and I with the test
analyzer. Record the stable measurement reading, in concentration units,
as RI.
(ix) Calculate the interference equivalent (IE) test result as:
IE = RI^R.
IE must be within the limits (inclusive) specified in table B-1 to
subpart B of part 53 for each interferent tested to pass the
interference equivalent test.
(x) Follow steps (iii) through (ix) of this section, in turn, to
determine the interference equivalent for each listed interferent as
well as for any other potential interferents identified.
(xi) For those potential interferents which cannot be mixed with the
pollutant, as indicated by footnote (3) in table B-3 to subpart B of
part 53, adjust the concentration of test atmosphere I to the specified
value without being mixed or diluted by the pollutant test atmosphere.
Determine IE as follows:
(A) Sample and measure test atmosphere Z (zero air). Allow for a
stable
[[Page 27]]
measurement reading and record the reading, in concentration units, as
R.
(B) Sample and measure the interferent test atmosphere I. If the
test analyzer is not capable of negative readings, adjust the analyzer
(not the recorder) to give an offset zero. Record the stable reading in
concentration units as RI, extrapolating the calibration curve, if
necessary, to represent negative readings.
(C) Calculate IE = RI ^ R. IE must be within the limits (inclusive)
specified in table B-1 to subpart B of part 53 for each interferent
tested to pass the interference equivalent test.
(xii) Sum the absolute value of all the individual interference
equivalent test results. This sum must be equal to or less than the
total interferent limit given in table B-1 to subpart B of part 53 to
pass the test.
(e) Zero drift, span drift, lag time, rise time, fall time, and
precision--(1) Technical definitions--(i) Zero drift: The change in
measurement response to zero pollutant concentration over 12- and 24-
hour periods of continuous unadjusted operation.
(ii) Span drift: The percent change in measurement response to an
up-scale pollutant concentration over a 24-hour period of continuous
unadjusted operation.
(iii) Lag time: The time interval between a step change in input
concentration and the first observable corresponding change in
measurement response.
(iv) Rise time: The time interval between initial measurement
response and 95 percent of final response after a step increase in input
concentration.
(v) Fall time: The time interval between initial measurement
response and 95 percent of final response after a step decrease in input
concentration.
(vi) Precision: Variation about the mean of repeated measurements of
the same pollutant concentration, denoted as the standard deviation
expressed as a percentage of the upper range limits.\258\
---------------------------------------------------------------------------
\258\ NO2 precision in Table B-1 is also changed to
percent to agree with the calculation specified in 53.23(e)(10)(vi).
---------------------------------------------------------------------------
(2) Tests for these performance parameters shall be accomplished
over a period of seven (7) or fifteen (15) test days. During this time,
the line voltage supplied to the test analyzer and the ambient
temperature surrounding the analyzer shall be changed from day to day,
as required in paragraph (e)(4) of this section. One test result for
each performance parameter shall be obtained each test day, for seven
(7) or fifteen (15) test days, as determined from the test results of
the first seven days. The tests for each test day are performed in a
single integrated procedure.
(3) The 24-hour test day may begin at any clock hour. The first
approximately 12 hours of each test day are required for testing 12-hour
zero drift. Tests for the other parameters shall be conducted any time
during the remaining 12 hours.
(4) Table B-4 to subpart B of part 53 specifies the line voltage and
room temperature to be used for each test day. The applicant may elect
to specify a wider temperature range (minimum and maximum temperatures)
than the range specified in table B-4 to subpart B of part 53 and to
conduct these tests over that wider temperature range in lieu of the
specified temperature range. If the test results show that all test
parameters of this section Sec. 53.23(e) are passed over this wider
temperature range, a subsequent FRM or FEM designation for the candidate
method based in part on this test shall indicate approval for operation
of the method over such wider temperature range. The line voltage and
temperature shall be changed to the specified values (or to the
alternative, wider temperature values, if applicable) at the start of
each test day (i.e., at the start of the 12-hour zero test). Initial
adjustments (day zero) shall be made at a line voltage of 115 volts
(rms) and a room temperature of 25 C.
(5) The tests shall be conducted in blocks consisting of 3 test days
each until 7 (or 15, if necessary) test results have been obtained. (The
final block may contain fewer than three test days.) Test days need not
be contiguous days, but during any idle time between tests or test days,
the test analyzer must operate continuously and measurements must be
recorded continuously at a low chart speed (or
[[Page 28]]
equivalent data recording) and included with the test data. If a test is
interrupted by an occurrence other than a malfunction of the test
analyzer, only the block during which the interruption occurred shall be
repeated.
(6) During each test block, manual adjustments to the electronics,
gas, or reagent flows or periodic maintenance shall not be permitted.
Automatic adjustments that the test analyzer performs by itself are
permitted at any time.
(7) At least 4 hours prior to the start of the first test day of
each test block, the test analyzer may be adjusted and/or serviced
according to the periodic maintenance procedures specified in the manual
referred to in Sec. 53.4(b)(3). If a new block is to immediately follow
a previous block, such adjustments or servicing may be done immediately
after completion of the day's tests for the last day of the previous
block and at the voltage and temperature specified for that day, but
only on test days 3, 6, 9, and 12.
Note to Sec. 53.23(e)(7): If necessary, the beginning of the test
days succeeding such maintenance or adjustment may be delayed as
required to complete the service or adjustment operation.
(8) All measurement response readings to be recorded shall be
converted to concentration units or adjusted (if necessary) according to
the calibration curve. Whenever a test atmosphere is to be measured but
a stable reading is not required, the test atmosphere shall be sampled
and measured long enough to cause a change in measurement response of at
least 10% of full scale. Identify all readings and other pertinent data
on the strip chart (or equivalent test data record). (See Figure B-1 to
subpart B of part 53 illustrating the pattern of the required readings.)
(9) Test procedure. (i) Arrange to generate pollutant test
atmospheres as follows. Test atmospheres A0, A20,
and A80 shall be maintained consistent during the tests and
reproducible from test day to test day.
------------------------------------------------------------------------
Pollutant concentration
Test atmosphere (percent)
------------------------------------------------------------------------
A0........................................ Zero air.
A20....................................... 20 5 of the upper range
limit.
A30....................................... 30 5 of the upper range
limit.
A80....................................... 80 5 of the upper range
limit.
A90....................................... 90 5 of the upper range
limit.
------------------------------------------------------------------------
(ii) For steps within paragraphs (e)(9)(xxv) through (e)(9)(xxxi) of
this section, a chart speed of at least 10 centimeters per hour (or
equivalent resolution for a digital representation) shall be used to
clearly show changes in measurement responses. The actual chart speed,
chart speed changes, and time checks shall be clearly marked on the
chart.
(iii) Test day 0. Allow sufficient time for the test analyzer to
warm up and stabilize at a line voltage of 115 volts and a room
temperature of 25 C. Adjust the zero baseline to 5 percent of chart
(see Sec. 53.21(b)) and recalibrate, if necessary. No further
adjustments shall be made to the analyzer until the end of the tests on
the third, sixth, ninth, or twelfth test day.
(iv) Measure test atmosphere A0 until a stable
measurement reading is obtained and record this reading (in ppm) as Z'n,
where n = 0 (see Figure B-4 in appendix A of this subpart).
(v) [Reserved]
(vi) Measure test atmosphere A80. Allow for a stable
measurement reading and record it as S'n, where n = 0.
(vii) The above readings for Z'0 and S'0
should be taken at least four (4) hours prior to the beginning of test
day 1.
(viii) At the beginning of each test day, adjust the line voltage
and room temperature to the values given in table B-4 to subpart B of
part 53 (or to the corresponding alternative temperature if a wider
temperature range is being tested).
(ix) Measure test atmosphere A0 continuously for at least
twelve (12) continuous hours during each test day.
(x) After the 12-hour zero drift test (step ix) is complete, sample
test atmosphere A0. A stable reading is not required.
(xi) Measure test atmosphere A20 and record the stable
reading (in ppm) as P1. (See Figure B-4 in appendix A.)
(xii) Sample test atmosphere A30; a stable reading is not
required.
(xiii) Measure test atmosphere A20 and record the stable
reading as P2.
[[Page 29]]
(xiv) Sample test atmosphere A0; a stable reading is not
required.
(xv) Measure test atmosphere A20 and record the stable
reading as P3.
(xvi) Sample test atmosphere A30; a stable reading is not
required.
(xvii) Measure test atmosphere A20 and record the stable
reading as P4.
(xviii) Sample test atmosphere A0; a stable reading is
not required.
(xix) Measure test atmosphere A20 and record the stable
reading as P5.
(xx) Sample test atmosphere A30; a stable reading is not
required.
(xxi) Measure test atmosphere A20 and record the stable
reading as P6.
(xxii) Measure test atmosphere A80 and record the stable
reading as P7.
(xxiii) Sample test atmosphere A90; a stable reading is
not required.
(xxiv) Measure test atmosphere A80 and record the stable
reading as P8. Increase the chart speed to at least 10
centimeters per hour.
(xxv) Measure test atmosphere A0. Record the stable
reading as L1.
(xxvi) Quickly switch the test analyzer to measure test atmosphere
A80 and mark the recorder chart to show, or otherwise record,
the exact time when the switch occurred.
(xxvii) Measure test atmosphere A80 and record the stable
reading as P9.
(xxviii) Sample test atmosphere A90; a stable reading is
not required.
(xxix) Measure test atmosphere A80 and record the stable
reading as P10.
(xxx) Measure test atmosphere A0 and record the stable
reading as L2.
(xxxi) Measure test atmosphere A80 and record the stable
reading as P11.
(xxxii) Sample test atmosphere A90; a stable reading is
not required.
(xxxiii) Measure test atmosphere A80 and record the
stable reading as P12.
(xxxiv) Repeat steps within paragraphs (e)(9)(viii) through
(e)(9)(xxxiii) of this section, each test day.
(xxxv) If zero and span adjustments are made after the readings are
taken on test days 3, 6, 9, or 12, complete all adjustments; then
measure test atmospheres A0 and A80. Allow for a
stable reading on each, and record the readings as Z'n and S'n,
respectively, where n = the test day number (3, 6, 9, or 12). These
readings must be made at least 4 hours prior to the start of the next
test day.
(10) Determine the results of each day's tests as follows. Mark the
recorder chart to show readings and determinations.
(i) Zero drift. (A) Determine the 12-hour zero drift by examining
the strip chart pertaining to the 12-hour continuous zero air test.
Determine the minimum (Cmin.) and maximum (Cmax.) measurement readings
(in ppm) during this period of 12 consecutive hours, extrapolating the
calibration curve to negative concentration units if necessary.
Calculate the 12-hour zero drift (12ZD) as 12ZD = Cmax. ^ Cmin. (See
Figure B-5 in appendix A.)
(B) Calculate the 24-hour zero drift (24ZD) for the n-th test day as
24ZDn = Zn ^ Zn-1, or 24ZDn = Zn ^ Z'n-1 if zero adjustment was made on
the previous test day, where Zn = \1/2\(L1 + L2)
for L1 and L2 taken on the n-th test day.
(C) Compare 12ZD and 24ZD to the zero drift limit specifications in
table B-1 to subpart B of part 53. Both 12ZD and 24ZD must be within the
specified limits (inclusive) to pass the test for zero drift.
(ii) Span drift.
(A) Calculate the span drift (SD) as:
[GRAPHIC] [TIFF OMITTED] TR31AU11.006
or if a span adjustment was made on the previous test day,
[[Page 30]]
[GRAPHIC] [TIFF OMITTED] TR31AU11.007
where
[GRAPHIC] [TIFF OMITTED] TR31AU11.008
n indicates the n-th test day, and i indicates the i-th measurement
reading on the n-th test day.
(B) SD must be within the span drift limits (inclusive) specified in
table B-1 to subpart B of part 53 to pass the test for span drift.
(iii) Lag time. Determine, from the strip chart (or alternative test
data record), the elapsed time in minutes between the change in test
concentration (or mark) made in step (xxvi) and the first observable
(two times the noise level) measurement response. This time must be
equal to or less than the lag time limit specified in table B-1 to
subpart B of part 53 to pass the test for lag time.
(iv) Rise time. Calculate 95 percent of measurement reading
P9 and determine, from the recorder chart (or alternative
test data record), the elapsed time between the first observable (two
times noise level) measurement response and a response equal to 95
percent of the P9 reading. This time must be equal to or less
than the rise time limit specified in table B-1 to subpart B of part 53
to pass the test for rise time.
(v) Fall time. Calculate five percent of (P10 ^
L2) and determine, from the strip chart (or alternative test
record), the elapsed time in minutes between the first observable
decrease in measurement response following reading P10 and a
response equal to L2 + five percent of (P10 ^
L2). This time must be equal to or less than the fall time
limit specification in table B-1 to subpart B of part 53 to pass the
test for fall time.
(vi) Precision. Calculate precision (both P20 and
P80) for each test day as follows:
(A)
[GRAPHIC] [TIFF OMITTED] TR31AU11.009
(B)
[GRAPHIC] [TIFF OMITTED] TR31AU11.010
[[Page 31]]
(C) Both P20 and P80 must be equal to or less
than the precision limits specified in table B-1 to subpart B of part 53
to pass the test for precision.
[76 FR 54326, Aug. 31, 2011, as amended at 80 FR 65460, Oct. 26, 2015]
Sec. Figure B-1 to Subpart B of Part 53--Example
[GRAPHIC] [TIFF OMITTED] TR31AU11.011
Sec. Table B-1 to Subpart B of Part 53--Performance Limit Specifications
for Automated Methods
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2 O3 CO
------------------------------------------------------------------ NO2 Definitions and
Performance parameter Units \1\ Std. Lower Std. Lower Std. Lower (Std. test procedures
range \3\ range 2 3 range \3\ range 2 3 range \3\ range 2 3 range)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Range......................... ppm................. 0-0.5 <0.5 0-0.5 <0.5 0-50 <50 0-0.5 Sec. 53.23(a)
2. Noise......................... ppm................. 0.001 0.0005 0.0025 0.001 0.2 0.1 0.005 Sec. 53.23(b)
3. Lower detectable limit........ ppm................. 0.002 0.001 0.005 0.002 0.4 0.2 0.010 Sec. 53.23(c)
4. Interference equivalent
Each interferent............. ppm................. 0.005 \4\ 0.00 0.005 0.005 1.0 0.5 0.02 Sec. 53.23(d)
5
Total, all interferents...... ppm................. - - - - - - 0.04 Sec. 53.23(d)
5. Zero drift, 12 and 24 hour.... ppm................. 0.004 0.002 0.004 0.002 0.5 0.3 0.02 Sec. 53.23(e)
6. Span drift, 24 hour
20% of upper range limit..... Percent............. - - - - - - 20.0 Sec. 53.23(e)
80% of upper range limit..... Percent............. 3.0 3.0 3.0 3.0 2.0 2.0 5.0 Sec. 53.23(e)
7. Lag time...................... Minutes............. 2 2 2 2 2.0 2.0 20 Sec. 53.23(e)
8. Rise time..................... Minutes............. 2 2 2 2 2.0 2.0 15 Sec. 53.23(e)
9. Fall time..................... Minutes............. 2 2 2 2 2.0 2.0 15 Sec. 53.23(e)
10. Precision
[[Page 32]]
20% of upper range limit..... - - - - - - Sec. 53.23(e)
Percent \5\......... 2 2 2 2 1.0 1.0 4 Sec. 53.23(e)
80% of upper range limit..... - - - - - - Sec. 53.23(e)
Percent \5\......... 2 2 2 2 1.0 1.0 6 Sec. 53.23(e)
Sec. 53.23(e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ To convert from parts per million (ppm) to mg/m\3\ at 25 C and 760 mm Hg, multiply by M/0.02447, where M is the molecular weight of the gas. Percent
means percent of the upper measurement range limit.
\2\ Tests for interference equivalent and lag time do not need to be repeated for any lower range provided the test for the standard range shows that
the lower range specification (if applicable) is met for each of these test parameters.
\3\ For candidate analyzers having automatic or adaptive time constants or smoothing filters, describe their functional nature, and describe and conduct
suitable tests to demonstrate their function aspects and verify that performances for calibration, noise, lag, rise, fall times, and precision are
within specifications under all applicable conditions. For candidate analyzers with operator-selectable time constants or smoothing filters, conduct
calibration, noise, lag, rise, fall times, and precision tests at the highest and lowest settings that are to be included in the FRM or FEM
designation.
\4\ For nitric oxide interference for the SO2 UVF method, interference equivalent is 0.0003 ppm for the lower range.
\5\ Standard deviation expressed as percent of the URL.
[80 FR 65460, Oct. 26, 2015]
Sec. Table B-2 to Subpart B of Part 53--Test Atmospheres
------------------------------------------------------------------------
Test gas Generation Verification
------------------------------------------------------------------------
Ammonia........... Permeation device. Indophenol method,
Similar to system reference 3.
described in references
1 and 2.
Carbon dioxide.... Cylinder of zero air or Use NIST-certified
nitrogen containing CO2 standards whenever
as required to obtain possible. If NIST
the concentration standards are not
specified in table B-3. available, obtain 2
standards from
independent sources
which agree within 2
percent, or obtain one
standard and submit it
to an independent
laboratory for analysis,
which must agree within
2 percent of the
supplier's nominal
analysis.
Carbon monoxide... Cylinder of zero air or Use an FRM CO analyzer as
nitrogen containing CO described in reference
as required to obtain 8.
the concentration
specified in table B-3.
Ethane............ Cylinder of zero air or Gas chromatography, ASTM
nitrogen containing D2820, reference 10. Use
ethane as required to NIST-traceable gaseous
obtain the concentration methane or propane
specified in table B-3. standards for
calibration.
Ethylene.......... Cylinder of pre-purified Do.
nitrogen containing
ethylene as required to
obtain the concentration
specified in table B-3.
Hydrogen chloride. Cylinder \1\ of pre- Collect samples in
purified nitrogen bubbler containing
containing approximately distilled water and
100 ppm of gaseous HCl. analyze by the mercuric
Dilute with zero air to thiocyanate method, ASTM
concentration specified (D612), p. 29, reference
in table B-3. 4.
Hydrogen sulfide.. Permeation device system Tentative method of
described in references analysis for H2S content
1 and 2. of the atmosphere, p.
426, reference 5.
Methane........... Cylinder of zero air Gas chromatography ASTM
containing methane as D2820, reference 10. Use
required to obtain the NIST-traceable methane
concentration specified standards for
in table B-3. calibration.
Nitric oxide...... Cylinder \1\ of pre- Gas phase titration as
purified nitrogen described in reference
containing approximately 6, section 7.1.
100 ppm NO. Dilute with
zero air to required
concentration.
Nitrogen dioxide.. 1. Gas phase titration as 1. Use an FRM NO2
described in reference 6. analyzer calibrated with
2. Permeation device, a gravimetrically
similar to system calibrated permeation
described in reference 6. device.
2. Use an FRM NO2
analyzer calibrated by
gas-phase titration as
described in reference
6.
Ozone............. Calibrated ozone Use an FEM ozone analyzer
generator as described calibrated as described
in reference 9. in reference 9.
Sulfur dioxide.... 1. Permeation device as Use an SO2 FRM or FEM
described in references analyzer as described in
1 and 2. reference 7.
2. Dynamic dilution of a
cylinder containing
approximately 100 ppm
SO2 as described in
Reference 7.
Water............. Pass zero air through Measure relative humidity
distilled water at a by means of a dew-point
fixed known temperature indicator, calibrated
between 20 and 30 C such electrolytic or piezo
that the air stream electric hygrometer, or
becomes saturated. wet/dry bulb
Dilute with zero air to thermometer.
concentration specified
in table B-3.
[[Page 33]]
Xylene............ Cylinder of pre-purified Use NIST-certified
nitrogen containing 100 standards whenever
ppm xylene. Dilute with possible. If NIST
zero air to standards are not
concentration specified available, obtain 2
in table B-3. standards from
independent sources
which agree within 2
percent, or obtain one
standard and submit it
to an independent
laboratory for analysis,
which must agree within
2 percent of the
supplier's nominal
analysis.
Zero air.......... 1. Ambient air purified
by appropriate scrubbers
or other devices such
that it is free of
contaminants likely to
cause a detectable
response on the analyzer.
2. Cylinder of compressed
zero air certified by
the supplier or an
independent laboratory
to be free of
contaminants likely to
cause a detectable
response on the analyzer.
------------------------------------------------------------------------
\1\ Use stainless steel pressure regulator dedicated to the pollutant
measured.
Reference 1. O'Keefe, A. E., and Ortaman, G. C. ``Primary Standards for
Trace Gas Analysis,'' Anal. Chem. 38, 760 (1966).
Reference 2. Scaringelli, F. P., A. E. . Rosenberg, E*, and Bell, J. P.,
``Primary Standards for Trace Gas Analysis.'' Anal. Chem. 42, 871
(1970).
Reference 3. ``Tentative Method of Analysis for Ammonia in the
Atmosphere (Indophenol Method)'', Health Lab Sciences, vol. 10, No. 2,
115-118, April 1973.
Reference 4. 1973 Annual Book of ASTM Standards, American Society for
Testing and Materials, 1916 Race St., Philadelphia, PA.
Reference 5. Methods for Air Sampling and Analysis, Intersociety
Committee, 1972, American Public Health Association, 1015.
Reference 6. 40 CFR 50 Appendix F, ``Measurement Principle and
Calibration Principle for the Measurement of Nitrogen Dioxide in the
Atmosphere (Gas Phase Chemiluminescence).''
Reference 7. 40 CFR 50 Appendix A-1, ``Measurement Principle and
Calibration Procedure for the Measurement of Sulfur Dioxide in the
Atmosphere (Ultraviolet FIuorscence).''
Reference 8. 40 CFR 50 Appendix C, ``Measurement Principle and
Calibration Procedure for the Measurement of Carbon Monoxide in the
Atmosphere (Non-Dispersive Infrared Photometry)''.
Reference 9. 40 CFR 50 Appendix D, ``Measurement Principle and
Calibration Procedure for the Measurement of Ozone in the
Atmosphere''.
Reference 10. ``Standard Test Method for C, through C5 Hydrocarbons in
the Atmosphere by Gas Chromatography'', D 2820, 1987 Annual Book of
Aston Standards, vol 11.03, American Society for Testing and
Materials, 1916 Race St., Philadelphia, PA 19103.
[[Page 34]]
Table B-3 to Subpart B of Part 53--Interferent Test Concentration,\1\
Parts per Million
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Hydro-
Pollutant Analyzer type chloric Ammonia Hydrogen Sulfur Nitrogen Nitric Carbon Ethylene Ozone Mxy- Water Carbon Methane Ethane Naphthalene
acid sulfide dioxide dioxide oxide dioxide lene vapor monoxide
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
SO2.................... Ultraviolet fluorescence..... ....... ....... \5\ 0.1 \4\ 0.1 0.5 0.5 ....... ........ 0.5 0.2 20,000 ........ ....... ...... \6\ 0.05
4
SO2.................... Flame photometric............ ....... ....... 0.01 \4\ 0.1 ........ ...... 750 ........ ...... .... \3\ 20,0 50 ....... ......
4 00
SO2.................... Gas chromatography........... ....... ....... 0.1 \4\ 0.1 ........ ...... 750 ........ ...... .... \3\ 20,0 50 ....... ......
4 00
SO2.................... Spectrophotometric-wet 0.2 0.1 0.1 \4\ 0.1 0.5 ...... 750 ........ 0.5 .... ........ ........ ....... ......
chemical (pararosanaline). 4
SO2.................... Electrochemical.............. 0.2 0.1 0.1 \4\ 0.1 0.5 0.5 ....... 0.2 0.5 .... \3\ 20,0 ........ ....... ......
4 00
SO2.................... Conductivity................. 0.2 0.1 ........ \4\ 0.1 0.5 ...... 750 ........ ...... .... ........ ........ ....... ......
4
SO2.................... Spectrophotometric-gas phase, ....... ....... ........ \4\ 0.1 0.5 ...... ....... ........ 0.5 0.2 ........ ........ ....... ......
including DOAS. 4
O3..................... Chemiluminescent............. ....... ....... \3\ 0.1 ....... ........ ...... 750 ........ \4\ 0. .... \3\ 20,0 ........ ....... ......
08 00
O3..................... Electrochemical.............. ....... \3\ 0.1 ........ 0.5 0.5 ...... ....... ........ \4\ 0. .... ........ ........ ....... ......
08
O3..................... Spectrophotometric-wet ....... \3\ 0.1 ........ 0.5 0.5 \3\ 0. ....... ........ \4\ 0. .... ........ ........ ....... ......
chemical (potassium iodide). 5 08
O3..................... Spectrophotometric-gas phase, ....... ....... ........ 0.5 0.5 0.5 ....... ........ \4\ 0. 0.02 20,000 ........ ....... ......
including ultraviolet 08
absorption and DOAS).
CO..................... Non-dispersive Infrared...... ....... ....... ........ ....... ........ ...... 750 ........ ...... .... 20,000 \4\ 10 ....... ......
CO..................... Gas chromatography with flame ....... ....... ........ ....... ........ ...... ....... ........ ...... .... 20,000 \4\ 10 ....... 0.5
ionization detector.
CO..................... Electrochemical.............. ....... ....... ........ ....... ........ 0.5 ....... 0.2 ...... .... 20,000 \4\ 10 ....... ......
CO..................... Catalytic combustion-thermal ....... 0.1 ........ ....... ........ ...... 750 0.2 ...... .... 20,000 \4\ 10 5.0 0.5
detection.
CO..................... IR fluorescence.............. ....... ....... ........ ....... ........ ...... 750 ........ ...... .... 20,000 \4\ 10 ....... 0.5
CO..................... Mercury replacement-UV ....... ....... ........ ....... ........ ...... ....... 0.2 ...... .... ........ \4\ 10 ....... 0.5
photometric.
NO2.................... Chemiluminescent............. ....... \3\ 0.1 ........ 0.5 \4\ 0.1 0.5 ....... ........ ...... .... 20,000 ........ ....... ......
NO2.................... Spectrophotometric-wet ....... ....... ........ 0.5 \4\ 0.1 0.5 750 ........ 0.5 .... ........ ........ ....... ......
chemical (azo-dye reaction).
NO2.................... Electrochemical.............. 0.2 \3\ 0.1 ........ 0.5 \4\ 0.1 0.5 750 ........ 0.5 .... 20,000 50 ....... ......
NO2.................... Spectrophotometric-gas phase. ....... \3\ 0.1 ........ 0.5 \4\ 0.1 0.5 ....... ........ 0.5 .... 20,000 50 ....... ......
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Concentrations of interferent listed must be prepared and controlled to 10 percent of the stated value.
\2\ Analyzer types not listed will be considered by the Administrator as special cases.
\3\ Do not mix with the pollutant.
\4\ Concentration of pollutant used for test. These pollutant concentrations must be prepared to 10 percent of the stated value.
\5\ If candidate method utilizes an elevated-temperature scrubber for removal of aromatic hydrocarbons, perform this interference test.
\6\ If naphthalene test concentration cannot be accurately quantified, remove the scrubber, use a test concentration that causes a full scale response, reattach the scrubber, and evaluate
response for interference.
[[Page 35]]
Sec. Table B-4 to Subpart B of Part 53--Line Voltage and Room
Temperature Test Conditions
----------------------------------------------------------------------------------------------------------------
Room
Test day Line voltage,\1\ temperature,\2\ Comments
rms C
----------------------------------------------------------------------------------------------------------------
0........................................ 115 25 Initial set-up and adjustments.
1........................................ 125 20
2........................................ 105 20
3........................................ 125 30 Adjustments and/or periodic
maintenance permitted at end of
tests.
4........................................ 105 30
5........................................ 125 20
6........................................ 105 20 Adjustments and/or periodic
maintenance permitted at end of
tests.
7........................................ 125 30 Examine test results to ascertain
if further testing is required.
8........................................ 105 30
9........................................ 125 20 Adjustments and/or periodic
maintenance permitted at end of
tests.
10....................................... 105 20
11....................................... 125 30
12....................................... 105 30 Adjustments and/or periodic
maintenance permitted at end of
tests.
13....................................... 125 20
14....................................... 105 20
15....................................... 125 30
----------------------------------------------------------------------------------------------------------------
\1\ Voltage specified shall be controlled to 1 volt.
\2\ Temperatures shall be controlled to 1 C.
Sec. Table B-5 to Subpart B of Part 53--Symbols and Abbreviations
BL--Analyzer reading at the specified LDL test concentration for the LDL
test.
BZ--analyzer reading at 0 concentration for the LDL test.
DM--Digital meter.
Cmax--Maximum analyzer reading during the 12ZD test period.
Cmin--Minimum analyzer reading during the 12ZD test period.
i--Subscript indicating the i-th quantity in a series.
IE--Interference equivalent.
L1--First analyzer zero reading for the 24ZD test.
L2--Second analyzer zero reading for the 24ZD test.
n--Subscript indicating the test day number.
P--Analyzer reading for the span drift and precision tests.
Pi--The i-th analyzer reading for the span drift and precision tests.
P20--Precision at 20 percent of URL.
P80--Precision at 80 percent of URL.
ppb--Parts per billion of pollutant gas (usually in air), by volume.
ppm--Parts per million of pollutant gas (usually in air), by volume.
R--Analyzer reading of pollutant alone for the IE test.
R1--Analyzer reading with interferent added for the IE test.
ri--the i-th analyzer or DM reading for the noise test.
S--Standard deviation of the noise test readings.
S0--Noise value (S) measured at 0 concentration.
S80--Noise value (S) measured at 80 percent of the URL.
Sn--Average of P7 . . . P12 for the n-th test day
of the SD test.
S'n--Adjusted span reading on the n-th test day.
SD--Span drift
URL--Upper range limit of the analyzer's measurement range.
Z--Average of L1 and L2 readings for the 24ZD
test.
Zn--Average of L1 and L2 readings on the n-th test
day for the 24ZD test.
Z'n--Adjusted analyzer zero reading on the n-the test day for the 24ZD
test.
ZD--Zero drift.
12ZD--12-hour zero drift.
24ZD--24-hour zero drift.
[[Page 36]]
Sec. Appendix A to Subpart B of Part 53--Optional Forms for Reporting
Test Results
[GRAPHIC] [TIFF OMITTED] TR31AU11.013
[GRAPHIC] [TIFF OMITTED] TR31AU11.014
[[Page 37]]
[GRAPHIC] [TIFF OMITTED] TR31AU11.015
[GRAPHIC] [TIFF OMITTED] TR31AU11.016
[[Page 38]]
[GRAPHIC] [TIFF OMITTED] TR31AU11.017
[[Page 39]]
[GRAPHIC] [TIFF OMITTED] TR31AU11.018
Subpart C_Procedures for Determining Comparability Between Candidate
Methods and Reference Methods
Source: 71 FR 61278, Oct. 17, 2006, unless otherwise noted.
Sec. 53.30 General provisions.
(a) Determination of comparability. The test procedures prescribed
in this subpart shall be used to determine if a candidate method is
comparable to a reference method when both methods measure pollutant
concentrations in ambient air. Minor deviations in testing requirements
and acceptance requirements set forth in this subpart, in connection
with any documented extenuating circumstances, may be determined by the
Administrator to be acceptable, at the discretion of the Administrator.
(b) Selection of test sites. (1) Each test site shall be in an area
which can be shown to have at least moderate concentrations of various
pollutants. Each site shall be clearly identified and shall be justified
as an appropriate test site with suitable supporting evidence such as a
description of the surrounding
[[Page 40]]
area, characterization of the sources and pollutants typical in the
area, maps, population density data, vehicular traffic data, emission
inventories, pollutant measurements from previous years, concurrent
pollutant measurements, meteorological data, and other information
useful in supporting the suitability of the site for the comparison test
or tests.
(2) If approval of one or more proposed test sites is desired prior
to conducting the tests, a written request for approval of the test site
or sites must be submitted to the address given in Sec. 53.4. The
request should include information identifying the type of candidate
method and one or more specific proposed test sites along with a
justification for each proposed specific site as described in paragraph
(b)(1) of this section. The EPA will evaluate each proposed site and
approve the site, disapprove the site, or request more information about
the site. Any such pre-test approval of a test site by the EPA shall
indicate only that the site meets the applicable test site requirements
for the candidate method type; it shall not indicate, suggest, or imply
that test data obtained at the site will necessarily meet any of the
applicable data acceptance requirements. The Administrator may exercise
discretion in selecting a different site (or sites) for any additional
tests the Administrator decides to conduct.
(c) Test atmosphere. Ambient air sampled at an appropriate test site
or sites shall be used for these tests. Simultaneous concentration
measurements shall be made in each of the concentration ranges specified
in tables C-1, C-3, or C-4 of this subpart, as appropriate.
(d) Sampling or sample collection. All test concentration
measurements or samples shall be taken in such a way that both the
candidate method and the reference method obtain air samples that are
alike or as nearly identical as practical.
(e) Operation. Set-up and start-up of the test analyzer(s), test
sampler(s), and reference method analyzers or samplers shall be in
strict accordance with the applicable operation manual(s).
(f) Calibration. The reference method shall be calibrated according
to the appropriate appendix to part 50 of this chapter (if it is a
manual method) or according to the applicable operation manual(s) (if it
is an automated method). A candidate method (or portion thereof) shall
be calibrated according to the applicable operation manual(s), if such
calibration is a part of the method.
(g) Submission of test data and other information. All recorder
charts, calibration data, records, test results, procedural descriptions
and details, and other documentation obtained from (or pertinent to)
these tests shall be identified, dated, signed by the analyst performing
the test, and submitted. For candidate methods for PM 2.5 and
PM 10-2.5, all submitted information must meet the
requirements of the ANSI/ASQC E4 Standard, sections 6 (reference 1 of
appendix A of this subpart).
Sec. 53.31 [Reserved]
Sec. 53.32 Test procedures for methods for SO2,
CO, O3, and NO2.
(a) Comparability. Comparability is shown for SO2, CO,
O3, and NO2 methods when the differences between:
(1) Measurements made by a candidate manual method or by a test
analyzer representative of a candidate automated method, and;
(2) Measurements made simultaneously by a reference method are less
than or equal to the values for maximum discrepancy specified in table
C-1 of this subpart.
(b) Test measurements. All test measurements are to be made at the
same test site. If necessary, the concentration of pollutant in the
sampled ambient air may be augmented with artificially generated
pollutant to facilitate measurements in the specified ranges, as
described under paragraph (f)(4) of this section.
(c) Requirements for measurements or samples. All test measurements
made or test samples collected by means of a sample manifold as
specified in paragraph (f)(4) of this section shall be at a room
temperature between 20 and 30 C, and at a line voltage between 105 and
125 volts. All methods shall be calibrated as specified in Sec. 53.30(f)
prior to initiation of the tests.
[[Page 41]]
(d) Set-up and start-up. (1) Set-up and start-up of the test
analyzer, test sampler(s), and reference method shall be in strict
accordance with the applicable operation manual(s). If the test analyzer
does not have an integral strip chart or digital data recorder, connect
the analyzer output to a suitable strip chart or digital data recorder.
This recorder shall have a chart width of at least 25 centimeters, a
response time of 1 second or less, a deadband of not more than 0.25
percent of full scale, and capability of either reading measurements at
least 5 percent below zero or offsetting the zero by at least 5 percent.
Digital data shall be recorded at appropriate time intervals such that
trend plots similar to a strip chart recording may be constructed with a
similar or suitable level of detail.
(2) Other data acquisition components may be used along with the
chart recorder during the conduct of these tests. Use of the chart
recorder is intended only to facilitate visual evaluation of data
submitted.
(3) Allow adequate warmup or stabilization time as indicated in the
applicable operation manual(s) before beginning the tests.
(e) Range. (1) Except as provided in paragraph (e)(2) of this
section, each method shall be operated in the range specified for the
reference method in the appropriate appendix to part 50 of this chapter
(for manual reference methods), or specified in table B-1 of subpart B
of this part (for automated reference methods).
(2) For a candidate method having more than one selectable range,
one range must be that specified in table B-1 of subpart B of this part,
and a test analyzer representative of the method must pass the tests
required by this subpart while operated on that range. The tests may be
repeated for one or more broader ranges (i.e., ones extending to higher
concentrations) than the one specified in table B-1 of subpart B of this
part, provided that such a range does not extend to concentrations more
than four times the upper range limit specified in table B-1 of subpart
B of this part and that the test analyzer has passed the tests required
by subpart B of this part (if applicable) for the broader range. If the
tests required by this subpart are conducted or passed only for the
range specified in table B-1 of subpart B of this part, any equivalent
method determination with respect to the method will be limited to that
range. If the tests are passed for both the specified range and a
broader range (or ranges), any such determination will include the
broader range(s) as well as the specified range. Appropriate test data
shall be submitted for each range sought to be included in such a
determination.
(f) Operation of automated methods. (1) Once the test analyzer has
been set up and calibrated and tests started, manual adjustment or
normal periodic maintenance, as specified in the manual referred to in
Sec. 53.4(b)(3), is permitted only every 3 days. Automatic adjustments
which the test analyzer performs by itself are permitted at any time.
The submitted records shall show clearly when manual adjustments were
made and describe the operations performed.
(2) All test measurements shall be made with the same test analyzer;
use of multiple test analyzers is not permitted. The test analyzer shall
be operated continuously during the entire series of test measurements.
(3) If a test analyzer should malfunction during any of these tests,
the entire set of measurements shall be repeated, and a detailed
explanation of the malfunction, remedial action taken, and whether
recalibration was necessary (along with all pertinent records and
charts) shall be submitted.
(4) Ambient air shall be sampled from a common intake and
distribution manifold designed to deliver homogenous air samples to both
methods. Precautions shall be taken in the design and construction of
this manifold to minimize the removal of particulate matter and trace
gases, and to insure that identical samples reach the two methods. If
necessary, the concentration of pollutant in the sampled ambient air may
be augmented with artificially generated pollutant. However, at all
times the air sample measured by the candidate and reference methods
under test shall consist of not less than 80 percent ambient air by
volume.
[[Page 42]]
Schematic drawings, physical illustrations, descriptions, and complete
details of the manifold system and the augmentation system (if used)
shall be submitted.
(g) Tests. (1) Conduct the first set of simultaneous measurements
with the candidate and reference methods:
(i) Table C-1 of this subpart specifies the type (1-or 24-hour) and
number of measurements to be made in each of the three test
concentration ranges.
(ii) The pollutant concentration must fall within the specified
range as measured by the reference method.
(iii) The measurements shall be made in the sequence specified in
table C-2 of this subpart.
(2) For each pair of measurements, determine the difference
(discrepancy) between the candidate method measurement and reference
method measurement. A discrepancy which exceeds the discrepancy
specified in table C-1 of this subpart constitutes a failure. Figure C-1
of this subpart contains a suggested format for reporting the test
results.
(3) The results of the first set of measurements shall be
interpreted as follows:
(i) Zero failures: The candidate method passes the test for
comparability.
(ii) Three or more failures: The candidate method fails the test for
comparability.
(iii) One or two failures: Conduct a second set of simultaneous
measurements as specified in table C-1 of this subpart. The results of
the combined total of first-set and second-set measurements shall be
interpreted as follows:
(A) One or two failures: The candidate method passes the test for
comparability.
(B) Three or more failures: The candidate method fails the test for
comparability.
(iv) For SO2, the 1-hour and 24-hour measurements shall
be interpreted separately, and the candidate method must pass the tests
for both 1- and 24-hour measurements to pass the test for comparability.
(4) A 1-hour measurement consists of the integral of the
instantaneous concentration over a 60-minute continuous period divided
by the time period. Integration of the instantaneous concentration may
be performed by any appropriate means such as chemical, electronic,
mechanical, visual judgment, or by calculating the mean of not less than
12 equally-spaced instantaneous readings. Appropriate allowances or
corrections shall be made in cases where significant errors could occur
due to characteristic lag time or rise/fall time differences between the
candidate and reference methods. Details of the means of integration and
any corrections shall be submitted.
(5) A 24-hour measurement consists of the integral of the
instantaneous concentration over a 24-hour continuous period divided by
the time period. This integration may be performed by any appropriate
means such as chemical, electronic, mechanical, or by calculating the
mean of twenty-four (24) sequential 1-hour measurements.
(6) For O3 and CO, no more than six 1-hour measurements
shall be made per day. For SO2, no more than four 1-hour
measurements or one 24-hour measurement shall be made per day. One-hour
measurements may be made concurrently with 24-hour measurements if
appropriate.
(7) For applicable methods, control or calibration checks may be
performed once per day without adjusting the test analyzer or method.
These checks may be used as a basis for a linear interpolation-type
correction to be applied to the measurements to correct for drift. If
such a correction is used, it shall be applied to all measurements made
with the method, and the correction procedure shall become a part of the
method.
[62 FR 38784, July 18, 1997, as amended at 75 FR 35601, June 22, 2010;
80 FR 65466, Oct. 26, 2015]
Sec. 53.33 Test Procedure for Methods for Lead (Pb).
(a) General. The reference method for Pb in TSP includes two parts,
the reference method for high-volume sampling of TSP as specified in 40
CFR 50, appendix B and the analysis method for Pb in TSP as specified in
40 CFR 50, appendix G. Correspondingly, the reference method for Pb in
PM 10 includes the reference method for low-volume
[[Page 43]]
sampling of PM 10 in 40 CFR 50, appendix O and the analysis
method of Pb in PM 10 as specified in 40 CFR 50, appendix Q.
This section explains the procedures for demonstrating the equivalence
of either a candidate method for Pb in TSP to the high-volume reference
methods, or a candidate method for Pb in PM 10 to the low-
volume reference methods.
(1) Pb in TSP--A candidate method for Pb in TSP specifies reporting
of Pb concentrations in terms of standard temperature and pressure.
Comparisons of candidate methods to the reference method in 40 CFR 50,
appendix G must be made in a consistent manner with regard to
temperature and pressure.
(2) Pb in PM 10--A candidate method for Pb in PM
10 must specify reporting of Pb concentrations in terms of
local conditions of temperature and pressure, which will be compared to
similarly reported concentrations from the reference method in 40 CFR 50
appendix Q.
(b) Comparability. Comparability is shown for Pb methods when the
differences between:
(1) Measurements made by a candidate method, and
(2) Measurements made by the reference method on simultaneously
collected Pb samples (or the same sample, if applicable), are less than
or equal to the values specified in table C-3 of this subpart.
(c) Test measurements. Test measurements may be made at any number
of test sites. Augmentation of pollutant concentrations is not
permitted, hence an appropriate test site or sites must be selected to
provide Pb concentrations in the specified range.
(d) Collocated samplers. The ambient air intake points of all the
candidate and reference method collocated samplers shall be positioned
at the same height above the ground level, and between 2 meters (1 meter
for samplers with flow rates less than 200 liters per minute (L/min))
and 4 meters apart. The samplers shall be oriented in a manner that will
minimize spatial and wind directional effects on sample collection.
(e) Sample collection. Collect simultaneous 24-hour samples of Pb at
the test site or sites with both the reference and candidate methods
until at least 10 sample pairs have been obtained.
(1) A candidate method for Pb in TSP which employs a sampler and
sample collection procedure that are identical to the sampler and sample
collection procedure specified in the reference method in 40 CFR part
50, Appendix B, but uses a different analytical procedure than specified
in 40 CFR Appendix G, may be tested by analyzing pairs of filter strips
taken from a single TSP reference sampler operated according to the
procedures specified by that reference method.
(2) A candidate method for Pb in PM 10 which employs a
sampler and sample collection procedure that are identical to the
sampler and sample collection procedure specified in the reference
method in 40 CFR part 50, Appendix O, but uses a different analytical
procedure than specified in 40 CFR Appendix Q, requires the use of two
PM 10 reference samplers because a single 46.2-mm filter from
a reference sampler may not be divided prior to analysis. It is possible
to analyze a 46.2-mm filter first with the non-destructive X-ray
Fluorescence (XRF) FRM and subsequently extract the filter for other
analytical techniques. If the filter is subject to XRF with subsequent
extraction for other analyses, then a single PM 10 reference
sampler may be used for sample collection.
(3) A candidate method for Pb in TSP or Pb in PM 10 which
employs a direct reading (e.g., continuous or semi-continuous sampling)
method that uses the same sampling inlet and flow rate as the FRM and
the same or different analytical procedure may be tested. The direct
measurements are then aggregated to 24-hour equivalent concentrations
for comparison with the FRM. For determining precision in section (k),
two collocated direct reading devices must be used.
(f) Audit samples. Three audit samples must be obtained from the
address given in Sec. 53.4(a). For Pb in TSP collected by the high-
volume sampling method, the audit samples are \3/4\ 8-inch glass fiber
strips containing known amounts of Pb in micrograms per strip (mg/strip)
equivalent to the following nominal percentages of the
[[Page 44]]
National Ambient Air Quality Standard (NAAQS): 30%, 100%, and 250%. For
Pb in PM 10 collected by the low-volume sampling method, the
audit samples are 46.2-mm polytetrafluorethylene (PTFE) filters
containing known amounts of Pb in micrograms per filter (mg/filter)
equivalent to the same percentages of the NAAQS: 30%, 100%, and 250%.
The true amount of Pb (Tqi), in total mg/strip (for TSP) or total mg/
filter (for PM 10), will be provided for each audit sample.
(g) Filter analysis. (1) For both the reference method samples (e)
and the audit samples (f), analyze each filter or filter extract three
times in accordance with the reference method analytical procedure. This
applies to both the Pb in TSP and Pb in PM 10 methods. The
analysis of replicates should not be performed sequentially, i.e., a
single sample should not be analyzed three times in sequence. Calculate
the indicated Pb concentrations for the reference method samples in
micrograms per cubic meter (mg/m\3\) for each analysis of each filter.
Calculate the indicated total Pb amount for the audit samples in mg/
strip for each analysis of each strip or mg/filter for each analysis of
each audit filter. Label these test results as R1A,
R1B, R1C, R2A, R2B, etc.,
Q1A, Q1B, Q1C, etc., where R denotes
results from the reference method samples; Q denotes results from the
audit samples; 1, 2, 3 indicate the filter number, and A, B, C indicate
the first, second, and third analysis of each filter, respectively.
(2) For the candidate method samples, analyze each sample filter or
filter extract three times and calculate, in accordance with the
candidate method, the indicated Pb concentration in mg/m \3\ for each
analysis of each filter. The analysis of replicates should not be
performed sequentially. Label these test results as C1A,
C1B, C2C, etc., where C denotes results from the
candidate method. For candidate methods which provide a direct reading
or measurement of Pb concentrations without a separable procedure,
C1A = C1B = C1C, C2A =
C2B = C2C, etc.
(h) Average Pb concentration. For the reference method, calculate
the average Pb concentration for each filter by averaging the
concentrations calculated from the three analyses as described in (g)(1)
using equation 1 of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.003
Where, i is the filter number.
(i) Analytical Bias. (1) For the audit samples, calculate the
average Pb concentration for each strip or filter analyzed by the
reference method by averaging the concentrations calculated from the
three analyses as described in (g)(1) using equation 2 of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.004
Where, i is audit sample number.
(2) Calculate the percent difference (Dq) between the
average Pb concentration for each audit sample and the true Pb
concentration (Tq) using equation 3 of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.005
(3) If any difference value (Dqi) exceeds 5 percent, the
bias of the reference method analytical procedure is out-of-control.
Corrective action must be taken to determine the source of the error(s)
(e.g., calibration standard discrepancies, extraction problems, etc.)
and the reference method and audit sample determinations must be
repeated according to paragraph (g) of this section, or the entire test
procedure (starting with paragraph (e) of this section) must be
repeated.
(j) Acceptable filter pairs. Disregard all filter pairs for which
the Pb concentration, as determined in paragraph (h) of this section by
the average of the three reference method determinations, falls outside
the range of 30% to 250% of the Pb NAAQS level in mg/m\3\ for Pb in both
TSP and PM 10. All remaining filter pairs must be subjected
to the tests for precision and comparability in paragraphs (k) and (l)
of this section. At
[[Page 45]]
least five filter pairs must be within the specified concentration range
for the tests to be valid.
(k) Test for precision. (1) Calculate the precision (P) of the
analysis (in percent) for each filter and for each method, as the
maximum minus the minimum divided by the average of the three
concentration values, using equation 4 or equation 5 of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.006
Where, i indicates the filter number.
(2) If a direct reading candidate method is tested, the precision is
determined from collocated devices using equation 5 above.
(3) If any reference method precision value (PRi) exceeds
15 percent, the precision of the reference method analytical procedure
is out-of-control. Corrective action must be taken to determine the
source(s) of imprecision, and the reference method determinations must
be repeated according to paragraph (g) of this section, or the entire
test procedure (starting with paragraph (e) of this section) must be
repeated.
(4) If any candidate method precision value (PCi) exceeds
15 percent, the candidate method fails the precision test.
(5) The candidate method passes this test if all precision values
(i.e., all PRi's and all PCi's) are less than 15
percent.
(l) Test for comparability. (1) For each filter or analytical sample
pair, calculate all nine possible percent differences (D) between the
reference and candidate methods, using all nine possible combinations of
the three determinations (A, B, and C) for each method using equation 6
of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.007
Where, i is the filter number, and n numbers from 1 to 9 for the nine
possible difference combinations for the three determinations
for each method (j = A, B, C, candidate; k = A, B, C,
reference).
(2) If none of the percent differences (D) exceeds 20 percent, the
candidate method passes the test for comparability.
(3) If one or more of the percent differences (D) exceed 20
percent, the candidate method fails the test for comparability.
(4) The candidate method must pass both the precision test
(paragraph (k) of this section) and the comparability test (paragraph
(l) of this section) to qualify for designation as an equivalent method.
(m) Method Detection Limit (MDL). Calculate the estimated MDL using
the guidance provided in 40 CFR, Part 136 Appendix B. It is essential
that all sample processing steps of the analytical method be included in
the determination of the method detection limit. Take a minimum of seven
blank filters from each lot to be used and calculate the detection limit
by processing each through the entire candidate analytical method. Make
all computations according to the defined method with the final results
in mg/m\3\. The MDL of the candidate method must be equal to, or less
than 5% of the level of the Pb NAAQS.
[73 FR 67057, Nov. 12, 2008]
Sec. 53.34 Test procedure for methods for PM 10 and Class I methods
for PM 2.5.
(a) Comparability. Comparability is shown for PM 10
methods and for Class I methods for PM 2.5 when the
relationship between:
(1) Measurements made by a candidate method, and
(2) Measurements made by a corresponding reference method on
simultaneously collected samples (or the same sample, if applicable) at
each of one or more test sites (as required) is
[[Page 46]]
such that the linear regression parameters (slope, intercept, and
correlation coefficient) describing the relationship meet the
requirements specified in table C-4 of this subpart.
(b) Methods for PM10. Test measurements must be made, or derived
from particulate samples collected, at not less than two test sites,
each of which must be located in a geographical area characterized by
ambient particulate matter that is significantly different in nature and
composition from that at the other test site(s). Augmentation of
pollutant concentrations is not permitted, hence appropriate test sites
must be selected to provide the minimum number of test PM 10
concentrations in the ranges specified in table C-4 of this subpart. The
tests at the two sites may be conducted in different calendar seasons,
if appropriate, to provide PM 10 concentrations in the
specified ranges.
(c) PM10 methods employing the same sampling procedure as the
reference method but a different analytical method. Candidate methods
for PM 10 which employ a sampler and sample collection
procedure that are identical to the sampler and sample collection
procedure specified in the reference method, but use a different
analytical procedure, may be tested by analyzing common samples. The
common samples shall be collected according to the sample collection
procedure specified by the reference method and shall be analyzed in
accordance with the analytical procedures of both the candidate method
and the reference method.
(d) Methods for PM2.5. Augmentation of pollutant concentrations is
not permitted, hence appropriate test sites must be selected to provide
the minimum number of test measurement sets to meet the requirements for
PM 2.5 concentrations in the ranges specified in table C-4 of
this subpart. Only one test site is required, and the site need only
meet the PM 2.5 ambient concentration levels required by
table C-4 of this subpart and the requirements of Sec. 53.30(b) of this
subpart. A total of 10 valid measurement sets is required.
(e) Collocated measurements. (1) Set up three reference method
samplers collocated with three candidate method samplers or analyzers at
each of the number of test sites specified in table C-4 of this subpart.
(2) The ambient air intake points of all the candidate and reference
method collocated samplers or analyzers shall be positioned at the same
height above the ground level, and between 2 meters (1 meter for
samplers or analyzers with flow rates less than 200 L/min) and 4 meters
apart. The samplers shall be oriented in a manner that will minimize
spatial and wind directional effects on sample collection.
(3) At each site, obtain as many sets of simultaneous PM
10 or PM 2.5 measurements as necessary (see table
C-4 of this subpart), each set consisting of three reference method and
three candidate method measurements, all obtained simultaneously.
(4) Candidate PM 10 method measurements shall be nominal
24-hour (1 hour) integrated measurements or shall be averaged to obtain
the mean concentration for a nominal 24-hour period. PM 2.5
measurements may be either nominal 24-or 48-hour integrated
measurements. All collocated measurements in a measurement set must
cover the same nominal 24-or 48-hour time period.
(5) For samplers, retrieve the samples promptly after sample
collection and analyze each sample according to the reference method or
candidate method, as appropriate, and determine the PM 10 or
PM 2.5 concentration in mg/m\3\. If the conditions of
paragraph (c) of this section apply, collect sample sets only with the
three reference method samplers. Guidance for quality assurance
procedures for PM 2.5 methods is found in ``Quality Assurance
Document 2.12'' (reference (2) in appendix A to this subpart).
(f) Sequential samplers. For sequential samplers, the sampler shall
be configured for the maximum number of sequential samples and shall be
set for automatic collection of all samples sequentially such that the
test samples are collected equally, to the extent possible, among all
available sequential channels or utilizing the full available sequential
capability.
(g) Calculation of reference method averages and precisions. (1) For
each of the measurement sets, calculate the
[[Page 47]]
average PM 10 or PM 2.5 concentration obtained
with the reference method samplers, using equation 7 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.021
Where:
R = The concentration measurements from the reference methods;
i = The sampler number; and
j = The measurement set number.
(2) For each of the measurement sets, calculate the precision of the
reference method PM 10 or PM 2.5 measurements as
the standard deviation, PRj, using equation 8 of this
section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.022
(3) For each measurement set, also calculate the precision of the
reference method PM 10 or PM 2.5 measurements as
the relative standard deviation, RPRj, in percent, using
equation 9 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.023
(h) Acceptability of measurement sets. Each measurement set is
acceptable and valid only if the three reference method measurements and
the three candidate method measurements are obtained and are valid,
Rj falls within the acceptable concentration range specified
in table C-4 of this subpart, and either PRj or
RPRj is within the corresponding limit for reference method
precision specified in table C-4 of this subpart. For each site, table
C-4 of this subpart specifies the minimum number of measurement sets
required having Rj above and below specified concentrations
for 24- or 48-hour samples. Additional measurement sets shall be
obtained, as necessary, to provide the minimum number of acceptable
measurement sets for each category and the minimum total number of
acceptable measurement sets for each test site. If more than the minimum
number of measurement sets are collected that meet the acceptability
criteria, all such measurement sets shall be used to demonstrate
comparability.
(i) Candidate method average concentration measurement. For each of
the acceptable measurement sets, calculate the average PM 10
or PM 2.5 concentration measurements obtained with the
candidate method samplers, using equation 10 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.024
Where:
C = The concentration measurements from the candidate methods;
i = The measurement number in the set; and
j = The measurement set number.
(j) Test for comparability. (1) For each site, plot all of the
average PM 10 or PM 2.5 measurements obtained with
the candidate method (Cj) against the corresponding average
PM 10 or PM 2.5 measurements obtained with the
reference method (Rj. For each site, calculate and record the
linear regression slope and intercept, and the correlation coefficient.
(2) To pass the test for comparability, the slope, intercept, and
correlation coefficient calculated under paragraph (j)(1) of this
section must be within the limits specified in table C-4 of this subpart
for all test sites.
Sec. 53.35 Test procedure for Class II and Class III methods for
PM 2.5 and PM -2.5.
(a) Overview. Class II and Class III candidate equivalent methods
shall be tested for comparability of PM 2.5 or PM
10-2.5 measurements to corresponding collocated PM
2.5 or PM 10-2.5 reference method measurements at
each of multiple field sites, as required.
[[Page 48]]
Comparability is shown for the candidate method when simultaneous
collocated measurements made by candidate and reference methods meet the
comparability requirements specified in this section Sec. 53.35 and in
table C-4 of this subpart at each of the required test sites.
(b) Test sites and seasons. A summary of the test site and seasonal
testing requirements is presented in table C-5 of this subpart.
(1) Test sites. Comparability testing is required at each of the
applicable U.S. test sites required by this paragraph (b). Each test
site must also meet the general test site requirements specified in
Sec. 53.30(b).
(i) PM2.5 Class II and Class III candidate methods. Test sites
should be chosen to provide representative chemical and meteorological
characteristics with respect to nitrates, sulfates, organic compounds,
and various levels of temperature, humidity, wind, and elevation. For
Class III methods, one test site shall be selected in each of the
following four general locations (A, B, C, and D). For Class II methods,
two test sites, one western site (A or B) and one midwestern or eastern
site (C or D), shall be selected from these locations.
(A) Test site A shall be in the Los Angeles basin or California
Central Valley area in a location that is characterized by relatively
high PM 2.5, nitrates, and semi-volatile organic pollutants.
(B) Test site B shall be in a western city such as Denver, Salt Lake
City, or Albuquerque in an area characterized by cold weather, higher
elevation, winds, and dust.
(C) Test site C shall be in a midwestern city characterized by
substantial temperature variation, high nitrates, and wintertime
conditions.
(D) Test site D shall be in a northeastern or mid-Atlantic city that
is seasonally characterized by high sulfate concentrations and high
relative humidity.
(ii) PM10^2.5 Class II and Class III candidate methods. Test sites
shall be chosen to provide modest to high levels of PM 10-2.5
representative of locations in proximity to urban sources of PM
10-2.5 such as high-density traffic on paved roads,
industrial sources, and construction activities. For Class III methods,
one test site shall be selected in each of the four following general
locations (A, B, C, and D), and at least one of the test sites shall
have characteristic wintertime temperatures of 0 C or lower. For Class
II methods, two test sites, one western site (A or B) and one midwestern
or eastern site (C or D), shall be selected from these locations.
(A) Test site A shall be in the Los Angeles basin or the California
Central Valley area in a location that is characterized by relatively
high PM 2.5, nitrates, and semi-volatile organic pollutants.
(B) Test site B shall be in a western city characterized by a high
ratio of PM 10-2.5 to PM 2.5, with exposure to
windblown dust, such as Las Vegas or Phoenix.
(C) Test site C shall be in a midwestern city characterized by
substantial temperature variation, high nitrates, and wintertime
conditions.
(D) Test site D shall be in a large city east of the Mississippi
River, having characteristically high sulfate concentrations and high
humidity levels.
(2) Test seasons. (i) For PM 2.5 and PM 10-2.5
Class III candidate methods, test campaigns are required in both summer
and winter seasons at test site A, in the winter season only at test
sites B and C, and in the summer season only at test site D. (A total of
five test campaigns is required.) The summer season shall be defined as
the typically warmest three or four months of the year at the site; the
winter season shall be defined as the typically coolest three or four
months of the year at the site.
(ii) For Class II PM 2.5 and PM 10-2.5
candidate methods, one test campaign is required at test site A or B and
a second test campaign at test site C or D (total of two test
campaigns).
(3) Test concentrations. The test sites should be selected to
provide ambient concentrations within the concentration limits specified
in table C-4 of this subpart, and also to provide a wide range of test
concentrations. A narrow range of test concentrations may result in a
low concentration coefficient of variation statistic for the test
measurements, making the test for correlation coefficient more difficult
to pass
[[Page 49]]
(see paragraph (h) of this section, test for comparison correlation).
(4) Pre-approval of test sites. The EPA recommends that the
applicant seek EPA approval of each proposed test site prior to
conducting test measurements at the site. To do so, the applicant should
submit a request for approval as described in Sec. 53.30(b)(2).
(c) Collocated measurements. (1) For each test campaign, three
reference method samplers and three candidate method samplers or
analyzers shall be installed and operated concurrently at each test site
within each required season (if applicable), as specified in paragraph
(b) of this section. All reference method samplers shall be of single-
filter design (not multi-filter, sequential sample design). Each
candidate method shall be setup and operated in accordance with its
associated manual referred to in Sec. 53.4(b)(3) and in accordance with
applicable guidance in ``Quality Assurance Document 2.12'' (reference
(2) in appendix A to this subpart). All samplers or analyzers shall be
placed so that they sample or measure air representative of the
surrounding area (within one kilometer) and are not unduly affected by
adjacent buildings, air handling equipment, industrial operations,
traffic, or other local influences. The ambient air inlet points of all
samplers and analyzers shall be positioned at the same height above the
ground level and between 2 meters (1 meter for instruments having sample
inlet flow rates less than 200 L/min) and 4 meters apart.
(2) A minimum of 23 valid and acceptable measurement sets of PM
2.5 or PM 10-2.5 24-hour (nominal) concurrent
concentration measurements shall be obtained during each test campaign
at each test site. To be considered acceptable for the test, each
measurement set shall consist of at least two valid reference method
measurements and at least two valid candidate method measurements, and
the PM 2.5 or PM 10-2.5 measured concentration, as
determined by the average of the reference method measurements, must
fall within the acceptable concentration range specified in table C-4 of
this subpart. Each measurement set shall include all valid measurements
obtained. For each measurement set containing fewer than three reference
method measurements or fewer than three candidate method measurements,
an explanation and appropriate justification shall be provided to
account for the missing measurement or measurements.
(3) More than 23 valid measurement sets may be obtained during a
particular test campaign to provide a more advantageous range of
concentrations, more representative conditions, additional higher or
lower measurements, or to otherwise improve the comparison of the
methods. All valid data sets obtained during each test campaign shall be
submitted and shall be included in the analysis of the data.
(4) The integrated-sample reference method measurements shall be of
at least 22 hours and not more than 25 hours duration. Each reference
method sample shall be retrieved promptly after sample collection and
analyzed according to the reference method to determine the PM
2.5 or PM 10-2.5 measured concentration in mg/
m\3\. Guidance and quality assurance procedures applicable to PM
2.5 or PM 10-2.5 reference methods are found in
``Quality Assurance Document 2.12'' (reference (2) in appendix A to this
subpart).
(5) Candidate method measurements shall be timed or processed and
averaged as appropriate to determine an equivalent mean concentration
representative of the same time period as that of the concurrent
integrated-sample reference method measurements, such that all
measurements in a measurement set shall be representative of the same
time period. In addition, hourly average concentration measurements
shall be obtained from each of the Class III candidate method analyzers
for each valid measurement set and submitted as part of the application
records.
(6) In the following tests, all measurement sets obtained at a
particular test site, from both seasonal campaigns if applicable, shall
be combined and included in the test data analysis for the site. Data
obtained at different test sites shall be analyzed separately. All
measurements should be reported as
[[Page 50]]
normally obtained, and no measurement values should be rounded or
truncated prior to data analysis. In particular, no negative measurement
value, if otherwise apparently valid, should be modified, adjusted,
replaced, or eliminated merely because its value is negative. Calculated
mean concentrations or calculated intermediate quantities should retain
at least one order-of-magnitude greater resolution than the input
values. All measurement data and calculations shall be recorded and
submitted in accordance with Sec. 53.30(g), including hourly test
measurements obtained from Class III candidate methods.
(d) Calculation of mean concentrations--(1) Reference method outlier
test. For each of the measurement sets for each test site, check each
reference method measurement to see if it might be an anomalous value
(outlier) as follows, where Ri,j is the measurement of
reference method sampler i on test day j. In the event that one of the
reference method measurements is missing or invalid due to a specific,
positively-identified physical cause (e.g., sampler malfunction,
operator error, accidental damage to the filter, etc.; see paragraph
(c)(2) of this section), then substitute zero for the missing
measurement, for the purposes of this outlier test only.
(i) Calculate the quantities 2 R1,j/(R1,j +
R2,j) and 2 R1,j/(R1,j +
R3,j). If both quantities fall outside of the interval,
(0.93, 1.07), then R1,j is an outlier.
(ii) Calculate the quantities 2 R2,j/(R2,j +
R1,j) and 2 R2,j/(R2,j +
R3,j). If both quantities fall outside of the interval,
(0.93, 1.07), then R2,j is an outlier.
(iii) Calculate the quantities 2 R3,j/(R3,j
+ R1,j) and 2 R3,j/(R3,j +
R2,j). If both quantities fall outside of the interval,
(0.93, 1.07), then R3,j is an outlier.
(iv) If this test indicates that one of the reference method
measurements in the measurement set is an outlier, the outlier
measurement shall be eliminated from the measurement set, and the other
two measurements considered valid. If the test indicates that more than
one reference method measurement in the measurement set is an outlier,
the entire measurement set (both reference and candidate method
measurements) shall be excluded from further data analysis for the tests
of this section.
(2) For each of the measurement sets for each test site, calculate
the mean concentration for the reference method measurements, using
equation 11 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.025
Where:
Rj = The mean concentration measured by the reference method
for the measurement set;
Ri,j = The measurement of reference method sampler i on test
day j; and
n = The number of valid reference method measurements in the measurement
set (normally 3).
(3) Any measurement set for which Rj does not fall in the
acceptable concentration range specified in table C-4 of this subpart is
not valid, and the entire measurement set (both reference and candidate
method measurements) must be eliminated from further data analysis.
(4) For each of the valid measurement sets at each test site,
calculate the mean concentration for the candidate method measurements,
using equation 12 of this section. (The outlier test in paragraph (d)(1)
of this section shall not be applied to the candidate method
measurements.)
[GRAPHIC] [TIFF OMITTED] TR41AD07.000
Where:
Cj = The mean concentration measured by the candidate method
for the measurement set;
Ci,j = The measurement of the candidate method sampler or
analyzer i on test day j; and
m = The number of valid candidate method measurements in the measurement
set (normally 3).
(e) Test for reference method precision. (1) For each of the
measurement sets
[[Page 51]]
for each site, calculate an estimate for the relative precision of the
reference method measurements, RPj, using equation 13 of this
section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.001
(2) For each site, calculate an estimate of reference method
relative precision for the site, RP, using the root mean square
calculation of equation 14 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.028
Where, J is the total number of valid measurement sets for the site.
(3) Verify that the estimate for reference method relative precision
for the site, RP, is not greater than the value specified for reference
method precision in table C-4 of this subpart. A reference method
relative precision greater than the value specified in table C-4 of this
subpart indicates that quality control for the reference method is
inadequate, and corrective measures must be implemented before
proceeding with the test.
(f) Test for candidate method precision. (1) For each of the
measurement sets, for each site, calculate an estimate for the relative
precision of the candidate method measurements, CPj, using
equation 15 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.002
(2) For each site, calculate an estimate of candidate method
relative precision for the site, CP, using the root mean square
calculation of equation 16 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.030
Where, J is the total number of valid measurement sets for the site.
(3) To pass the test for precision, the mean candidate method
relative precision at each site must not be greater than the value for
candidate method precision specified in table C-4 of this subpart.
(g) Test for additive and multiplicative bias (comparative slope and
intercept). (1) For each test site, calculate the mean concentration
measured by the reference method, R, using equation 17 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.003
(2) For each test site, calculate the mean concentration measured by
the candidate method, C, using equation 18 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.032
(3) For each test site, calculate the linear regression slope and
intercept of the mean candidate method measurements (Cj)
against the mean reference method measurements (Rj), using
equations 19 and 20 of this section, respectively:
[[Page 52]]
[GRAPHIC] [TIFF OMITTED] TR17OC06.033
[GRAPHIC] [TIFF OMITTED] TR17OC06.034
(4) To pass this test, at each test site:
(i) The slope (calculated to at least 2 decimal places) must be in
the interval specified for regression slope in table C-4 of this
subpart; and
(ii) The intercept (calculated to at least 2 decimal places) must be
in the interval specified for regression intercept in table C-4 of this
subpart.
(iii) The slope and intercept limits are illustrated in figures C-2
and C-3 of this subpart.
(h) Tests for comparison correlation. (1) For each test site,
calculate the (Pearson) correlation coefficient, r (not the coefficient
of determination, r\2\), using equation 21 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.004
(2) For each test site, calculate the concentration coefficient of
variation, CCV, using equation 22 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.036
(3) To pass the test, the correlation coefficient, r, for each test
site must not be less than the values, for various values of CCV,
specified for correlation in table C-4 of this subpart. These limits are
illustrated in figure C-4 of this subpart.
[71 FR 61278, Oct. 17, 2006, as amended at 72 FR 32202, June 12, 2007]
Sec. Table C-1 to Subpart C of Part 53--Test Concentration Ranges,
Number of Measurements Required, and Maximum Discrepancy Specifications
----------------------------------------------------------------------------------------------------------------
Simultaneous measurements required
-------------------------------------------- Maximum
Concentration 1-hour 24-hour discrepancy
Pollutant range, parts per -------------------------------------------- specification,
million (ppm) Second Second parts per
First set set First set set million
----------------------------------------------------------------------------------------------------------------
Ozone........................... Low 0.06 to 0.10.. 5 6 ......... ......... 0.02
Med. 0.15 to 0.25. 5 6 ......... ......... 0.03
High 0.35 to 0.46. 4 6 ......... ......... 0.04
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Total.......... 14 18 ......... .........
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Carbon monoxide................. Low 7 to 11....... 5 6 ......... ......... 1.5
Med. 20 to 30..... 5 6 ......... ......... 2.0
High 25 to 45..... 4 6 ......... ......... 3.0
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Total.......... 14 18 ......... .........
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Sulfur dioxide.................. Low 0.02 to 0.05.. 5 6 3 3 0.02
Med. 0.10 to 0.15. 5 6 2 3 0.03
High 0.30 to 0.50. 4 6 2 2 0.04
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Total.......... 14 18 7 8
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Nitrogen dioxide................ Low 0.02 to 0.08.. ......... ......... 3 3 0.02
Med. 0.10 to 0.20. ......... ......... 2 2 0.02
High 0.25......... ......... ......... 2 2 0.03
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
[[Page 53]]
Total.......... ......... ......... 7 8 ..............
----------------------------------------------------------------------------------------------------------------
[75 FR 35601, June 22, 2010]
Sec. Table C-2 to Subpart C of Part 53--Sequence of Test Measurements
------------------------------------------------------------------------
Concentration range
Measurement ----------------------------------------
First set Second set
------------------------------------------------------------------------
1.............................. Low................ Medium.
2.............................. High............... High.
3.............................. Medium............. Low.
4.............................. High............... High.
5.............................. Low................ Medium.
6.............................. Medium............. Low.
7.............................. Low................ Medium.
8.............................. Medium............. Low.
9.............................. High............... High.
10............................. Medium............. Low.
11............................. High............... Medium.
12............................. Low................ High.
13............................. Medium............. Medium.
14............................. Low................ High.
15............................. ................... Low.
16............................. ................... Medium.
17............................. ................... Low.
18............................. ................... High.
------------------------------------------------------------------------
Sec. Table C-3 to Subpart C of Part 53--Test Specifications for Pb in
TSP and Pb in PM 10 Methods
------------------------------------------------------------------------
------------------------------------------------------------------------
Concentration range equivalent to 30% to 250%
percentage of NAAQS in mg/m\3\.
Minimum number of 24-hr measurements...... 5
Maximum reference method analytical bias, 5%
Dq.
Maximum precision, PR or PC............... 15%
Maximum difference (D).................... 20%
Estimated Method Detection Limit (MDL), mg/ 5% of NAAQS level.
m\3\.
------------------------------------------------------------------------
[73 FR 67059, Nov. 12, 2008]
Sec. Table C-4 to Subpart C of Part 53--Test Specifications for PM
10, PM 2.5 and PM 10-2.5 Candidate
Equivalent Methods
--------------------------------------------------------------------------------------------------------------------------------------------------------
PM 2.5 PM 10^2.5
Specification PM 10 ---------------------------------------------------------------------------------------------------
Class I Class II Class III Class II Class III
--------------------------------------------------------------------------------------------------------------------------------------------------------
Acceptable concentration range 15-300............ 3-200............. 3-200 3-200 3-200 3-200
(Rj), mg/m 3.
Minimum number of test sites.... 2................. 1................. 2 4 2 4
Minimum number of candidate 3................. 3................. 3 \1\ 3 \1\ 3 \1\ 3 \1\
method samplers or analyzers
per site.
Number of reference method 3................. 3................. 3 \1\ 3 \1\ 3 \1\ 3 \1\
samplers per site.
Minimum number of acceptable
sample sets per site for PM 10
methods:
Rj <60 mg/m 3............... 3
Rj >60 mg/m 3............... 3
Total....................... 10
Minimum number of acceptable
sample sets per site for PM 2.5
and PM 10^2.5 candidate
equivalent methods:
Rj <30 mg/m 3 for 24-hr or .................. 3
Rj <20 mg/m 3 for 48-hr
samples.
Rj >30 mg/m 3 for 24-hr or 3
Rj >20 mg/m 3 for 48-hr
samples.
Each season................. 10................ 23................ 23 23 23
Total, each site............ 10................ 23................ 23 (46 for two- 23 23 (46 for two-
season sites) season sites)
[[Page 54]]
Precision of replicate reference 5 mg/m 3 or 7%.... 2 mg/m 3 or 5%.... 10% 2 10% 2 10% 2 10% 2
method measurements, PRj or
RPRj, respectively; RP for
Class II or III PM 2.5 or PM
10^2.5, maximum.
Precision of PM 2.5 or PM 10^2.5 10% 2............. 15% 2............. 15% 2 15% 2
candidate method, CP, each site.
Slope of regression relationship 1 0.10........... 1 0.05........... 1 0.10 1 0.10 1 0.10 1 0.12
Intercept of regression 0 5.............. 0 1.............. Between: 13.55 ^ Between: 15.05 ^ Between: 62.05 ^ Between: 70.50 ^
relationship, mg/m 3. (15.05 slope), (17.32 slope), (70.5 slope), (82.93 slope),
but not less than but not less than but not less than but not less than
^1.5; and 16.56 ^ ^2.0; and 15.05 ^ ^3.5; and 78.95 ^ ^7.0; and 70.50 ^
(15.05 slope), (13.20 slope), (70.5 slope), (61.16 slope),
but not more than but not more than but not more than but not more than
+ 1.5 + 2.0 + 3.5 + 7.0
-----------------------------------------------------------------------------------------------------------------------
Correlation of reference method $0.97............. $0.97............. $0.93--for CCV 0.4; $0.85 + 0.2 CCV--for 0.4 CCV 0.5; $0.95--for CCV $0.5
and candidate method
measurements.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Some missing daily measurement values may be permitted; see test procedure.
\2\ Calculated as the root mean square over all measurement sets.
[72 FR 32203, June 12, 2007]
Sec. Table C-5 to Subpart C of Part 53--Summary of Comparability Field
Testing Campaign Site and Seasonal Requirements for Class II and III
FEMs for PM 10-2.5 and PM 2.5
--------------------------------------------------------------------------------------------------------------------------------------------------------
Candidate method Test site A B C D
--------------------------------------------------------------------------------------------------------------------------------------------------------
PM 2.5............................. Test site location Los Angeles basin or Western city such as Midwestern city...... Northeastern or mid-
area. California Central Denver, Salt Lake Atlantic city.
Valley. City, or Albuquerque.
Test site Relatively high PM Cold weather, higher Substantial High sulfate and high
characteristics. 2.5, nitrates, and elevation, winds, temperature relative humidity.
semi-volatile organic and dust. variation, high
pollutants. nitrates, wintertime
conditions.
Class III Field test Winter and summer..... Winter only.......... Winter only.......... Summer only.
campaigns (Total: 5).
--------------------------------------------------------------------------------------------
Class II Field test Site A or B, any season
campaigns (Total: 2).
Site C or D, any season.
--------------------------------------------------------------------------------------------
PM 10^2.5.......................... Test site location Los Angeles basin or Western city such as Midwestern city...... Large city east of
area. California Central Las Vegas or Phoenix. the Mississippi
Valley. River.
--------------------------------------------------------------------------------------------
Test site Relatively high PM High PM 10^2.5 to PM Substantial High sulfate and high
characteristics. 2.5, nitrates, and 2.5 ratio, windblown temperature relative humidity.
semi-volatile organic dust. variation, high
pollutants. nitrates, wintertime
conditions.
Class III Field test Winter and summer..... Winter only.......... Winter only.......... Summer only.
campaigns (Total: 5).
--------------------------------------------------------------------------------------------
[[Page 55]]
Class II Field test Site A or B, any season
campaigns (Total: 2).
Site C or D, any season.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sec. Figure C-1 to Subpart C of Part 53--Suggested Format for Reporting
Test Results for Methods for SO 2, CO, O 3, NO
2
Candidate Method_______________________________________________________
Reference Method_______________________________________________________
Applicant______________________________________________________________
v First Set v Second Set v Type v 1 Hour
v 24 Hour
--------------------------------------------------------------------------------------------------------------------------------------------------------
Concentration, ppm
Concentration range Date Time ------------------------ Difference Table C-1 Pass or
Candidate Reference spec. fail
--------------------------------------------------------------------------------------------------------------------------------------------------------
Low 1
---------------------------------------------------------------------------------------------------------
____ ppm 2
---------------------------------------------------------------------------------------------------------
to ____ ppm 3
---------------------------------------------------------------------------------------------------------
4
---------------------------------------------------------------------------------------------------------
5
---------------------------------------------------------------------------------------------------------
6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Medium 1
---------------------------------------------------------------------------------------------------------
____ ppm 2
---------------------------------------------------------------------------------------------------------
to ____ ppm 3
---------------------------------------------------------------------------------------------------------
4
---------------------------------------------------------------------------------------------------------
5
---------------------------------------------------------------------------------------------------------
6
--------------------------------------------------------------------------------------------------------------------------------------------------------
High 1
---------------------------------------------------------------------------------------------------------
____ ppm 2
---------------------------------------------------------------------------------------------------------
to ____ ppm 3
---------------------------------------------------------------------------------------------------------
4
---------------------------------------------------------------------------------------------------------
5
---------------------------------------------------------------------------------------------------------
6
---------------------------------------------------------------------------------------------------------
7
---------------------------------------------------------------------------------------------------------
8
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total
Failures:
--------------------------------------------------------------------------------------------------------------------------------------------------------
[72 FR 32204, June 12, 2007]
[[Page 56]]
Sec. Figure C-2 to Subpart C of Part 53--Illustration of the Slope and
Intercept Limits for Class II and Class III PM 2.5 Candidate
Equivalent Methods
[GRAPHIC] [TIFF OMITTED] TR41AD07.009
[72 FR 32204, June 12, 2007]
Sec. Figure C-3 to Subpart C of Part 53--Illustration of the Slope and
Intercept Limits for Class II and Class III PM 10-2.5
Candidate Equivalent Methods
[GRAPHIC] [TIFF OMITTED] TR41AD07.010
[72 FR 32204, June 12, 2007]
[[Page 57]]
Sec. Figure C-4 to Subpart C of Part 53--Illustration of the Minimum
Limits for Correlation Coefficient for PM 2.5 and PM
10-2.5 Class II and III Methods
[GRAPHIC] [TIFF OMITTED] TR41AD07.011
[72 FR 32204, June 12, 2007]
Sec. Appendix A to Subpart C of Part 53--References
(1) American National Standard Quality Systems for Environmental
Data and Technology Programs--Requirements with guidance for use, ANSI/
ASQC E4-2004. Available from American Society for Quality, P.O. Box
3005, Milwaukee, WI 53202 (http://qualitypress.asq.org).
(2) Quality Assurance Guidance Document 2.12. Monitoring PM
2.5 in Ambient Air Using Designated Reference or Class I
Equivalent Methods. U.S. EPA, National Exposure Research Laboratory,
Research Triangle Park, NC, November 1998 or later edition. Currently
available at http://www.epa.gov/ttn/amtic/pmqainf.html.
Subpart D_Procedures for Testing Performance Characteristics of Methods
for PM 10
Source: 52 FR 24729, July 1, 1987, unless otherwise noted.
Sec. 53.40 General provisions.
(a) The test procedures prescribed in this subpart shall be used to
test the performance of candidate methods for PM 10 against
the performance specifications given in table D-1. Except as provided in
paragraph (b) of this section, a test sampler or samplers representative
of the sampler described in the candidate method must exhibit
performance better than, or equal to, the specified value for each
performance parameter, to satisfy the requirements of this subpart.
(b) For a candidate method using a PM 10 sampler
previously approved as part of a designated PM 10 method,
only the test for precision need be conducted and passed to satisfy the
requirements of this subpart. For a candidate method using a PM
10 sampler inlet previously approved as part of a designated
PM 10 method, the tests for precision and flow rate stability
must be conducted and passed to satisfy the requirements of this
subpart; the tests for sampling effectiveness and 50 percent cutpoint
need not be conducted if suitable rationale is provided to demonstrate
that test results submitted for the previously approved method are
applicable to the candidate method.
(c) The liquid particle sampling effectiveness and 50 percent
cutpoint of a test sampler shall be determined in a wind tunnel using 10
particle sizes and three wind speeds as specified in table D-2. A
minimum of 3 replicate measurements of sampling effectiveness shall be
required for each of the 30 test
[[Page 58]]
conditions for a minimum of 90 test measurements.
(d) For the liquid particle sampling effectiveness parameter, a
smooth curve plot shall be constructed of sampling effectiveness
(percent) versus aerodynamic particle diameter (mm) for each of the
three wind speeds. These plots shall be used to calculate the expected
mass concentration for the test sampler, using the procedure in
Sec. 53.43(a). The candidate method passes the liquid particle sampling
effectiveness test if the expected mass concentration calculated for the
test sampler at each wind speed differs by no more than 10 percent from
that predicted for the ``ideal'' sampler.*
---------------------------------------------------------------------------
* The sampling effectiveness curve for this ``ideal'' sampler is
described by column 5 of table D-3 and is based on a model that
approximates the penetration of particles into the human respiratory
tract. Additional information on this model may be found in a document
entitled, ``Particle Collection Criteria for 10 Micrometer Samplers,''
which is available from the Quality Assurance Division (MD-77),
Environmental Monitoring Systems Laboratory, U.S. Environmental
Protection Agency, Research Triangle Park, NC 27711.
---------------------------------------------------------------------------
(e) For the 50 percent cutpoint parameter, the test result for each
wind speed shall be reported as the particle size at which the curve
specified in Sec. 53.40(d) crosses the 50 percent effectiveness line.
The candidate method passes the 50 percent cutpoint test if the test
result at each wind speed falls within 100.5 mm.
(f) The solid particle sampling effectiveness of a test sampler
shall be determined in a wind tunnel using 25 mm particles at 2 wind
speeds as specified in table D-2. A minimum of three replicate
measurements of sampling effectiveness for the 25 mm solid particles
shall be required at both wind speeds for a minimum of 6 test
measurements.
(g) For the solid particle sampling effectiveness parameter, the
test result for each wind speed shall be reported as the difference
between the average of the replicate sampling effectiveness measurements
obtained for the 25 mm solid particles and the average of the replicate
measurements obtained for the 25 mm liquid particles. The candidate
method passes the solid particle sampling effectiveness test if the test
result for each wind speed is less than, or equal to, 5 percent.
(h) The precision and flow rate stability of three identical test
samplers shall be determined at a suitable test site by simultaneously
sampling the PM 10 concentration of the atmosphere for 10
periods of 24 hours.
(i) For the precision parameter, the test result for each of the 10
periods of 24 hours shall be calculated using the procedure in
Sec. 53.43(c). The candidate method passes the precision test if all of
the test results meet the specifications in table D-1.
(j) For the flow rate stability parameter, the test results for each
of the three test samplers and for each of the 10 periods of 24 hours
shall be calculated using the procedure in Sec. 53.43(d). The candidate
method passes the flow rate stability test if all of the test results
meet the specifications in table D-1.
(k) All test data and other documentation obtained from or pertinent
to these tests shall be identified, dated, signed by the analyst
performing the test, and submitted to EPA.
Table D-1--Performance Specifications for PM 10 Samplers
----------------------------------------------------------------------------------------------------------------
Performance parameter Units Specification
----------------------------------------------------------------------------------------------------------------
1. Sampling effectiveness:
A. Liquid particles................. Percent................... Such that the expected mass concentration is
within 10 percent of that predicted for
the ideal sampler.
B. Solid particles.................. Percent................... Sampling effectiveness is no more than 5
percent above that obtained for liquid
particles of same size.
2. 50 Percent cutpoint mm........................ 10m.5 mm aerodynamic diameter.
3. Precision mg/m\3\ or percent........ 5 mg/m\3\ or 7 percent for three collocated
samplers.
4. Flow rate stability Percent................... Average flow rate over 24 hours within 5
percent of initial flow rate; all measured
flow rates over 24 hours within 10 percent
of initial flow rate.
----------------------------------------------------------------------------------------------------------------
[[Page 59]]
Sec. 53.41 Test conditions.
(a) Set-up and start-up of all test samplers shall be in strict
accordance with the operating instructions specified in the manual
referred to in Sec. 53.4(b)(3).
(b) If the internal surface or surfaces of the candidate method's
sampler inlet on which the particles removed by the inlet are collected
is a dry surface (i.e., not normally coated with oil or grease), those
surfaces shall be cleaned prior to conducting wind tunnel tests with
solid particles.
(c) Once the test sampler or samplers have been set up and the
performance tests started, manual adjustment shall be permitted only
between test points for the sampling effectiveness and 50 percent
cutpoint tests or between test days for the precision and flow rate
stability tests. The manual adjustments and any periodic maintenance
shall be limited to only those procedures prescribed in the manual
referred to in Sec. 53.4(b)(3). The submitted records shall show clearly
when any manual adjustment or periodic maintenance was made and shall
describe the operations performed.
(d) If a test sampler malfunctions during any of the sampling
effectiveness and 50 percent cutpoint tests, that test run shall be
repeated. If a test sampler malfunctions during any of the precision and
flow rate stability tests, that day's test shall be repeated. A detailed
explanation of all malfunctions and the remedial actions taken shall be
submitted to EPA with the application.
Sec. 53.42 Generation of test atmospheres for wind tunnel tests.
(a) A vibrating orifice aerosol generator shall be used to produce
monodispersed liquid particles of oleic acid tagged with uranine dye and
monodispersed solid particles of ammonium fluoroscein with equivalent
aerodynamic diameters as specified in table D-2. The geometric standard
deviation for each particle size and type generated shall not exceed 1.1
(for primary particles) and the proportion of multiplets (doublets and
triplets) in a test particle atmosphere shall not exceed 10 percent. The
particle delivery system shall consist of a blower system and a wind
tunnel having a test section of sufficiently large cross-sectional area
such that the test sampler, or portion thereof, as installed in the test
section for testing, blocks no more than 15 percent of that area. To be
acceptable, the blower system must be capable of achieving uniform wind
speeds at the speeds specified in table D-2.
Table D-2--Particle Sizes and Wind Speeds for Sampling Effectiveness
Tests
------------------------------------------------------------------------
Wind speed (km/hr)
Particle size (mm) \a\ -------------------------------------
2 8 24
------------------------------------------------------------------------
30.5............................. l l l
50.5............................. l l l
70.5............................. l l l
90.5............................. l l l
100.5............................ l l l
110.5............................ l l l
131.0............................ l l l
151.0............................ l l l
201.0............................ l l l
251.0............................ l l/s l/s
------------------------------------------------------------------------
\a\ Mass median aerodynamic diameter.
l = liquid particle.
s = solid particle.
Number of liquid particle test points (minimum of 3 replicates for each
combination of particle size and wind speed): 90.
Number of solid particle test points (minimum of 3 replicates for each
combination of particle size and wind speed): 6.
Total number of test points: 96.
(b) The size of the test particles delivered to the test section of
the wind tunnel shall be established using the operating parameters of
the vibrating orifice aerosol generator and shall be verified during the
tests by microscopic examination of samples of the particles collected
on glass slides or other suitable substrates. When sizing liquid
particles on glass slides, the slides should be pretreated with an
oleophobic surfactant and an appropriate flattening factor shall be used
in the calculation of aerodynamic diameter. The particle size, as
established by the operating parameters of the vibrating orifice aerosol
generator, shall be within the tolerance specified in table D-2. The
precision of the particle size verification technique shall be 0.5 mm or
better, and particle size determined by the verification technique shall
not differ by more than 0.5 mm or 10 percent, whichever is higher, from
that established by the operating parameters of the vibrating orifice
aerosol generator.
[[Page 60]]
(c) The population of multiplets in a test particle atmosphere shall
be determined during the tests and shall not exceed 10 percent. Solid
particles shall be checked for dryness and evidence of breakage or
agglomeration during the microscopic examination. If the solid particles
in a test atmosphere are wet or show evidence of significant breakage or
agglomeration (m5 percent), the solid particle test atmosphere is
unacceptable for purposes of these tests.
(d) The concentration of particles in the wind tunnel is not
critical. However, the cross-sectional uniformity of the particle
concentration in the sampling zone of the test section shall be
established during the tests using isokinetic samplers. An array of not
less than five evenly spaced isokinetic samplers shall be used to
determine the particle concentration uniformity in the sampling zone. If
the particle concentration measured by any single isokinetic sampler in
the sampling zone differs by more than 10 percent from the mean
concentration, the particle delivery system is unacceptable in terms of
uniformity of particle concentration. The sampling zone shall be a
rectangular area having a horizontal dimension not less than 1.2 times
the width of the test sampler at its inlet opening and a vertical
dimension not less than 25 centimeters. The sampling zone is an area in
the test section of the wind tunnel that is horizontally and vertically
symmetrical with respect to the test sampler inlet opening.
(e) The wind speed in the wind tunnel shall be determined during the
tests using an appropriate technique capable of a precision of 5 percent
or better (e.g., hot-wire anemometry). The mean wind speed in the test
section of the wind tunnel during the tests shall be within 10 percent
of the value specified in table D-2. The wind speed measured at any test
point in the test section shall not differ by more than 10 percent from
the mean wind speed in the test section. The turbulence intensity
(longitudinal component and macroscale) in the test section shall be
determined during the tests using an appropriate technique (e.g., hot-
wire anemometry).
(f) The accuracy of all flow measurements used to calculate the test
atmosphere concentrations and the test results shall be documented to be
within 2 percent, referenced to a primary standard. Any flow
measurement corrections shall be clearly shown. All flow measurements
shall be given in actual volumetric units.
(g) Schematic drawings of the particle delivery system (wind tunnel
and blower system) and other information showing complete procedural
details of the test atmosphere generation, verification, and delivery
techniques shall be submitted to EPA. All pertinent calculations shall
be clearly presented.
Sec. 53.43 Test procedures.
(a) Sampling effectiveness--(1) Technical definition. The ratio
(expressed as a percentage) of the mass concentration of particles of a
given size reaching the sampler filter or filters to the mass
concentration of particles of the same size approaching the sampler.
(2) Test procedure. (i) Establish a wind speed specified in table D-
2 and measure the wind speed and turbulence intensity (longitudinal
component and macroscale) at a minimum of 12 test points in a cross-
sectional area of the test section of the wind tunnel. The mean wind
speed in the test section must be within 10 percent of the value
specified in table D-2 and the variation at any test point in the test
section may not exceed 10 percent of the mean.
(ii) Generate particles of a size and type specified in table D-2
using a vibrating orifice aerosol generator. Check for the presence of
satellites and adjust the generator as necessary. Calculate the
aerodynamic particle size using the operating parameters of the
vibrating orifice aerosol generator and record. The calculated
aerodynamic diameter must be within the tolerance specified in table D-
2.
(iii) Collect a sample of the particles on a glass slide or other
suitable substrate at the particle injection point. If a glass slide is
used, it should be pretreated with an appropriate oleophobic surfactant
when collecting liquid particles. Use a microscopic technique to size a
minimum of 25 primary particles in three viewing fields (do not include
multiplets). Determine
[[Page 61]]
the geometric mean aerodynamic diameter and geometric standard deviation
using the bulk density of the particle type (and an appropriate
flattening factor for liquid particles if collected on a glass slide).
The measured geometric mean aerodynamic diameter must be within 0.5 mm
or 10 percent of the aerodynamic diameter calculated from the operating
parameters of the vibrating orifice aerosol generator. The geometric
standard deviation must not exceed 1.1.
(iv) Determine the population of multiplets (doublets and triplets)
in the collected sample by counting a minimum of 100 particles in three
viewing fields. The multiplet population of the particle test atmosphere
must not exceed 10 percent.
(v) Introduce the particles into the wind tunnel and allow the
particle concentration to stabilize.
(vi) Install an array of five or more evenly spaced isokinetic
samplers in the sampling zone (see Sec. 53.42(d)) of the wind tunnel.
Collect particles on appropriate filters (e.g., glass fiber) over a time
period such that the relative error of the measured particle
concentration is less than 5 percent. Relative error is defined as (p
100%)/(X), where p is the precision of the fluorometer on the
appropriate range, X is the measured concentration, and the units of p
and X are the same.
(vii) Determine the quantity of material collected with each
isokinetic sampler in the array using a calibrated fluorometer.
Calculate and record the mass concentration for each isokinetic sampler
as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.015
where
i = replicate number and j = isokinetic sampler number.
(viii) Calculate and record the mean mass concentration as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.016
where
n = total number of isokinetic samplers.
(ix) Calculate and record the coefficient of variation of the mass
concentration measurements as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.017
If the value of CViso(i) exceeds 0.10, the particle
concentration uniformity is unacceptable and steps (vi) through (ix)
must be repeated. If adjustment of the vibrating orifice aerosol
generator or changes in the particle delivery system are necessary to
achieve uniformity, steps (ii) through (ix) must be repeated. Remove the
array of isokinetic samplers from the wind tunnel. NOTE: A single
isokinetic sampler, operated at the same nominal flow rate as the test
sampler, may be used in place of the array of isokinetic samplers for
the determination of particle mass concentration used in the calculation
of sampling effectiveness of the test sampler in step (xiii). In this
case, the
[[Page 62]]
array of isokinetic samplers must be used to demonstrate particle
concentration uniformity prior to the replicate measurements of sampling
effectiveness.
(x) If a single isokinetic sampler is used, install the sampler in
the wind tunnel with the sampler nozzle centered in the sampling zone
(see Sec. 53.42(d)). Collect particles on an appropriate filter (e.g.,
glass fiber) for a time period such that the relative error of the
measured concentration (as defined in step (vi)) is less than 5 percent.
Determine the quantity of material collected with the isokinetic sampler
using a calibrated fluorometer. Calculate and record the mass
concentration as Ciso(i) as in step vii. Remove the
isokinetic sampler from the wind tunnel.
(xi) Install the test sampler (or portion thereof) in the wind
tunnel with the sampler inlet opening centered in the sampling zone (see
Sec. 53.42(d)). To meet the maximum blockage limit of Sec. 53.42(a) or
for convenience, part of the test sampler may be positioned external to
the wind tunnel provided that neither the geometry of the sampler nor
the length of any connecting tube or pipe is altered. Collect particles
on an appropriate filter or filters (e.g., glass fiber) for a time
period such that the relative error of the measured concentration (as
defined in step (vi)) is less than 5 percent.
(xii) Determine the quantity of material collected with the test
sampler using a calibrated fluorometer. Calculate and record the mass
concentration as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.018
where i = replicate number.
(xiii) Calculate and record the sampling effectiveness of the test
sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.019
where i = replicate number.
Note: If a single isokinetic sampler is used for the determination
of particle mass concentration, replace Ciso(i) with
Ciso(i).
(xiv) Remove the test sampler from the wind tunnel. Repeat steps
(vi) through (xiii), as appropriate, to obtain a minimum of three
replicate measurements of sampling effectiveness.
(xv) Calculate and record the average sampling effectiveness of the
test sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.020
where n = number of replicates.
(xvi) Calculate and record the coefficient of variation for the
replicate sampling effectiveness measurements of the test sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.021
If the value of CVE exceeds 0.10, the test run (steps (ii)
through (xvi)) must be repeated.
(xvii) Repeat steps i through xvi for each wind speed, particle
size, and particle type specified in table D-2.
(xviii) For each of the three wind speeds (nominally 2, 8, and 24
km/hr), correct the liquid particle sampling effectiveness data for the
presence of multiplets (doublets and triplets) in the test particle
atmospheres.
(xix) For each wind speed, plot the corrected liquid particle
sampling effectiveness of the test sampler (Ecorr) as a
function of particle size (dp) on semi-logarithmic graph
paper where dp is the particle size established by the
operating parameters of the vibrating orifice aerosol generator.
Construct a smooth curve through the data.
[[Page 63]]
(xx) For each wind speed, calculate the expected mass concentration
for the test sampler under the assumed particle size distribution and
compare it to the mass concentration predicted for the ideal sampler, as
follows:
(A) Extrapolate the upper and lower ends of the corrected liquid
particle sampling effectiveness curve to 100 percent and 0 percent,
respectively, using smooth curves. Assume that Ecorr = 100
percent at a particle size of 1.0 mm and Ecorr = 0 percent at
a particle size of 50 mm.
(B) Determine the value of Ecorr at each of the particle
sizes specified in the first column of table D-3. Record each
Ecorr value as a decimal between 0 and 1 in the second column
of table D-3.
(C) Multiply the values of Ecorr in column 2 by the
interval mass concentration values in column 3 and enter the products in
column 4 of table D-3.
(D) Sum the values in column 4 and enter the total as the expected
mass concentration for the test sampler at the bottom of column 4 of
table D-3.
(E) Calculate and record the percent difference in expected mass
concentration between the test sampler and the ideal sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.022
where:
Csam(exp) = expected mass concentration for the test sampler,
mg/m\3\
Cideal(exp) = expected mass concentration for the ideal
sampler, mg/m\3\ (calculated for the ideal sampler and given
at the bottom of column 7 of table D-3.)
(F) The candidate method passes the liquid particle sampling
effectiveness test if the D C value for each wind speed meets the
specification in table D-1.
(xxi) For each of the two wind speeds (nominally 8 and 24 km/hr),
calculate the difference between the average sampling effectiveness
value for the 25 mm solid particles and the average sampling
effectiveness value for the 25 mm liquid particles (uncorrected for
multiplets).
(xxii) The candidate method passes the solid particle sampling
effectiveness test if each such difference meets the specification in
table D-1.
Table D-3--Expected Mass Concentration for PM 10 Samplers
--------------------------------------------------------------------------------------------------------------------------------------------------------
Test sampler Ideal Sampler
-----------------------------------------------------------------------------------------------------------------------------------
Particle size (um) Interval mass Expected mass Interval mass Expected mass
Sampling concentration (mg/ concentration (mg/ Sampling concentration (mg/ concentration (mg/
effectiveness m\3\) m\3\) effectiveness m\3\) m\3\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
--------------------------------------------------------------------------------------------------------------------------------------------------------
<1.0 1.000 62.813 62.813 1.000 62.813 62.813
1.5 9.554 0.949 9.554 9.067
02.0 2.164 0.942 2.164 2.038
02.5 1.785 0.933 1.785 1.665
03.0 2.084 0.922 2.084 1.921
03.5 2.618 0.909 2.618 2.380
04.0 3.211 0.893 3.211 2.867
04.5 3.784 0.876 3.784 3.315
05.0 4.300 0.857 4.300 3.685
05.5 4.742 0.835 4.742 3.960
06.0 5.105 0.812 5.105 4.145
06.5 5.389 0.786 5.389 4.236
07.0 5.601 0.759 5.601 4.251
07.5 5.746 0.729 5.746 4.189
08.0 5.834 0.697 5.834 4.066
08.5 5.871 0.664 5.871 3.898
09.0 5.864 0.628 5.864 3.683
09.5 5.822 0.590 5.822 3.435
10.0 5.750 0.551 5.750 3.168
10.5 5.653 0.509 5.653 2.877
11.0 8.257 0.465 8.257 3.840
12.0 10.521 0.371 10.521 3.903
13.0 9.902 0.269 9.902 2.664
14.0 9.250 0.159 9.250 1.471
15.0 8.593 0.041 8.593 0.352
16.0 7.948 0.000 7.948 0.000
[[Page 64]]
17.0 7.329 0.000 7.329 0.000
18.0 9.904 0.000 9.904 0.000
20.0 11.366 0.000 11.366 0.000
22.0 9.540 0.000 9.540 0.000
24.0 7.997 0.000 7.997 0.000
26.0 6.704 0.000 6.704 0.000
28.0 5.627 0.000 5.627 0.000
30.0 7.785 0.000 7.785 0.000
35.0 7.800 0.000 7.800 0.000
40.0 5.192 0.000 5.192 0.000
45.0 4.959 0.000 4.959 0.000
Csam(exp) = D Cideal(exp) = 143.889
--------------------------------------------------------------------------------------------------------------------------------------------------------
(b) 50 Percent cutpoint--(1) Technical definition. The particle size
for which the sampling effectiveness of the sampler is 50 percent.
(2) Test procedure. (i) From the corrected liquid particle sampling
effectiveness curves for each of the three wind speeds, determine the
particle size at which the curve crosses the 50 percent effectiveness
line and record as D50 on the corresponding sampling
effectiveness plot.
(ii) The candidate method passes the 50 percent cutpoint test if the
D50 value at each wind speed meets the specification in table
D-1.
(c) Precision--(1) Technical definition. The variation in the
measured particle concentration among identical samplers under typical
sampling conditions.
(2) Test procedure. (i) Set up three identical test samplers at the
test site in strict accordance with the instructions in the manual
referred to in Sec. 53.4(b)(3). Locate the test sampler inlet openings
at the same height and between 2 and 4 meters apart. The samplers shall
be oriented in a manner that will minimize spatial and wind directional
effects on sample collection. Perform a flow calibration for each test
sampler in accordance with the instructions given in the instruction
manual and/or appendix J to part 50 of this chapter. Set the operating
flow rate to the value prescribed in the sampler instruction manual.
Note: For candidate equivalent methods, this test may be used to
satisfy part of the requirements of subpart C of this chapter. In that
case, three reference method samplers are also used at the test site,
measurements with the candidate and reference methods are compared as
specified in Sec. 53.34, and the test site must meet the requirements of
Sec. 53.30(b).
(ii) Measure the PM 10 concentration of the atmosphere
using the three test samplers for 10 periods (test days) of 24 hours
each. On each of the 10 test days, measure the initial and final flow
rates of each test sampler. On three of the test days, measure the flow
rate of each test sampler after 6, 12, and 18 hours of operation. All
measurements of flow rate and mass collected must be made in accordance
with the procedures prescribed in the sampler instruction manual and/or
appendix J to part 50 of this chapter. All measurements of flow rate
must be in actual volumetric units. Record the PM 10
concentration for each sampler and each test day as C(i)(j)
where i is the sampler number and j is the test day.
(iii) For each test day, calculate and record the average of the
three measured PM 10 concentrations as C(j) where
j is the test day. If C(j)<30 mg/m\3\ for any test day, data
from that test day are unacceptable and the tests for that day must be
repeated.
(iv) Calculate and record the precision for each of the 10 test days
as:
[[Page 65]]
(v) The candidate method passes the precision test if all 10
Pj or RPj values meet the specifications in table
D-1.
(d) Flow rate stability--(1) Technical definition. Freedom from
variation in the operating flow rate of the sampler under typical
sampling conditions.
(2) Test procedure. (i) For each of the three test samplers and each
of the 10 test days of the precision test, record each measured flow
rate as F(i)(j)(t), where i is the sampler number, j is the
test day, and t is the time of flow rate measurement (t = 0, 6, 12, 18,
or 24 hours).
(ii) For each sampler and for each test day, calculate and record
the average flow rate as:
where n = number of flow rate measurements during the 24-hour test day.
(iii) For each sampler and for each test day, calculate and record
the percent difference between the average flow rate and the initial
flow rate as:
where F(i)(j)(0) is the initial flow rate (t = 0).
(iv) For each sampler and for each of the 3 test days on which flow
measurements were obtained at 6-hour intervals throughout the 24-hour
sampling period, calculate and record the percent differences between
each measured flow rate and the initial flow rate as:
where t = 6, 12, 18, or 24 hours.
(v) The candidate method passes the flow rate stability test if all
of the D F(i)(j) and D F(i)(j)(t) values meet the
specifications in table D-1.
Subpart E_Procedures for Testing Physical (Design) and Performance
Characteristics of Reference Methods and Class I and Class II Equivalent
Methods for PM 2.5 or PM 10-2.5
Source: 62 FR 38799, July 18, 1997, unless otherwise noted.
Sec. 53.50 General provisions.
(a) A candidate method for PM 2.5 or PM 10-2.5
described in an application for a FRM or FEM determination submitted
under Sec. 53.4 shall be determined by the EPA to be a FRM or a Class I,
II, or III FEM on the basis of the definitions for such methods given in
Sec. 53.1. This subpart sets forth the specific tests that must be
carried out and the test results, evidence, documentation,
[[Page 66]]
and other materials that must be provided to EPA to demonstrate that a
PM 2.5 or PM 10-2.5 sampler associated with a
candidate reference method or Class I or Class II equivalent method
meets all design and performance specifications set forth in appendix L
or O, respectively, of part 50 of this chapter as well as additional
requirements specified in this subpart E. Some or all of these tests may
also be applicable to a candidate Class III equivalent method or
analyzer, as may be determined under Sec. 53.3(b)(3).
(b) PM2.5 methods--(1) Reference method. A sampler associated with a
candidate reference method for PM 2.5 shall be subject to the
provisions, specifications, and test procedures prescribed in
Secs. 53.51 through 53.58.
(2) Class I method. A sampler associated with a candidate Class I
equivalent method for PM 2.5 shall be subject to the
provisions, specifications, and test procedures prescribed in all
sections of this subpart.
(3) Class II method. A sampler associated with a candidate Class II
equivalent method for PM 2.5 shall be subject to the
provisions, specifications, and test procedures prescribed in all
applicable sections of this subpart, as specified in subpart F of this
part or as specified in Sec. 53.3(a)(3).
(c) PM10-2.5 methods--(1) Reference method. A sampler
associated with a reference method for PM 10-2.5, as
specified in appendix O to part 50 of this chapter, shall be subject to
the requirements in this paragraph (c)(1).
(i) The PM 2.5 sampler of the PM 10-2.5
sampler pair shall be verified to be either currently designated under
this part 53 as a FRM for PM 2.5, or shown to meet all
requirements for designation as a FRM for PM 2.5, in
accordance with this part 53.
(ii) The PM 10C sampler of the PM 10-2.5
sampler pair shall be verified to be of like manufacturer, design,
configuration, and fabrication to the PM 2.5 sampler of the
PM 10-2.5 sampler pair, except for replacement of the
particle size separator specified in section 7.3.4 of appendix L to part
50 of this chapter with the downtube extension as specified in Figure O-
1 of appendix O to part 50 of this chapter.
(iii) For samplers that meet the provisions of paragraphs (c)(1)(i)
and (ii) of this section, the candidate PM 10-2.5 reference
method may be determined to be a FRM without further testing.
(2) Class I method. A sampler associated with a Class I candidate
equivalent method for PM 10-2.5 shall meet the requirements
in this paragraph (c)(2).
(i) The PM 2.5 sampler of the PM 10-2.5
sampler pair shall be verified to be either currently designated under
this part 53 as a FRM or Class I FEM for PM 2.5, or shown to
meet all requirements for designation as a FRM or Class I FEM for PM
2.5, in accordance with this part 53.
(ii) The PM 10c sampler of the PM 10-2.5
sampler pair shall be verified to be of similar design to the PM
10-2.5 sampler and to meet all requirements for designation
as a FRM or Class I FRM for PM 2.5, in accordance with this
part 53, except for replacement of the particle size separator specified
in section 7.3.4 of appendix L to part 50 of this chapter with the
downtube extension as specified in Figure O-1 of appendix O to part 50
of this chapter.
(iii) For samplers that meet the provisions of paragraphs (c)(2)(i)
and (ii) of this section, the candidate PM 10-2.5 method may
be determined to be a Class I FEM without further testing.
(3) Class II method. A sampler associated with a Class II candidate
equivalent method for PM 10-2.5 shall be subject to the
applicable requirements of this subpart E, as described in
Sec. 53.3(a)(5).
(d) The provisions of Sec. 53.51 pertain to test results and
documentation required to demonstrate compliance of a candidate method
sampler with the design specifications set forth in 40 CFR part 50,
appendix L or O, as applicable. The test procedures prescribed in
Secs. 53.52 through 53.59 pertain to performance tests required to
demonstrate compliance of a candidate method sampler with the
performance specifications set forth in 40 CFR part 50, appendix L or O,
as applicable, as well as additional requirements specified in this
subpart E. These latter test procedures shall be used to test the
performance of candidate samplers against the performance specifications
and requirements specified in each procedure and
[[Page 67]]
summarized in table E-1 of this subpart.
(e) Test procedures prescribed in Sec. 53.59 do not apply to
candidate reference method samplers. These procedures apply primarily to
candidate Class I or Class II equivalent method samplers for PM
2.5 or PM 10-2.5 that have a sample air flow path
configuration upstream of the sample filter that is modified from that
specified for the FRM sampler, as set forth in 40 CFR part 50, appendix
L, Figures L-1 to L-29 or 40 CFR part 50 appendix O, Figure O-1, if
applicable, such as might be necessary to provide for sequential sample
capability. The additional tests determine the adequacy of aerosol
transport through any altered components or supplemental devices that
are used in a candidate sampler upstream of the filter. In addition to
the other test procedures in this subpart, these test procedures shall
be used to further test the performance of such an equivalent method
sampler against the performance specifications given in the procedure
and summarized in table E-1 of this subpart.
(f) A 10-day operational field test of measurement precision is
required under Sec. 53.58 for both FRM and Class I FEM samplers for PM
2.5. This test requires collocated operation of three
candidate method samplers at a field test site. For candidate FEM
samplers, this test may be combined and carried out concurrently with
the test for comparability to the FRM specified under Sec. 53.34, which
requires collocated operation of three FRM samplers and three candidate
FEM samplers.
(g) All tests and collection of test data shall be performed in
accordance with the requirements of reference 1, section 4.10.5 (ISO
9001) and reference 2, part B, (section 6) and Part C, (section 7) in
appendix A of this subpart. All test data and other documentation
obtained specifically from or pertinent to these tests shall be
identified, dated, signed by the analyst performing the test, and
submitted to EPA in accordance with subpart A of this part.
[71 FR 61289, Oct. 17, 2006]
Sec. 53.51 Demonstration of compliance with design specifications
and manufacturing and test requirements.
(a) Overview. (1) Paragraphs (a) through (f) of this section specify
certain documentation that must be submitted and tests that are required
to demonstrate that samplers associated with a designated FRM or FEM for
PM 2.5 or PM 10-2.5 are properly manufactured to
meet all applicable design and performance specifications and have been
properly tested according to all applicable test requirements for such
designation. Documentation is required to show that instruments and
components of a PM 2.5 or PM 10-2.5 sampler are
manufactured in an ISO 9001-registered facility under a quality system
that meets ISO-9001 requirements for manufacturing quality control and
testing.
(2) In addition, specific tests are required by paragraph (d) of
this section to verify that critical features of FRM samplers--the
particle size separator and the surface finish of surfaces specified to
be anodized--meet the specifications of 40 CFR part 50, appendix L or
appendix O, as applicable. A checklist is required to provide
certification by an ISO-certified auditor that all performance and other
required tests have been properly and appropriately conducted, based on
a reasonable and appropriate sample of the actual operations or their
documented records. Following designation of the method, another
checklist is required initially to provide an ISO-certified auditor's
certification that the sampler manufacturing process is being
implemented under an adequate and appropriate quality system.
(3) For the purposes of this section, the definitions of ISO 9001-
registered facility and ISO-certified auditor are found in Sec. 53.1. An
exception to the reliance by EPA on ISO-certified auditors is the
requirement for the submission of the operation or instruction manual
associated with the candidate method to EPA as part of the application.
This manual is required under Sec. 53.4(b)(3). The EPA has determined
that acceptable technical judgment for review of this manual may not be
assured by ISO-certified auditors, and approval of this manual will
therefore be performed by EPA.
[[Page 68]]
(b) ISO registration of manufacturing facility. The applicant must
submit documentation verifying that the samplers identified and sold as
part of a designated PM 2.5 or PM 10-2.5 FRM or
FEM will be manufactured in an ISO 9001-registered facility and that the
manufacturing facility is maintained in compliance with all applicable
ISO 9001 requirements (reference 1 in appendix A of this subpart). The
documentation shall indicate the date of the original ISO 9001
registration for the facility and shall include a copy of the most
recent certification of continued ISO 9001 facility registration. If the
manufacturer does not wish to initiate or complete ISO 9001 registration
for the manufacturing facility, documentation must be included in the
application to EPA describing an alternative method to demonstrate that
the facility meets the same general requirements as required for
registration to ISO-9001. In this case, the applicant must provide
documentation in the application to demonstrate, by required ISO-
certified auditor's inspections, that a quality system is in place which
is adequate to document and monitor that the sampler system components
and final assembled samplers all conform to the design, performance and
other requirements specified in this part and in 40 CFR part 50,
appendix L.
(c) Sampler manufacturing quality control. The manufacturer must
ensure that all components used in the manufacture of PM 2.5
or PM 10-2.5 samplers to be sold as part of a FRM or FEM and
that are specified by design in 40 CFR part 50, appendix L or O (as
applicable), are fabricated or manufactured exactly as specified. If the
manufacturer's quality records show that its quality control (QC) and
quality assurance (QA) system of standard process control inspections
(of a set number and frequency of testing that is less than 100 percent)
complies with the applicable QA provisions of section 4 of reference 4
in appendix A of this subpart and prevents nonconformances, 100 percent
testing shall not be required until that conclusion is disproved by
customer return or other independent manufacturer or customer test
records. If problems are uncovered, inspection to verify conformance to
the drawings, specifications, and tolerances shall be performed. Refer
also to paragraph (e) of this section--final assembly and inspection
requirements.
(d) Specific tests and supporting documentation required to verify
conformance to critical component specifications--(1) Verification of
PM2.5 (WINS) impactor jet diameter. For samplers utilizing
the WINS impactor particle size separator specified in paragraphs
7.3.4.1, 7.3.4.2, and 7.3.4.3 of appendix L to part 50 of this chapter,
the diameter of the jet of each impactor manufactured for a PM
2.5 or PM 10-2.5 sampler under the impactor design
specifications set forth in 40 CFR part 50, appendix L, shall be
verified against the tolerance specified on the drawing, using standard,
NIST-traceable ZZ go/no go plug gages. This test shall be a final check
of the jet diameter following all fabrication operations, and a record
shall be kept of this final check. The manufacturer shall submit
evidence that this procedure is incorporated into the manufacturing
procedure, that the test is or will be routinely implemented, and that
an appropriate procedure is in place for the disposition of units that
fail this tolerance test.
(2) VSCC separator. For samplers utilizing the BGI VSCC \TM\ Very
Sharp Cut Cyclone particle size separator specified in paragraph 7.3.4.4
of appendix L to part 50 of this chapter, the VSCC manufacturer shall
identify the critical dimensions and manufacturing tolerances for the
device, develop appropriate test procedures to verify that the critical
dimensions and tolerances are maintained during the manufacturing
process, and carry out those procedures on each VSCC manufactured to
verify conformance of the manufactured products. The manufacturer shall
also maintain records of these tests and their results and submit
evidence that this procedure is incorporated into the manufacturing
procedure, that the test is or will be routinely implemented, and that
an appropriate procedure is in place for the disposition of units that
fail this tolerance test.
(3) Verification of surface finish. The anodization process used to
treat surfaces specified to be anodized shall be verified by testing
treated specimen
[[Page 69]]
surfaces for weight and corrosion resistance to ensure that the coating
obtained conforms to the coating specification. The specimen surfaces
shall be finished in accordance with military standard specification
8625F, Type II, Class I (reference 4 in appendix A of this subpart) in
the same way the sampler surfaces are finished, and tested, prior to
sealing, as specified in section 4.5.2 of reference 4 in appendix A of
this subpart.
(e) Final assembly and inspection requirements. Each sampler shall
be tested after manufacture and before delivery to the final user. Each
manufacturer shall document its post-manufacturing test procedures. As a
minimum, each test shall consist of the following: Tests of the overall
integrity of the sampler, including leak tests; calibration or
verification of the calibration of the flow measurement device,
barometric pressure sensor, and temperature sensors; and operation of
the sampler with a filter in place over a period of at least 48 hours.
The results of each test shall be suitably documented and shall be
subject to review by an ISO-certified auditor.
(f) Manufacturer's audit checklists. Manufacturers shall require an
ISO-certified auditor to sign and date a statement indicating that the
auditor is aware of the appropriate manufacturing specifications
contained in 40 CFR part 50, appendix L or O (as applicable), and the
test or verification requirements in this subpart. Manufacturers shall
also require an ISO-certified auditor to complete the checklists, shown
in figures E-1 and E-2 of this subpart, which describe the
manufacturer's ability to meet the requirements of the standard for both
designation testing and product manufacture.
(1) Designation testing checklist. The completed statement and
checklist as shown in figure E-1 of this subpart shall be submitted with
the application for FRM or FEM determination.
(2) Product manufacturing checklist. Manufacturers shall require an
ISO-certified auditor to complete a Product Manufacturing Checklist
(figure E-2 of this subpart), which evaluates the manufacturer on its
ability to meet the requirements of the standard in maintaining quality
control in the production of FRM or FEM devices. The completed checklist
shall be submitted with the application for FRM or FEM determination.
[71 FR 61290, Oct. 17, 2006]
Sec. 53.52 Leak check test.
(a) Overview. In section 7.4.6 of 40 CFR part 50, appendix L, the
sampler is required to include the facility, including components,
instruments, operator controls, a written procedure, and other
capabilities as necessary, to allow the operator to carry out a leak
test of the sampler at a field monitoring site without additional
equipment. This test procedure is intended to test the adequacy and
effectiveness of the sampler's leak check facility. Because of the
variety of potential sampler configurations and leak check procedures
possible, some adaptation of this procedure may be necessary to
accommodate the specific sampler under test. The test conditions and
performance specifications associated with this test are summarized in
table E-1 of this subpart. The candidate test sampler must meet all test
parameters and test specifications to successfully pass this test.
(b) Technical definitions. (1) External leakage includes the total
flow rate of external ambient air which enters the sampler other than
through the sampler inlet and which passes through any one or more of
the impactor, filter, or flow rate measurement components.
(2) Internal leakage is the total sample air flow rate that passes
through the filter holder assembly without passing through the sample
filter.
(c) Required test equipment. (1) Flow rate measurement device, range
70 mL/min to 130 mL/min, 2 percent certified accuracy, NIST-traceable.
(2) Flow rate measurement adaptor (40 CFR part 50, appendix L,
figure L-30) or equivalent adaptor to facilitate measurement of sampler
flow rate at the top of the downtube.
(3) Impermeable membrane or disk, 47 mm nominal diameter.
(4) Means, such as a micro-valve, of providing a simulated leak flow
rate through the sampler of approximately 80 mL/min under the conditions
specified for the leak check in the sampler's leak check procedure.
[[Page 70]]
(5) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L.
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and one or more non-zero flow rates within 7 days of use for this
test.
(e) Test setup. (1) The test sampler shall be set up for testing as
described in the sampler's operation or instruction manual referred to
in Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
its normal configuration for collecting PM samples, except that the
sample air inlet shall be removed and the flow rate measurement adaptor
shall be installed on the sampler's downtube.
(2) The flow rate control device shall be set up to provide a
constant, controlled flow rate of 80 mL/min into the sampler downtube
under the conditions specified for the leak check in the sampler's leak
check procedure.
(3) The flow rate measurement device shall be set up to measure the
controlled flow rate of 80 mL/min into the sampler downtube under the
conditions specified for the leak check in the sampler's leak check
procedure.
(f) Procedure. (1) Install the impermeable membrane in a filter
cassette and install the cassette into the sampler. Carry out the
internal leak check procedure as described in the sampler's operation/
instruction manual and verify that the leak check acceptance criterion
specified in table E-1 of this subpart is met.
(2) Replace the impermeable membrane with a Teflon filter and
install the cassette in the sampler. Remove the inlet from the sampler
and install the flow measurement adaptor on the sampler's downtube.
Close the valve of the adaptor to seal the flow system. Conduct the
external leak check procedure as described in the sampler's operation/
instruction manual and verify that the leak check acceptance criteria
specified in table E-1 of this subpart are met.
(3) Arrange the flow control device, flow rate measurement device,
and other apparatus as necessary to provide a simulated leak flow rate
of 80 mL/min into the test sampler through the downtube during the
specified external leak check procedure. Carry out the external leak
check procedure as described in the sampler's operation/instruction
manual but with the simulated leak of 80 mL/min.
(g) Test results. The requirements for successful passage of this
test are:
(1) That the leak check procedure indicates no significant external
or internal leaks in the test sampler when no simulated leaks are
introduced.
(2) That the leak check procedure properly identifies the occurrence
of the simulated external leak of 80 mL/min.
[62 FR 38799, July 18, 1997, as amended at 71 FR 61291, Oct. 17, 2006]
Sec. 53.53 Test for flow rate accuracy, regulation, measurement
accuracy, and cut-off.
(a) Overview. This test procedure is designed to evaluate a
candidate sampler's flow rate accuracy with respect to the design flow
rate, flow rate regulation, flow rate measurement accuracy, coefficient
of variability measurement accuracy, and the flow rate cut-off function.
The tests for the first four parameters shall be conducted over a 6-hour
time period during which reference flow measurements are made at
intervals not to exceed 5 minutes. The flow rate cut-off test, conducted
separately, is intended to verify that the sampler carries out the
required automatic sample flow rate cut-off function properly in the
event of a low-flow condition. The test conditions and performance
specifications associated with this test are summarized in table E-1 of
this subpart. The candidate test sampler must meet all test parameters
and test specifications to successfully pass this test.
(b) Technical definitions. (1) Sample flow rate means the
quantitative volumetric flow rate of the air stream caused by the
sampler to enter the sampler inlet and pass through the
[[Page 71]]
sample filter, measured in actual volume units at the temperature and
pressure of the air as it enters the inlet.
(2) The flow rate cut-off function requires the sampler to
automatically stop sample flow and terminate the current sample
collection if the sample flow rate deviates by more than the variation
limits specified in table E-1 of this subpart (10 percent from the
nominal sample flow rate) for more than 60 seconds during a sample
collection period. The sampler is also required to properly notify the
operator with a flag warning indication of the out-of-specification flow
rate condition and if the flow rate cut-off results in an elapsed sample
collection time of less than 23 hours.
(c) Required test equipment. (1) Flow rate meter, suitable for
measuring and recording the actual volumetric sample flow rate at the
sampler downtube, with a minimum range of 10 to 25 L/min, 2 percent
certified, NIST-traceable accuracy. Optional capability for continuous
(analog) recording capability or digital recording at intervals not to
exceed 30 seconds is recommended. While a flow meter which provides a
direct indication of volumetric flow rate is preferred for this test, an
alternative certified flow measurement device may be used as long as
appropriate volumetric flow rate corrections are made based on
measurements of actual ambient temperature and pressure conditions.
(2) Ambient air temperature sensor, with a resolution of 0.1 C and
certified to be accurate to within 0.5 C (if needed). If the certified
flow meter does not provide direct volumetric flow rate readings,
ambient air temperature measurements must be made using continuous
(analog) recording capability or digital recording at intervals not to
exceed 5 minutes.
(3) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2
mm Hg (if needed). If the certified flow meter does not provide direct
volumetric flow rate readings, ambient pressure measurements must be
made using continuous (analog) recording capability or digital recording
at intervals not to exceed 5 minutes.
(4) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sample flow rate
at the sampler downtube.
(5) Valve or other means to restrict or reduce the sample flow rate
to a value at least 10 percent below the design flow rate (16.67 L/min).
If appropriate, the valve of the flow measurement adaptor may be used
for this purpose.
(6) Means for creating an additional pressure drop of 55 mm Hg in
the sampler to simulate a heavily loaded filter, such as an orifice or
flow restrictive plate installed in the filter holder or a valve or
other flow restrictor temporarily installed in the flow path near the
filter.
(7) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L (if required).
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow-rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/min within 7
days prior to use for this test. Where an instrument's measurements are
to be recorded with an analog recording device, the accuracy of the
entire instrument-recorder system shall be calibrated or verified.
(e) Test setup. (1) Setup of the sampler shall be as required in
this paragraph (e) and otherwise as described in the sampler's operation
or instruction manual referred to in Sec. 53.4(b)(3). The sampler shall
be installed upright and set up in its normal configuration for
collecting PM samples. A sample filter and (or) the device for creating
an additional 55 mm Hg pressure drop shall be installed for the duration
of these tests. The sampler's ambient temperature, ambient pressure, and
flow rate measurement systems shall all be calibrated per the sampler's
operation or instruction manual within 7 days prior to this test.
[[Page 72]]
(2) The inlet of the candidate sampler shall be removed and the flow
measurement adaptor installed on the sampler's downtube. A leak check as
described in the sampler's operation or instruction manual shall be
conducted and must be properly passed before other tests are carried
out.
(3) The inlet of the flow measurement adaptor shall be connected to
the outlet of the flow rate meter.
(4) For the flow rate cut-off test, the valve or means for reducing
sampler flow rate shall be installed between the flow measurement
adaptor and the downtube or in another location within the sampler such
that the sampler flow rate can be manually restricted during the test.
(f) Procedure. (1) Set up the sampler as specified in paragraph (e)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual. Set the sampler to automatically start a 6-hour
sample collection period at a convenient time.
(2) During the 6-hour operational flow rate portion of the test,
measure and record the sample flow rate with the flow rate meter at
intervals not to exceed 5 minutes. If ambient temperature and pressure
corrections are necessary to calculate volumetric flow rate, ambient
temperature and pressure shall be measured at the same frequency as that
of the certified flow rate measurements. Note and record the actual
start and stop times for the 6-hour flow rate test period.
(3) Following completion of the 6-hour flow rate test period,
install the flow rate reduction device and change the sampler flow rate
recording frequency to intervals of not more than 30 seconds. Reset the
sampler to start a new sample collection period. Manually restrict the
sampler flow rate such that the sampler flow rate is decreased slowly
over several minutes to a flow rate slightly less than the flow rate
cut-off value (15.0 L/min). Maintain this flow rate for at least 2.0
minutes or until the sampler stops the sample flow automatically.
Manually terminate the sample period, if the sampler has not terminated
it automatically.
(g) Test results. At the completion of the test, validate the test
conditions and determine the test results as follows:
(1) Mean sample flow rate. (i) From the certified measurements
(Qref) of the test sampler flow rate obtained by use of the
flow rate meter, tabulate each flow rate measurement in units of L/min.
If ambient temperature and pressure corrections are necessary to
calculate volumetric flow rate, each measured flow rate shall be
corrected using its corresponding temperature and pressure measurement
values. Calculate the mean flow rate for the sample period
(Qref,ave) as follows:
Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.063
where:
n equals the number of discrete certified flow rate measurements over
the 6-hour test period.
(ii)(A) Calculate the percent difference between this mean flow rate
value and the design value of 16.67 L/min, as follows:
Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.064
(B) To successfully pass the mean flow rate test, the percent
difference calculated in Equation 2 of this paragraph (g)(1)(ii) must be
within 5 percent.
(2) Sample flow rate regulation. (i) From the certified measurements
of the test sampler flow rate, calculate the sample coefficient of
variation (CV) of the discrete measurements as follows:
Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.065
[[Page 73]]
(ii) To successfully pass the flow rate regulation test, the
calculated coefficient of variation for the certified flow rates must
not exceed 2 percent.
(3) Flow rate measurement accuracy. (i) Using the mean volumetric
flow rate reported by the candidate test sampler at the completion of
the 6-hour test period (Qind,ave), determine the accuracy of
the reported mean flow rate as:
Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.066
(ii) To successfully pass the flow rate measurement accuracy test,
the percent difference calculated in Equation 4 of this paragraph (g)(3)
shall not exceed 2 percent.
(4) Flow rate coefficient of variation measurement accuracy. (i)
Using the flow rate coefficient of variation indicated by the candidate
test sampler at the completion of the 6-hour test (%CVind),
determine the accuracy of this reported coefficient of variation as:
Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.067
(ii) To successfully pass the flow rate CV measurement accuracy
test, the absolute difference in values calculated in Equation 5 of this
paragraph (g)(4) must not exceed 0.3 (CV%).
(5) Flow rate cut-off. (i) Inspect the measurements of the sample
flow rate during the flow rate cut-off test and determine the time at
which the sample flow rate decreased to a value less than the cut-off
value specified in table E-1 of this subpart. To pass this test, the
sampler must have automatically stopped the sample flow at least 30
seconds but not more than 90 seconds after the time at which the sampler
flow rate was determined to have decreased to a value less than the cut-
off value.
(ii) At the completion of the flow rate cut-off test, download the
archived data from the test sampler and verify that the sampler's
required Flow-out-of-spec and Incorrect sample period flag indicators
are properly set.
[62 FR 38799, July 18, 1997, as amended at 71 FR 61291, Oct. 17, 2006]
Sec. 53.54 Test for proper sampler operation following power
interruptions.
(a) Overview. (1) This test procedure is designed to test certain
performance parameters of the candidate sampler during a test period in
which power interruptions of various duration occur. The performance
parameters tested are:
(i) Proper flow rate performance of the sampler.
(ii) Accuracy of the sampler's average flow rate, CV, and sample
volume measurements.
(iii) Accuracy of the sampler's reported elapsed sampling time.
(iv) Accuracy of the reported time and duration of power
interruptions.
(2) This test shall be conducted during operation of the test
sampler over a continuous 6-hour test period during which the sampler's
flow rate shall be measured and recorded at intervals not to exceed 5
minutes. The performance parameters tested under this procedure, the
corresponding minimum performance specifications, and the applicable
test conditions are summarized in table E-1 of this subpart. Each
performance parameter tested, as described or determined in the test
procedure, must meet or exceed the associated performance specification
to successfully pass this test.
(b) Required test equipment. (1) Flow rate meter, suitable for
measuring and recording the actual volumetric sample flow rate at the
sampler downtube, with a minimum range of 10 to 25 L/min, 2 percent
certified, NIST-traceable accuracy. Optional capability for continuous
(analog) recording capability or digital recording at intervals not to
exceed 5 minutes is recommended. While a flow meter which provides a
direct indication of volumetric flow rate is preferred for this test, an
alternative certified flow measurement device may be used as long as
appropriate volumetric flow rate corrections are made based on
measurements of actual ambient temperature and pressure conditions.
[[Page 74]]
(2) Ambient air temperature sensor (if needed for volumetric
corrections to flow rate measurements), with a resolution of 0.1 C,
certified accurate to within 0.5 C, and continuous (analog) recording
capability or digital recording at intervals not to exceed 5 minutes.
(3) Barometer (if needed for volumetric corrections to flow rate
measurements), range 600 mm Hg to 800 mm Hg, certified accurate to 2 mm
Hg, with continuous (analog) recording capability or digital recording
at intervals not to exceed 5 minutes.
(4) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sample flow rate
at the sampler downtube.
(5) Means for creating an additional pressure drop of 55 mm Hg in
the sampler to simulate a heavily loaded filter, such as an orifice or
flow restrictive plate installed in the filter holder or a valve or
other flow restrictor temporarily installed in the flow path near the
filter.
(6) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L (if required).
(7) Time measurement system, accurate to within 10 seconds per day.
(c) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/min within 7
days prior to use for this test. Where an instrument's measurements are
to be recorded with an analog recording device, the accuracy of the
entire instrument-recorder system shall be calibrated or verified.
(d) Test setup. (1) Setup of the sampler shall be performed as
required in this paragraph (d) and otherwise as described in the
sampler's operation or instruction manual referred to in
Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
its normal configuration for collecting PM samples. A sample filter and
(or) the device for creating an additional 55 mm Hg pressure drop shall
be installed for the duration of these tests. The sampler's ambient
temperature, ambient pressure, and flow measurement systems shall all be
calibrated per the sampler's operating manual within 7 days prior to
this test.
(2) The inlet of the candidate sampler shall be removed and the flow
measurement adaptor installed on the sample downtube. A leak check as
described in the sampler's operation or instruction manual shall be
conducted and must be properly passed before other tests are carried
out.
(3) The inlet of the flow measurement adaptor shall be connected to
the outlet of the flow rate meter.
(e) Procedure. (1) Set up the sampler as specified in paragraph (d)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual. Set the sampler to automatically start a 6-hour
sample collection period at a convenient time.
(2) During the entire 6-hour operational flow rate portion of the
test, measure and record the sample flow rate with the flow rate meter
at intervals not to exceed 5 minutes. If ambient temperature and
pressure corrections are necessary to calculate volumetric flow rate,
ambient temperature and pressure shall be measured at the same frequency
as that of the certified flow rate measurements. Note and record the
actual start and stop times for the 6-hour flow rate test period.
(3) During the 6-hour test period, interrupt the AC line electrical
power to the sampler 5 times, with durations of 20 seconds, 40 seconds,
2 minutes, 7 minutes, and 20 minutes (respectively), with not less than
10 minutes of normal electrical power supplied between each power
interruption. Record the hour and minute and duration of each power
interruption.
(4) At the end of the test, terminate the sample period (if not
automatically terminated by the sampler) and download all archived
instrument data from the test sampler.
(f) Test results. At the completion of the sampling period, validate
the test
[[Page 75]]
conditions and determine the test results as follows:
(1) Mean sample flow rate. (i) From the certified measurements
(Qref) of the test sampler flow rate, tabulate each flow rate
measurement in units of L/min. If ambient temperature and pressure
corrections are necessary to calculate volumetric flow rate, each
measured flow rate shall be corrected using its corresponding
temperature and pressure measurement values. Calculate the mean flow
rate for the sample period (Qref,ave) as follows:
Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.068
where:
n equals the number of discrete certified flow rate measurements over
the 6-hour test period, excluding flow rate values obtained
during periods of power interruption.
(ii)(A) Calculate the percent difference between this mean flow rate
value and the design value of 16.67 L/min, as follows:
Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.069
(B) To successfully pass this test, the percent difference
calculated in Equation 7 of this paragraph (f)(1)(ii) must be within 5
percent.
(2) Sample flow rate regulation. (i) From the certified measurements
of the test sampler flow rate, calculate the sample coefficient of
variation of the discrete measurements as follows:
Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.070
(ii) To successfully pass this test, the calculated coefficient of
variation for the certified flow rates must not exceed 2 percent.
(3) Flow rate measurement accuracy. (i) Using the mean volumetric
flow rate reported by the candidate test sampler at the completion of
the 6-hour test (Qind,ave), determine the accuracy of the
reported mean flow rate as:
Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.071
(ii) To successfully pass this test, the percent difference
calculated in Equation 9 of this paragraph (f)(3) shall not exceed 2
percent.
(4) Flow rate CV measurement accuracy. (i) Using the flow rate
coefficient of variation indicated by the candidate test sampler at the
completion of the 6-hour test (%CVind), determine the
accuracy of the reported coefficient of variation as:
Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.072
(ii) To successfully pass this test, the absolute difference in
values calculated in Equation 10 of this paragraph (f)(4) must not
exceed 0.3 (CV%).
(5) Verify that the sampler properly provided a record and visual
display of the correct year, month, day-of-month, hour, and minute with
an accuracy of 2 minutes, of the start of each power interruption of
duration greater than 60 seconds.
(6) Calculate the actual elapsed sample time, excluding the periods
of electrical power interruption. Verify that the elapsed sample time
reported by the sampler is accurate to within 20 seconds for the 6-hour
test run.
(7) Calculate the sample volume as Qref.ave multiplied by
the sample time, excluding periods of power interruption. Verify that
the sample volume reported by the sampler is within 2 percent of the
calculated sample volume to successfully pass this test.
(8) Inspect the downloaded instrument data from the test sampler and
verify that all data are consistent with normal operation of the
sampler.
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998, as amended at 71
FR 61291, Oct. 17, 2006]
[[Page 76]]
Sec. 53.55 Test for effect of variations in power line voltage and
ambient temperature.
(a) Overview. (1) This test procedure is a combined procedure to
test various performance parameters under variations in power line
voltage and ambient temperature. Tests shall be conducted in a
temperature-controlled environment over four 6-hour time periods during
which reference temperature and flow rate measurements shall be made at
intervals not to exceed 5 minutes. Specific parameters to be evaluated
at line voltages of 105 and 125 volts and temperatures of ^20 C and +
40 C are as follows:
(i) Sample flow rate.
(ii) Flow rate regulation.
(iii) Flow rate measurement accuracy.
(iv) Coefficient of variability measurement accuracy.
(v) Ambient air temperature measurement accuracy.
(vi) Proper operation of the sampler when exposed to power line
voltage and ambient temperature extremes.
(2) The performance parameters tested under this procedure, the
corresponding minimum performance specifications, and the applicable
test conditions are summarized in table E-1 of this subpart. Each
performance parameter tested, as described or determined in the test
procedure, must meet or exceed the associated performance specification
given. The candidate sampler must meet all specifications for the
associated PM 2.5 or PM 10-2.5 method (as
applicable) to pass this test procedure.
(b) Technical definition. Sample flow rate means the quantitative
volumetric flow rate of the air stream caused by the sampler to enter
the sampler inlet and pass through the sample filter, measured in actual
volume units at the temperature and pressure of the air as it enters the
inlet.
(c) Required test equipment. (1) Environmental chamber or other
temperature-controlled environment or environments, capable of obtaining
and maintaining temperatures at ^20 C and = 40 C as required for the
test with an accuracy of 2 C. The test environment(s) must be capable
of maintaining these temperatures within the specified limits
continuously with the additional heat load of the operating test sampler
in the environment. Henceforth, where the test procedures specify a test
or environmental ``chamber,'' an alternative temperature-controlled
environmental area or areas may be substituted, provided the required
test temperatures and all other test requirements are met.
(2) Variable voltage AC power transformer, range 100 Vac to 130 Vac,
with sufficient current capacity to operate the test sampler
continuously under the test conditions.
(3) Flow rate meter, suitable for measuring and recording the actual
volumetric sample flow rate at the sampler downtube, with a minimum
range of 10 to 25 actual L/min, 2 percent certified, NIST-traceable
accuracy. Optional capability for continuous (analog) recording
capability or digital recording at intervals not to exceed 5 minutes is
recommended. While a flow meter which provides a direct indication of
volumetric flow rate is preferred for this test, an alternative
certified flow measurement device may be used as long as appropriate
volumetric flow rate corrections are made based on measurements of
actual ambient temperature and pressure conditions.
(4) Ambient air temperature recorder, range ^30 C to = 50 C, with
a resolution of 0.1 C and certified accurate to within 0.5 C. Ambient
air temperature measurements must be made using continuous (analog)
recording capability or digital recording at intervals not to exceed 5
minutes.
(5) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2
mm Hg. If the certified flow rate meter does not provide direct
volumetric flow rate readings, ambient pressure measurements must be
made using continuous (analog) recording capability or digital recording
at intervals not to exceed 5 minutes.
(6) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate
at the sampler downtube.
(7) Means for creating an additional pressure drop of 55 mm Hg in
the sampler to simulate a heavily loaded filter,
[[Page 77]]
such as an orifice or flow restrictive plate installed in the filter
holder or a valve or other flow restrictor temporarily installed in the
flow path near the filter.
(8) AC RMS voltmeter, accurate to 1.0 volt.
(9) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L (if required).
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/min within 7
days prior to use for this test. Where an instrument's measurements are
to be recorded with an analog recording device, the accuracy of the
entire instrument-recorder system shall be calibrated or verified.
(e) Test setup. (1) Setup of the sampler shall be performed as
required in this paragraph (e) and otherwise as described in the
sampler's operation or instruction manual referred to in
Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
the temperature-controlled chamber in its normal configuration for
collecting PM samples. A sample filter and (or) the device for creating
an additional 55 mm Hg pressure drop shall be installed for the duration
of these tests. The sampler's ambient temperature, ambient pressure, and
flow measurement systems shall all be calibrated per the sampler's
operating manual within 7 days prior to this test.
(2) The inlet of the candidate sampler shall be removed and the flow
measurement adaptor installed on the sampler's downtube. A leak check as
described in the sampler's operation or instruction manual shall be
conducted and must be properly passed before other tests are carried
out.
(3) The inlet of the flow measurement adaptor shall be connected to
the outlet of the flow rate meter.
(4) The ambient air temperature recorder shall be installed in the
test chamber such that it will accurately measure the temperature of the
air in the vicinity of the candidate sampler without being unduly
affected by the chamber's air temperature control system.
(f) Procedure. (1) Set up the sampler as specified in paragraph (e)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual.
(2) The test shall consist of four test runs, one at each of the
following conditions of chamber temperature and electrical power line
voltage (respectively):
(i) ^20 C 2 C and 105 1 Vac.
(ii) ^20 C 2 C and 125 1 Vac.
(iii) = 40 C 2 C and 105 1 Vac.
(iv) = 40 C 2 C and 125 1 Vac.
(3) For each of the four test runs, set the selected chamber
temperature and power line voltage for the test run. Upon achieving each
temperature setpoint in the chamber, the candidate sampler and flow
meter shall be thermally equilibrated for a period of at least 2 hours
prior to the test run. Following the thermal conditioning time, set the
sampler to automatically start a 6-hour sample collection period at a
convenient time.
(4) During each 6-hour test period:
(i) Measure and record the sample flow rate with the flow rate meter
at intervals not to exceed 5 minutes. If ambient temperature and
pressure corrections are necessary to calculate volumetric flow rate,
ambient temperature and pressure shall be measured at the same frequency
as that of the certified flow rate measurements. Note and record the
actual start and stop times for the 6-hour flow rate test period.
(ii) Determine and record the ambient (chamber) temperature
indicated by the sampler and the corresponding ambient (chamber)
temperature measured by the ambient temperature recorder specified in
paragraph (c)(4) of this section at intervals not to exceed 5 minutes.
(iii) Measure the power line voltage to the sampler at intervals not
greater than 1 hour.
[[Page 78]]
(5) At the end of each test run, terminate the sample period (if not
automatically terminated by the sampler) and download all archived
instrument data from the test sampler.
(g) Test results. For each of the four test runs, examine the
chamber temperature measurements and the power line voltage
measurements. Verify that the temperature and line voltage met the
requirements specified in paragraph (f) of this section at all times
during the test run. If not, the test run is not valid and must be
repeated. Determine the test results as follows:
(1) Mean sample flow rate. (i) From the certified measurements
(Qref) of the test sampler flow rate, tabulate each flow rate
measurement in units of L/min. If ambient temperature and pressure
corrections are necessary to calculate volumetric flow rate, each
measured flow rate shall be corrected using its corresponding
temperature and pressure measurement values. Calculate the mean flow
rate for each sample period (Qref,ave) as follows:
Equation 11
[GRAPHIC] [TIFF OMITTED] TR18JY97.073
where:
n equals the number of discrete certified flow rate measurements over
each 6-hour test period.
(ii)(A) Calculate the percent difference between this mean flow rate
value and the design value of 16.67 L/min, as follows:
Equation 12
[GRAPHIC] [TIFF OMITTED] TR18JY97.074
(B) To successfully pass this test, the percent difference
calculated in Equation 12 of this paragraph (g)(1)(ii) must be within 5
percent for each test run.
(2) Sample flow rate regulation. (i) From the certified measurements
of the test sampler flow rate, calculate the sample coefficient of
variation of the discrete measurements as follows:
Equation 13
[GRAPHIC] [TIFF OMITTED] TR18JY97.075
(ii) To successfully pass this test, the calculated coefficient of
variation for the certified flow rates must not exceed 2 percent.
(3) Flow rate measurement accuracy. (i) Using the mean volumetric
flow rate reported by the candidate test sampler at the completion of
each 6-hour test (Qind,ave), determine the accuracy of the
reported mean flow rate as:
Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.076
(ii) To successfully pass this test, the percent difference
calculated in Equation 14 of this paragraph (g)(3) shall not exceed 2
percent for each test run.
(4) Flow rate coefficient of variation measurement accuracy. (i)
Using the flow rate coefficient of variation indicated by the candidate
test sampler (%CVind), determine the accuracy of the reported
coefficient of variation as:
Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.077
(ii) To successfully pass this test, the absolute difference
calculated in Equation 15 of this paragraph (g)(4) must not exceed 0.3
(CV%) for each test run.
(5) Ambient temperature measurement accuracy. (i) Calculate the
absolute value of the difference between the mean ambient air
temperature indicated by the test sampler and the mean ambient (chamber)
air temperature measured with the ambient air temperature recorder as:
[GRAPHIC] [TIFF OMITTED] TR17OC06.037
Where:
Tind,ave = The mean ambient air temperature indicated by the
test sampler, C; and
[[Page 79]]
Tref,ave = The mean ambient air temperature measured by the
reference temperature instrument, C.
(ii) The calculated temperature difference must be less than 2 C
for each test run.
(6) Sampler functionality. To pass the sampler functionality test,
the following two conditions must both be met for each test run:
(i) The sampler must not shutdown during any portion of the 6-hour
test.
(ii) An inspection of the downloaded data from the test sampler
verifies that all the data are consistent with normal operation of the
sampler.
[62 FR 38799, July 18, 1997, as amended at 71 FR 61291, Oct. 17, 2006]
Sec. 53.56 Test for effect of variations in ambient pressure.
(a) Overview. (1) This test procedure is designed to test various
sampler performance parameters under variations in ambient (barometric)
pressure. Tests shall be conducted in a pressure-controlled environment
over two 6-hour time periods during which reference pressure and flow
rate measurements shall be made at intervals not to exceed 5 minutes.
Specific parameters to be evaluated at operating pressures of 600 and
800 mm Hg are as follows:
(i) Sample flow rate.
(ii) Flow rate regulation.
(iii) Flow rate measurement accuracy.
(iv) Coefficient of variability measurement accuracy.
(v) Ambient pressure measurement accuracy.
(vi) Proper operation of the sampler when exposed to ambient
pressure extremes.
(2) The performance parameters tested under this procedure, the
corresponding minimum performance specifications, and the applicable
test conditions are summarized in table E-1 of this subpart. Each
performance parameter tested, as described or determined in the test
procedure, must meet or exceed the associated performance specification
given. The candidate sampler must meet all specifications for the
associated PM 2.5 or PM 10-2.5 method (as
applicable) to pass this test procedure.
(b) Technical definition. Sample flow rate means the quantitative
volumetric flow rate of the air stream caused by the sampler to enter
the sampler inlet and pass through the sample filter, measured in actual
volume units at the temperature and pressure of the air as it enters the
inlet.
(c) Required test equipment. (1) Hypobaric chamber or other
pressure-controlled environment or environments, capable of obtaining
and maintaining pressures at 600 mm Hg and 800 mm Hg required for the
test with an accuracy of 5 mm Hg. Henceforth, where the test procedures
specify a test or environmental chamber, an alternative pressure-
controlled environmental area or areas may be substituted, provided the
test pressure requirements are met. Means for simulating ambient
pressure using a closed-loop sample air system may also be approved for
this test; such a proposed method for simulating the test pressure
conditions may be described and submitted to EPA at the address given in
Sec. 53.4(a) prior to conducting the test for a specific individual
determination of acceptability.
(2) Flow rate meter, suitable for measuring and recording the actual
volumetric sampler flow rate at the sampler downtube, with a minimum
range of 10 to 25 L/min, 2 percent certified, NIST-traceable accuracy.
Optional capability for continuous (analog) recording capability or
digital recording at intervals not to exceed 5 minutes is recommended.
While a flow meter which provides a direct indication of volumetric flow
rate is preferred for this test, an alternative certified flow
measurement device may be used as long as appropriate volumetric flow
rate corrections are made based on measurements of actual ambient
temperature and pressure conditions.
(3) Ambient air temperature recorder (if needed for volumetric
corrections to flow rate measurements) with a range ^30 C to = 50 C,
certified accurate to within 0.5 C. If the certified flow meter does
not provide direct volumetric flow rate readings, ambient temperature
measurements must be made using continuous (analog) recording capability
or digital recording at intervals not to exceed 5 minutes.
[[Page 80]]
(4) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2
mm Hg. Ambient air pressure measurements must be made using continuous
(analog) recording capability or digital recording at intervals not to
exceed 5 minutes.
(5) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate
at the sampler downtube.
(6) Means for creating an additional pressure drop of 55 mm Hg in
the sampler to simulate a heavily loaded filter, such as an orifice or
flow restrictive plate installed in the filter holder or a valve or
other flow restrictor temporarily installed in the flow path near the
filter.
(7) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L (if required).
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/min within 7
days prior to use for this test. Where an instrument's measurements are
to be recorded with an analog recording device, the accuracy of the
entire instrument-recorder system shall be calibrated or verified.
(e) Test setup. (1) Setup of the sampler shall be performed as
required in this paragraph (e) and otherwise as described in the
sampler's operation or instruction manual referred to in
Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
the pressure-controlled chamber in its normal configuration for
collecting PM samples. A sample filter and (or) the device for creating
an additional 55 mm Hg pressure drop shall be installed for the duration
of these tests. The sampler's ambient temperature, ambient pressure, and
flow measurement systems shall all be calibrated per the sampler's
operating manual within 7 days prior to this test.
(2) The inlet of the candidate sampler shall be removed and the flow
measurement adaptor installed on the sampler's downtube. A leak check as
described in the sampler's operation or instruction manual shall be
conducted and must be properly passed before other tests are carried
out.
(3) The inlet of the flow measurement adaptor shall be connected to
the outlet of the flow rate meter.
(4) The barometer shall be installed in the test chamber such that
it will accurately measure the air pressure to which the candidate
sampler is subjected.
(f) Procedure. (1) Set up the sampler as specified in paragraph (e)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual.
(2) The test shall consist of two test runs, one at each of the
following conditions of chamber pressure:
(i) 600 mm Hg.
(ii) 800 mm Hg.
(3) For each of the two test runs, set the selected chamber pressure
for the test run. Upon achieving each pressure setpoint in the chamber,
the candidate sampler shall be pressure-equilibrated for a period of at
least 30 minutes prior to the test run. Following the conditioning time,
set the sampler to automatically start a 6-hour sample collection period
at a convenient time.
(4) During each 6-hour test period:
(i) Measure and record the sample flow rate with the flow rate meter
at intervals not to exceed 5 minutes. If ambient temperature and
pressure corrections are necessary to calculate volumetric flow rate,
ambient temperature and pressure shall be measured at the same frequency
as that of the certified flow rate measurements. Note and record the
actual start and stop times for the 6-hour flow rate test period.
(ii) Determine and record the ambient (chamber) pressure indicated
by the sampler and the corresponding ambient (chamber) pressure measured
by the barometer specified in paragraph (c)(4) of this section at
intervals not to exceed 5 minutes.
[[Page 81]]
(5) At the end of each test period, terminate the sample period (if
not automatically terminated by the sampler) and download all archived
instrument data for the test run from the test sampler.
(g) Test results. For each of the two test runs, examine the chamber
pressure measurements. Verify that the pressure met the requirements
specified in paragraph (f) of this section at all times during the test.
If not, the test run is not valid and must be repeated. Determine the
test results as follows:
(1) Mean sample flow rate. (i) From the certified measurements
(Qref) of the test sampler flow rate, tabulate each flow rate
measurement in units of L/min. If ambient temperature and pressure
corrections are necessary to calculate volumetric flow rate, each
measured flow rate shall be corrected using its corresponding
temperature and pressure measurement values. Calculate the mean flow
rate for the sample period (Qref,ave) as follows:
Equation 17
[GRAPHIC] [TIFF OMITTED] TR18JY97.079
where:
n equals the number of discrete certified flow measurements over the 6-
hour test period.
(ii)(A) Calculate the percent difference between this mean flow rate
value and the design value of 16.67 L/min, as follows:
Equation 18
[GRAPHIC] [TIFF OMITTED] TR18JY97.080
(B) To successfully pass this test, the percent difference
calculated in Equation 18 of this paragraph (g)(1) must be within 5
percent for each test run.
(2) Sample flow rate regulation. (i) From the certified measurements
of the test sampler flow rate, calculate the sample coefficient of
variation of the discrete measurements as follows:
Equation 19
[GRAPHIC] [TIFF OMITTED] TR18JY97.081
(ii) To successfully pass this test, the calculated coefficient of
variation for the certified flow rates must not exceed 2 percent.
(3) Flow rate measurement accuracy. (i) Using the mean volumetric
flow rate reported by the candidate test sampler at the completion of
each 6-hour test (Qind,ave), determine the accuracy of the
reported mean flow rate as:
Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.082
(ii) To successfully pass this test, the percent difference
calculated in Equation 20 of this paragraph (g)(3) shall not exceed 2
percent for each test run.
(4) Flow rate CV measurement accuracy. (i) Using the flow rate
coefficient of variation indicated by the candidate test sampler at the
completion of the 6-hour test (%CVind), determine the
accuracy of the reported coefficient of variation as:
Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.083
(ii) To successfully pass this test, the absolute difference in
values calculated in Equation 21 of this paragraph (g)(4) must not
exceed 0.3 (CV%) for each test run.
(5) Ambient pressure measurement accuracy. (i) Calculate the
absolute difference between the mean ambient air pressure indicated by
the test sampler and the ambient (chamber) air pressure measured with
the reference barometer as:
Equation 22
[GRAPHIC] [TIFF OMITTED] TR18JY97.084
where:
Pind,ave = mean ambient pressure indicated by the test
sampler, mm Hg; and
[[Page 82]]
Pref,ave = mean barometric pressure measured by the reference
barometer, mm Hg.
(ii) The calculated pressure difference must be less than 10 mm Hg
for each test run to pass the test.
(6) Sampler functionality. To pass the sampler functionality test,
the following two conditions must both be met for each test run:
(i) The sampler must not shut down during any part of the 6-hour
tests; and
(ii) An inspection of the downloaded data from the test sampler
verifies that all the data are consistent with normal operation of the
sampler.
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998, as amended at 71
FR 61292, Oct. 17, 2006]
Sec. 53.57 Test for filter temperature control during sampling and
post-sampling periods.
(a) Overview. This test is intended to measure the candidate
sampler's ability to prevent excessive overheating of the PM sample
collection filter (or filters) under conditions of elevated solar
insolation. The test evaluates radiative effects on filter temperature
during a 4-hour period of active sampling as well as during a subsequent
4-hour non-sampling time period prior to filter retrieval. Tests shall
be conducted in an environmental chamber which provides the proper
radiant wavelengths and energies to adequately simulate the sun's
radiant effects under clear conditions at sea level. For additional
guidance on conducting solar radiative tests under controlled
conditions, consult military standard specification 810-E (reference 6
in appendix A of this subpart). The performance parameters tested under
this procedure, the corresponding minimum performance specifications,
and the applicable test conditions are summarized in table E-1 of this
subpart. Each performance parameter tested, as described or determined
in the test procedure, must meet or exceed the associated performance
specification to successfully pass this test.
(b) Technical definition. Filter temperature control during sampling
is the ability of a sampler to maintain the temperature of the
particulate matter sample filter within the specified deviation (5 C)
from ambient temperature during any active sampling period. Post-
sampling temperature control is the ability of a sampler to maintain the
temperature of the particulate matter sample filter within the specified
deviation from ambient temperature during the period from the end of
active sample collection by the sampler until the filter is retrieved
from the sampler for laboratory analysis.
(c) Required test equipment. (1) Environmental chamber providing the
means, such as a bank of solar-spectrum lamps, for generating or
simulating thermal radiation in approximate spectral content and
intensity equivalent to solar insulation of 1000 50 W/m\2\ inside the
environmental chamber. To properly simulate the sun's radiative effects
on the sampler, the solar bank must provide the spectral energy
distribution and permitted tolerances specified in table E-2 of this
subpart. The solar radiation source area shall be such that the width of
the candidate sampler shall not exceed one-half the dimensions of the
solar bank. The solar bank shall be located a minimum of 76 cm (30
inches) from any surface of the candidate sampler. To meet requirements
of the solar radiation tests, the chamber's internal volume shall be a
minimum of 10 times that of the volume of the candidate sampler. Air
velocity in the region of the sampler must be maintained continuously
during the radiative tests at 2.0 0.5 m/sec.
(2) Ambient air temperature recorder, range ^30 C to = 50 C, with
a resolution of 0.1 C and certified accurate to within 0.5 C. Ambient
air temperature measurements must be made using continuous (analog)
recording capability or digital recording at intervals not to exceed 5
minutes.
(3) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate
at the sampler downtube.
(4) Miniature temperature sensor(s), capable of being installed in
the sampler without introducing air leakage and capable of measuring the
sample air temperature within 1 cm of the center of the filter,
downstream of the filter; with a resolution of 0.1 C, certified
[[Page 83]]
accurate to within 0.5 C, NIST-traceable, with continuous (analog)
recording capability or digital recording at intervals of not more than
5 minutes.
(5) Solar radiometer, to measure the intensity of the simulated
solar radiation in the test environment, range of 0 to approximately
1500 W/m\2\. Optional capability for continuous (analog) recording or
digital recording at intervals not to exceed 5 minutes is recommended.
(6) Sample filter or filters, as specified in section 6 of 40 CFR
part 50, appendix L.
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/min within 7
days prior to use for this test. Where an instrument's measurements are
to be recorded with an analog recording device, the accuracy of the
entire instrument-recorder system shall be calibrated or verified.
(e) Test setup. (1) Setup of the sampler shall be performed as
required in this paragraph (e) and otherwise as described in the
sampler's operation or instruction manual referred to in
Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
the solar radiation environmental chamber in its normal configuration
for collecting PM samples (with the inlet installed). The sampler's
ambient and filter temperature measurement systems shall be calibrated
per the sampler's operating manual within 7 days prior to this test. A
sample filter shall be installed for the duration of this test. For
sequential samplers, a sample filter shall also be installed in each
available sequential channel or station intended for collection of a
sequential sample (or at least five additional filters for magazine-type
sequential samplers) as directed by the sampler's operation or
instruction manual.
(2) The miniature temperature sensor shall be temporarily installed
in the test sampler such that it accurately measures the air temperature
1 cm from the center of the filter on the downstream side of the filter.
The sensor shall be installed such that no external or internal air
leakage is created by the sensor installation. The sensor's dimensions
and installation shall be selected to minimize temperature measurement
uncertainties due to thermal conduction along the sensor mounting
structure or sensor conductors. For sequential samplers, similar
temperature sensors shall also be temporarily installed in the test
sampler to monitor the temperature 1 cm from the center of each filter
stored in the sampler for sequential sample operation.
(3) The solar radiant energy source shall be installed in the test
chamber such that the entire test sampler is irradiated in a manner
similar to the way it would be irradiated by solar radiation if it were
located outdoors in an open area on a sunny day, with the radiation
arriving at an angle of between 30 and 45 from vertical. The intensity
of the radiation received by all sampler surfaces that receive direct
radiation shall average 1000 50 W/m\2\, measured in a plane
perpendicular to the incident radiation. The incident radiation shall be
oriented with respect to the sampler such that the area of the sampler's
ambient temperature sensor (or temperature shield) receives full, direct
radiation as it would or could during normal outdoor installation. Also,
the temperature sensor must not be shielded or shaded from the radiation
by a sampler part in a way that would not occur at other normal
insulation angles or directions.
(4) The solar radiometer shall be installed in a location where it
measures thermal radiation that is generally representative of the
average thermal radiation intensity that the upper portion of the
sampler and sampler inlet receive. The solar radiometer shall be
oriented so that it measures the radiation in a plane perpendicular to
its angle of incidence.
(5) The ambient air temperature recorder shall be installed in the
test chamber such that it will accurately measure the temperature of the
air in
[[Page 84]]
the chamber without being unduly affected by the chamber's air
temperature control system or by the radiant energy from the solar
radiation source that may be present inside the test chamber.
(f) Procedure. (1) Set up the sampler as specified in paragraph (e)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual.
(2) Remove the inlet of the candidate test sampler and install the
flow measurement adaptor on the sampler's downtube. Conduct a leak check
as described in the sampler's operation or instruction manual. The leak
test must be properly passed before other tests are carried out.
(3) Remove the flow measurement adaptor from the downtube and re-
install the sampling inlet.
(4) Activate the solar radiation source and verify that the
resulting energy distribution prescribed in table E-2 of this subpart is
achieved.
(5) Program the test sampler to conduct a single sampling run of 4
continuous hours. During the 4-hour sampling run, measure and record the
radiant flux, ambient temperature, and filter temperature (all filter
temperatures for sequential samplers) at intervals not to exceed 5
minutes.
(6) At the completion of the 4-hour sampling phase, terminate the
sample period, if not terminated automatically by the sampler. Continue
to measure and record the radiant flux, ambient temperature, and filter
temperature or temperatures for 4 additional hours at intervals not to
exceed 5 minutes. At the completion of the 4-hour post-sampling period,
discontinue the measurements and turn off the solar source.
(7) Download all archived sampler data from the test run.
(g) Test results. Chamber radiant flux control. Examine the
continuous record of the chamber radiant flux and verify that the flux
met the requirements specified in table E-2 of this subpart at all times
during the test. If not, the entire test is not valid and must be
repeated.
(1) Filter temperature measurement accuracy. (i) For each 4-hour
test period, calculate the absolute value of the difference between the
mean filter temperature indicated by the sampler (active filter) and the
mean filter temperature measured by the reference temperature sensor
installed within 1 cm downstream of the (active) filter as:
Equation 23
[GRAPHIC] [TIFF OMITTED] TR18JY97.085
where:
Tind,filter = mean filter temperature indicated by the test
sampler, C; and
Tref,filter = mean filter temperature measured by the
reference temperature sensor, C.
(ii) To successfully pass the indicated filter temperature accuracy
test, the calculated difference between the measured means
(Tdiff,filter) must not exceed 2 C for each 4-hour test
period.
(2) Ambient temperature measurement accuracy. (i) For each 4-hour
test period, calculate the absolute value of the difference between the
mean ambient air temperature indicated by the test sampler and the mean
ambient air temperature measured by the reference ambient air
temperature recorder as:
Equation 24
[GRAPHIC] [TIFF OMITTED] TR18JY97.086
where:
Tind,ambient = mean ambient air temperature indicated by the
test sampler, C; and
Tref,ambient = mean ambient air temperature measured by the
reference ambient air temperature recorder, C.
(ii) To successfully pass the indicated ambient temperature accuracy
test, the calculated difference between the measured means
(Tdiff,ambient) must not exceed 2 C for each 4-hour test
period.
(3) Filter temperature control accuracy. (i) For each temperature
measurement interval over each 4-hour test period, calculate the
difference between the filter temperature indicated by the reference
temperature sensor and the ambient temperature indicated by the test
sampler as:
Equation 25
[GRAPHIC] [TIFF OMITTED] TR18JY97.087
[[Page 85]]
(ii) Tabulate and inspect the calculated differences as a function
of time. To successfully pass the indicated filter temperature control
test, the calculated difference between the measured values must not
exceed 5 C for any consecutive intervals covering more than a 30-minute
time period.
(iii) For sequential samplers, repeat the test calculations for each
of the stored sequential sample filters. All stored filters must also
meet the 5 C temperature control test.
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998, as amended at 71
FR 61292, Oct. 17, 2006]
Sec. 53.58 Operational field precision and blank test.
(a) Overview. This test is intended to determine the operational
precision of the candidate sampler during a minimum of 10 days of field
operation, using three collocated test samplers. Measurements of PM are
made at a test site with all of the samplers and then compared to
determine replicate precision. Candidate sequential samplers are also
subject to a test for possible deposition of particulate matter on
inactive filters during a period of storage in the sampler. This
procedure is applicable to both reference and equivalent methods. In the
case of equivalent methods, this test may be combined and conducted
concurrently with the comparability test for equivalent methods
(described in subpart C of this part), using three reference method
samplers collocated with three candidate equivalent method samplers and
meeting the applicable site and other requirements of subpart C of this
part.
(b) Technical definition. (1) Field precision is defined as the
standard deviation or relative standard deviation of a set of PM
measurements obtained concurrently with three or more collocated
samplers in actual ambient air field operation.
(2) Storage deposition is defined as the mass of material
inadvertently deposited on a sample filter that is stored in a
sequential sampler either prior to or subsequent to the active sample
collection period.
(c) Test site. Any outdoor test site having PM 2.5 (or PM
10-2.5, as applicable) concentrations that are reasonably
uniform over the test area and that meet the minimum level requirement
of paragraph (g)(2) of this section is acceptable for this test.
(d) Required facilities and equipment. (1) An appropriate test site
and suitable electrical power to accommodate three test samplers are
required.
(2) Teflon sample filters, as specified in section 6 of 40 CFR part
50, appendix L, conditioned and preweighed as required by section 8 of
40 CFR part 50, appendix L, as needed for the test samples.
(e) Test setup. (1) Three identical test samplers shall be installed
at the test site in their normal configuration for collecting PM samples
in accordance with the instructions in the associated manual referred to
in Sec. 53.4(b)(3) and also in accordance with applicable supplemental
guidance provided in reference 3 in appendix A of this subpart. The test
samplers' inlet openings shall be located at the same height above
ground and between 2 (1 for samplers with flow rates less than 200 L/
min.) and 4 meters apart horizontally. The samplers shall be arranged or
oriented in a manner that will minimize the spatial and wind directional
effects on sample collection of one sampler on any other sampler.
(2) Each test sampler shall be successfully leak checked,
calibrated, and set up for normal operation in accordance with the
instruction manual and with any applicable supplemental guidance
provided in reference 3 in appendix A of this subpart.
(f) Test procedure. (1) Install a conditioned, preweighed filter in
each test sampler and otherwise prepare each sampler for normal sample
collection. Set identical sample collection start and stop times for
each sampler. For sequential samplers, install a conditioned, preweighed
specified filter in each available channel or station intended for
automatic sequential sample filter collection (or at least five
additional filters for magazine-type sequential samplers), as directed
by the sampler's operation or instruction manual. Since the inactive
sequential channels are used for the storage deposition part of the
test, they may not be used to collect the active PM test samples.
[[Page 86]]
(2) Collect either a nominal 24-hour or 48-hour atmospheric PM
sample simultaneously with each of the three test samplers.
(3) Following sample collection, retrieve the collected sample from
each sampler. For sequential samplers, retrieve the additional stored
(blank, unsampled) filters after at least 5 days (120 hours) storage in
the sampler if the active samples are 24-hour samples, or after at least
10 days (240 hours) if the active samples are 48-hour samples.
(4) Determine the measured PM mass concentration for each sample in
accordance with the applicable procedures prescribed for the candidate
method in appendix L or appendix O, as applicable, of part 50 of this
chapter, and in accordance with the associated manual referred to in
Sec. 53.4(b)(3) and supplemental guidance in reference 2 in appendix A
of this subpart. For sequential samplers, also similarly determine the
storage deposition as the net weight gain of each blank, unsampled
filter after the 5-day (or 10-day) period of storage in the sampler.
(5) Repeat this procedure to obtain a total of 10 sets of any
combination of (nominal) 24-hour or 48-hour PM measurements over 10 test
periods. For sequential samplers, repeat the 5-day (or 10-day) storage
test of additional blank filters once for a total of two sets of blank
filters.
(g) Calculations. (1) Record the PM concentration for each test
sampler for each test period as Ci,j, where i is the sampler
number (i = 1,2,3) and j is the test period (j = 1,2, * * * 10).
(2)(i) For each test period, calculate and record the average of the
three measured PM concentrations as Cave,j where j is the
test period using equation 26 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.005
(ii) If Cave,j <3 mg/m\3\ for any test period, data from
that test period are unacceptable, and an additional sample collection
set must be obtained to replace the unacceptable data.
(3)(i) Calculate and record the precision for each of the 10 test
periods, as the standard deviation, using equation 27 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.039
(ii) For each of the 10 test periods, also calculate and record the
precision as the relative standard deviation, in percent, using equation
28 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.040
(h) Test results. (1) The candidate method passes the precision test
if either Pj or RPj is less than or equal to the
corresponding specification in table E-1 of this subpart for all 10 test
periods.
(2) The candidate sequential sampler passes the blank filter storage
deposition test if the average net storage deposition weight gain of
each set of blank filters (total of the net weight gain of each blank
filter divided by the number of filters in the set) from each test
sampler (six sets in all) is less than 50 mg.
[71 FR 61292, Oct. 17, 2006,as amended at 72 FR 32208, June 12, 2007]
Sec. 53.59 Aerosol transport test for Class I equivalent method samplers.
(a) Overview. This test is intended to verify adequate aerosol
transport through any modified or air flow splitting components that may
be used in a Class I candidate equivalent method sampler such as may be
necessary to achieve sequential sampling capability. This test is
applicable to all Class I candidate samplers in which the aerosol flow
path (the flow path through which sample air passes upstream of sample
collection filter) differs significantly from that specified for
reference method samplers as specified in 40 CFR
[[Page 87]]
part 50, appendix L or appendix O, as applicable. The test requirements
and performance specifications for this test are summarized in table E-1
of this subpart.
(b) Technical definitions. (1) Aerosol transport is the percentage
of a laboratory challenge aerosol which penetrates to the active sample
filter of the candidate equivalent method sampler.
(2) The active sample filter is the exclusive filter through which
sample air is flowing during performance of this test.
(3) A no-flow filter is a sample filter through which no sample air
is intended to flow during performance of this test.
(4) A channel is any of two or more flow paths that the aerosol may
take, only one of which may be active at a time.
(5) An added component is any physical part of the sampler which is
different in some way from that specified for a reference method sampler
in 40 CFR part 50, appendix L or appendix O, as applicable, such as a
device or means to allow or cause the aerosol to be routed to one of
several channels.
(c) Required facilities and test equipment. (1) Aerosol generation
system, as specified in Sec. 53.62(c)(2).
(2) Aerosol delivery system, as specified in Sec. 53.64(c)(2).
(3) Particle size verification equipment, as specified in
Sec. 53.62(c)(3).
(4) Fluorometer, as specified in Sec. 53.62(c)(7).
(5) Candidate test sampler, with the inlet and impactor or impactors
removed, and with all internal surfaces of added components electroless
nickel coated as specified in Sec. 53.64(d)(2).
(6) Filters that are appropriate for use with fluorometric methods
(e.g., glass fiber).
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/min within 7
days prior to use for this test. Where an instrument's measurements are
to be recorded with an analog recording device, the accuracy of the
entire instrument-recorder system shall be calibrated or verified.
(e) Test setup. (1) The candidate test sampler shall have its inlet
and impactor or impactors removed. The lower end of the down tube shall
be reconnected to the filter holder, using an extension of the downtube,
if necessary. If the candidate sampler has a separate impactor for each
channel, then for this test, the filter holder assemblies must be
connected to the physical location on the sampler where the impactors
would normally connect.
(2) The test particle delivery system shall be connected to the
sampler downtube so that the test aerosol is introduced at the top of
the downtube.
(f) Test procedure. (1) All surfaces of the added or modified
component or components which come in contact with the aerosol flow
shall be thoroughly washed with 0.01 N NaOH and then dried.
(2) Generate aerosol. (i) Generate aerosol composed of oleic acid
with a uranine fluorometric tag of 3 0.25 mm aerodynamic diameter using
a vibrating orifice aerosol generator according to conventions specified
in Sec. 53.61(g).
(ii) Check for the presence of satellites and adjust the generator
to minimize their production.
(iii) Calculate the aerodynamic particle size using the operating
parameters of the vibrating orifice aerosol generator. The calculated
aerodynamic diameter must be 3 0.25 mm aerodynamic diameter.
(3) Verify the particle size according to procedures specified in
Sec. 53.62(d)(4)(i).
(4) Collect particles on filters for a time period such that the
relative error of the resulting measured fluorometric concentration for
the active filter is less than 5 percent.
(5) Determine the quantity of material collected on the active
filter using a calibrated fluorometer. Record the mass of fluorometric
material for the active filter as Mactive (i) where i = the
active channel number.
(6) Determine the quantity of material collected on each no-flow
filter using a calibrated fluorometer. Record
[[Page 88]]
the mass of fluorometric material on each no-flow filter as
Mno-flow.
(7) Using 0.01 N NaOH, wash the surfaces of the added component or
components which contact the aerosol flow. Determine the quantity of
material collected using a calibrated fluorometer. Record the mass of
fluorometric material collected in the wash as Mwash.
(8) Calculate the aerosol transport as:
Equation 29
[GRAPHIC] [TIFF OMITTED] TR18JY97.091
where:
i = the active channel number.
(9) Repeat paragraphs (f)(1) through (8) of this section for each
channel, making each channel in turn the exclusive active channel.
(g) Test results. The candidate Class I sampler passes the aerosol
transport test if T(i) is at least 97 percent for each
channel.
[62 FR 38799, July 18, 1997, as amended at 71 FR 61293, Oct. 17, 2006]
Sec. Table E-1 to Subpart E of Part 53--Summary of Test Requirements for
Reference and Class I Equivalent Methods for PM 2.5 and PM
10-2.5
----------------------------------------------------------------------------------------------------------------
Performance Part 50, appendix
Subpart E procedure Performance test specification Test conditions L reference
----------------------------------------------------------------------------------------------------------------
Sec. 53.52 Sample leak check Sampler leak check External leakage: Controlled leak Sec. 7.4.6.
test. facility. 80 mL/min, max. flow rate of 80
Internal leakage: mL/min.
80 mL/min, max.
----------------------------------------------------------------------------------------------------------------
Sec. 53.53 Base flow rate test. Sample flow rate.. 1. 16.67 5%, L/ (a) 6-hour normal Sec. 7.4.1.
1. Mean........... min. operational test Sec. 7.4.2.
2. Regulation..... 2. 2%, max........ plus flow rate Sec. 7.4.3.
3. Meas accuracy.. 3. 2%, max........ cut-off test. Sec. 7.4.4.
4. CV accuracy.... 4. 0.3% max....... (b) Normal Sec. 7.4.5.
5. Cut-off........ 5. Flow rate cut- conditions.
off if flow rate (c) Additional 55
deviates more mm Hg pressure
than 10% from drop to simulate
design flow rate loaded filter.
for >60 30 (d) Variable flow
seconds. restriction used
for cut-off test.
Sec. 53.54 Power interruption Sample flow rate.. 1. 16.67 5%, L/ (a) 6-hour normal Sec. 7.4.1.
test. 1. Mean........... min. operational test. Sec. 7.4.2.
2. Regulation..... 2. 2%, max........ (b) Nominal Sec. 7.4.3.
3. Meas. accuracy. 3. 2%, max........ conditions. Sec. 7.4.5.
4. CV accuracy.... 4. 0.3% max....... (c) Additional 55 Sec. 7.4.12.
5. Occurrence time 5. 2 min if >60 mm Hg pressure Sec. 7.4.13.
of power seconds.. drop to simulate Sec. 7.4.15.4.
interruptions. 6. 20 seconds.... loaded filter. Sec. 7.4.15.5.
6. Elapsed sample 7. 2%, max....... (d) 6 power
time. interruptions of
7. Sample volume.. various durations.
----------------------------------------------------------------------------------------------------------------
Sec. 53.55 Temperature and line Sample flow rate.. 1. 16.67 5%, L/ (a) 6-hour normal Sec. 7.4.1.
voltage test. 1. Mean........... min. operational test. Sec. 7.4.2.
2. Regulation..... 2. 2%, max........ (b) Normal Sec. 7.4.3.
3. Meas. accuracy. 3. 2%, max........ conditions. Sec. 7.4.5.
4. CV accuracy.... 4. 0.3% max....... (c) Additional 55 Sec. 7.4.8.
5. Temperature 5. 2 C............ mm Hg pressure Sec. 7.4.15.1.
meas. accuracy. drop to simulate
6. Proper loaded filter.
operation.. (d) Ambient
temperature at
^20 and + 40 C.
(e) Line voltage:
105 Vac to 125
Vac.
----------------------------------------------------------------------------------------------------------------
Sec. 53.56 Barometric pressure Sample flow rate.. 1. 16.67 5%, L/ (a) 6-hour normal Sec. 7.4.1.
effect test. 1. Mean........... p;min. operational test. Sec. 7.4.2.
2. Regulation..... 2. 2%, max........ (b) Normal Sec. 7.4.3.
3. Meas. accuracy. 3. 2%, max........ conditions. Sec. 7.4.5.
4. CV accuracy.... 4. 0.3% max....... (c) Additional 55 Sec. 7.4.9.
5. Pressure meas. 5. 10 mm Hg....... mm Hg pressure
accuracy. drop to simulate
6. Proper loaded filter.
operation.. (d) Barometric
pressure at 600
and 800 mm Hg.
----------------------------------------------------------------------------------------------------------------
[[Page 89]]
Sec. 53.57 Filter temperature 1. Filter temp. 1. 2 C............ (a) 4-hour Sec. 7.4.8.
control test. meas. accuracy. 2. 2 C............ simulated solar Sec. 7.4.10.
2. Ambient temp. 3. Not more than 5 radiation, Sec. 7.4.11.
meas. accuracy. C above ambient sampling.
3. Filter temp. temp. for more (b) 4-hour
control accuracy, than 30 min. simulated solar
sampling and non- radiation, non-
sampling. sampling.
(c) Solar flux of
1000 50 W/m 2.
----------------------------------------------------------------------------------------------------------------
Sec. 53.58 Field precision test 1. Measurement 1. Pj <2 mg/m 3 or (a) 3 collocated Sec. 5.1.
precision. RPj <5%. samplers at 1 Sec. 7.3.5.
2. Storage 2. 50 mg max. site for at least Sec. 8.
deposition test average weight 10 days. Sec. 9.
for sequential gain/blank filter. (b) PM 2.5 conc. Sec. 10.
samplers. >3 mg/m 3.
(c) 24- or 48-hour
samples.
(d) 5- or 10-day
storage period
for inactive
stored filters.
----------------------------------------------------------------------------------------------------------------
The Following Requirement Is Applicable to Class I Candidate Equivalent Methods Only
----------------------------------------------------------------------------------------------------------------
Sec. 53.59 Aerosol transport Aerosol transport. 97%, min. for all Determine aerosol
test. channels.. transport through
any new or
modified
components with
respect to the
reference method
sampler before
the filter for
each channel.
----------------------------------------------------------------------------------------------------------------
[72 FR 32208, June 12, 2007]
Sec. Table E-2 to Subpart E of Part 53--Spectral Energy Distribution and
Permitted Tolerance for Conducting Radiative Tests
------------------------------------------------------------------------
Spectral Region
Characteristic -----------------------------------------------------
Ultraviolet Visible Infrared
------------------------------------------------------------------------
Bandwidth (mm) 0.28 to 0.32 0.40 to 0.78 0.78 to 3.00
0.32 to 0.40
Irradiance (W/ 5 450 to 550 439
m\2\) 56
Allowed Tolerance 35% 10% 10%
25%
------------------------------------------------------------------------
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. Figure E-1 to Subpart E of Part 53--Designation Testing Checklist
DESIGNATION TESTING CHECKLIST
__________ __________ __________
Auditee Auditor signature
Date
------------------------------------------------------------------------
Compliance Status: Y = Yes N = No NA = Not
applicable/Not available Verification
------------------------------------------------------ Comments
Verification Verified by Direct Observation (Includes
-------------------- of Process or of Documented documentation of
Evidence: Performance, Design or who, what, where,
Application Spec. Corresponding when, why) (Doc.
Y N NA to Sections of 40 CFR Part 53 or #, Rev. #, Rev.
40 CFR Part 50, Appendix L Date)
------------------------------------------------------------------------
Performance Specification Tests
Sample flow rate coefficient of
variation (Sec. 53.53) (L-
7.4.3)
------------------------------------------------------------------------
Filter temperature control
(sampling) (Sec. 53.57) (L-
7.4.10)
------------------------------------------------------------------------
Elapsed sample time accuracy
(Sec. 53.54) (L-7.4.13)
------------------------------------------------------------------------
Filter temperature control (post
sampling) (Sec. 53.57) (L-
7.4.10)
------------------------------------------------------------------------
Application Specification Tests
------------------------------------------------------------------------
Field Precision (Sec. 53.58) (L-
5.1)
------------------------------------------------------------------------
[[Page 90]]
Meets all Appendix L
requirements (part 53, subpart
A, Sec. 53.2(a)(3)) (part 53,
subpart E, Sec. 53.51(a),(d))
------------------------------------------------------------------------
Filter Weighing (L-8)
------------------------------------------------------------------------
Field Sampling Procedure (Sec.
53.30, .31, .34)
------------------------------------------------------------------------
Design Specification Tests
------------------------------------------------------------------------
Filter (L-6)
------------------------------------------------------------------------
Range of Operational Conditions
(L-7.4.7)
------------------------------------------------------------------------
The Following Requirements Apply Only to Class I Candidate Equivalent
Methods
------------------------------------------------------------------------
Aerosol Transport (Sec. 53.59)
------------------------------------------------------------------------
Sec. Appendix A to Subpart E of Part 53--References
(1) American National Standard Quality Systems--Model for Quality
Assurance in Design, Development, Production, Installation, and
Servicing, ANSI/ISO/ASQC Q9001-1994. Available from American Society for
Quality, P.O. Box 3005, Milwaukee, WI 53202 (http://
qualitypress.asq.org).
(2) American National Standard Quality Systems for Environmental
Data and Technology Programs--Requirements with guidance for use, ANSI/
ASQC E4-2004. Available from American Society for Quality, P.O. Box
3005, Milwaukee, WI 53202 (http://qualitypress.asq.org).
(3) Quality Assurance Guidance Document 2.12. Monitoring PM
2.5 in Ambient Air Using Designated Reference or Class I
Equivalent Methods. U.S. EPA, National Exposure Research Laboratory,
Research Triangle Park, NC, November 1998 or later edition. Currently
available at http://www.epa.gov/ttn/amtic/pmqainf.html.
(4) Military standard specification (mil. spec.) 8625F, Type II,
Class 1 as listed in Department of Defense Index of Specifications and
Standards (DODISS), available from DODSSP-Customer Service,
Standardization Documents Order Desk, 700 Robbins Avenue, Building 4D,
Philadelphia, PA 1911-5094.
(5) Quality Assurance Handbook for Air Pollution Measurement
Systems, Volume IV: Meteorological Measurements. Revised March, 1995.
EPA-600/R-94-038d. Available from National Technical Information
Service, Springfield, VA 22161, (800-553-6847, http://www.ntis.gov).
NTIS number PB95-199782INZ.
(6) Military standard specification (mil. spec.) 810-E as listed in
Department of Defense Index of Specifications and Standards (DODISS),
available from DODSSP-Customer Service, Standardization Documents Order
Desk, 700 Robbins Avenue, Building 4D, Philadelphia, PA 1911-5094.
[62 FR 38799, July 18, 1997, as amended at 71 FR 61295, Oct. 17, 2006]
Subpart F_Procedures for Testing Performance Characteristics of Class II
Equivalent Methods for PM 2.5
Source: 62 FR 38814, July 18, 1997, unless otherwise noted.
Sec. 53.60 General provisions.
(a) This subpart sets forth the specific requirements that a PM
2.5 sampler associated with a candidate Class II equivalent
method must meet to be designated as an equivalent method for PM
2.5. This subpart also sets forth the explicit test
procedures that must be carried out and the test results, evidence,
documentation, and other materials that must be provided to EPA to
demonstrate that a sampler meets all specified requirements for
designation as an equivalent method.
(b) A candidate method described in an application for a FRM or FEM
determination submitted under Sec. 53.4 shall be determined by the EPA
to be a Class II candidate equivalent method on the basis of the
definition of a Class II FEM in Sec. 53.1.
(c) Any sampler associated with a Class II candidate equivalent
method (Class II sampler) must meet all applicable requirements for FRM
samplers
[[Page 91]]
or Class I FEM samplers specified in subpart E of this part, as
appropriate. Except as provided in Sec. 53.3(a)(3), a Class II PM
2.5 sampler must meet the additional requirements as
specified in paragraph (d) of this section.
(d) Except as provided in paragraphs (d)(1), (2), and (3) of this
section, all Class II samplers are subject to the additional tests and
performance requirements specified in Sec. 53.62 (full wind tunnel
test), Sec. 53.65 (loading test), and Sec. 53.66 (volatility test).
Alternative tests and performance requirements, as described in
paragraphs (d)(1), (2), and (3) of this section, are optionally
available for certain Class II samplers which meet the requirements for
reference method or Class I equivalent method samplers given in 40 CFR
part 50, appendix L, and in subpart E of this part, except for specific
deviations of the inlet, fractionator, or filter.
(1) Inlet deviation. A sampler which has been determined to be a
Class II sampler solely because the design or construction of its inlet
deviates from the design or construction of the inlet specified in 40
CFR part 50, appendix L, for reference method samplers shall not be
subject to the requirements of Sec. 53.62 (full wind tunnel test),
provided that it meets all requirements of Sec. 53.63 (wind tunnel inlet
aspiration test), Sec. 53.65 (loading test), and Sec. 53.66 (volatility
test).
(2) Fractionator deviation. A sampler which has been determined to
be a Class II sampler solely because the design or construction of its
particle size fractionator deviates from the design or construction of
the particle size fractionator specified in 40 CFR part 50, appendix L
for reference method samplers shall not be subject to the requirements
of Sec. 53.62 (full wind tunnel test), provided that it meets all
requirements of Sec. 53.64 (static fractionator test), Sec. 53.65
(loading test), and Sec. 53.66 (volatility test).
(3) Filter size deviation. A sampler which has been determined to be
a Class II sampler solely because its effective filtration area deviates
from that of the reference method filter specified in 40 CFR part 50,
appendix L, for reference method samplers shall not be subject to the
requirements of Sec. 53.62 (full wind tunnel test) nor Sec. 53.65
(loading test), provided it meets all requirements of Sec. 53.66
(volatility test).
(e) The test specifications and acceptance criteria for each test
are summarized in table F-1 of this subpart. The candidate sampler must
demonstrate performance that meets the acceptance criteria for each
applicable test to be designated as an equivalent method.
(f) Overview of various test procedures for Class II samplers--(1)
Full wind tunnel test. This test procedure is designed to ensure that
the candidate sampler's effectiveness (aspiration of an ambient aerosol
and penetration of the sub 2.5-micron fraction to its sample filter)
will be comparable to that of a reference method sampler. The candidate
sampler is challenged at wind speeds of 2 and 24 km/hr with monodisperse
aerosols of the size specified in table F-2 of this subpart. The
experimental test results are then integrated with three idealized
ambient distributions (typical, fine, and coarse) to yield the expected
mass concentration measurement for each. The acceptance criteria are
based on the results of this numerical analysis and the particle
diameter for which the sampler effectiveness is 50 percent.
(2) Wind tunnel inlet aspiration test. The wind tunnel inlet
aspiration test directly compares the inlet of the candidate sampler to
the inlet of a reference method sampler with the single-sized, liquid,
monodisperse challenge aerosol specified in table F-2 of this subpart at
wind speeds of 2 km/hr and 24 km/hr. The acceptance criteria, presented
in table F-1 of this subpart, is based on the relative aspiration
between the candidate inlet and the reference method inlet.
(3) Static fractionator test. The static fractionator test
determines the effectiveness of the candidate sampler's 2.5-micron
fractionator under static conditions for aerosols of the size specified
in table F-2 of this subpart. The numerical analysis procedures and
acceptance criteria are identical to those in the full wind tunnel test.
(4) Loading test. The loading test is conducted to ensure that the
performance of a candidate sampler is not significantly affected by the
amount of particulate deposited on its interior surfaces between
periodic cleanings.
[[Page 92]]
The candidate sampler is artificially loaded by sampling a test
environment containing aerosolized, standard test dust. The duration of
the loading phase is dependent on both the time between cleaning as
specified by the candidate method and the aerosol mass concentration in
the test environment. After loading, the candidate's performance must
then be evaluated by Sec. 53.62 (full wind tunnel evaluation),
Sec. 53.63 (wind tunnel inlet aspiration test), or Sec. 53.64 (static
fractionator test). If the results of the appropriate test meet the
criteria presented in table F-1 of this subpart, then the candidate
sampler passes the loading test under the condition that it be cleaned
at least as often as the cleaning frequency proposed by the candidate
method and that has been demonstrated to be acceptable by this test.
(5) Volatility test. The volatility test challenges the candidate
sampler with a polydisperse, semi-volatile liquid aerosol. This aerosol
is simultaneously sampled by the candidate method sampler and a
reference method sampler for a specified time period. Clean air is then
passed through the samplers during a blow-off time period. Residual mass
is then calculated as the weight of the filter after the blow-off phase
is subtracted from the initial weight of the filter. Acceptance criteria
are based on a comparison of the residual mass measured by the candidate
sampler (corrected for flow rate variations from that of the reference
method) to the residual mass measured by the reference method sampler
for several specified clean air sampling time periods.
(g) Test data. All test data and other documentation obtained from
or pertinent to these tests shall be identified, dated, signed by the
analyst performing the test, and submitted to EPA as part of the
equivalent method application. Schematic drawings of each particle
delivery system and other information showing complete procedural
details of the test atmosphere generation, verification, and delivery
techniques for each test performed shall be submitted to EPA. All
pertinent calculations shall be clearly presented. In addition,
manufacturers are required to submit as part of the application, a
Designation Testing Checklist (Figure F-1 of this subpart) which has
been completed and signed by an ISO-certified auditor.
[62 FR 38814, July 18, 1997, as amended at 71 FR 61295, Oct. 17, 2006]
Sec. 53.61 Test conditions.
(a) Sampler surface preparation. Internal surfaces of the candidate
sampler shall be cleaned and dried prior to performing any Class II
sampler test in this subpart. The internal collection surfaces of the
sampler shall then be prepared in strict accordance with the operating
instructions specified in the sampler's operating manual referred to in
section 7.4.18 of 40 CFR part 50, appendix L.
(b) Sampler setup. Set up and start up of all test samplers shall be
in strict accordance with the operating instructions specified in the
manual referred to in section 7.4.18 of 40 CFR part 50, appendix L,
unless otherwise specified within this subpart.
(c) Sampler adjustments. Once the test sampler or samplers have been
set up and the performance tests started, manual adjustment shall be
permitted only between test points for all applicable tests. Manual
adjustments and any periodic maintenance shall be limited to only those
procedures prescribed in the manual referred to in section 7.4.18 of 40
CFR part 50, appendix L. The submitted records shall clearly indicate
when any manual adjustment or periodic maintenance was made and shall
describe the operations performed.
(d) Sampler malfunctions. If a test sampler malfunctions during any
of the applicable tests, that test run shall be repeated. A detailed
explanation of all malfunctions and the remedial actions taken shall be
submitted as part of the equivalent method application.
(e) Particle concentration measurements. All measurements of
particle concentration must be made such that the relative error in
measurement is less than 5.0 percent. Relative error is defined as (s
100 percent)/(X), where s is the sample standard deviation of the
particle concentration detector, X is the measured concentration, and
the units of s and X are identical.
[[Page 93]]
(f) Operation of test measurement equipment. All test measurement
equipment shall be set up, calibrated, and maintained by qualified
personnel according to the manufacturer's instructions. All appropriate
calibration information and manuals for this equipment shall be kept on
file.
(g) Vibrating orifice aerosol generator conventions. This section
prescribes conventions regarding the use of the vibrating orifice
aerosol generator (VOAG) for the size-selective performance tests
outlined in Secs. 53.62, 53.63, 53.64, and 53.65.
(1) Particle aerodynamic diameter. The VOAG produces near-
monodisperse droplets through the controlled breakup of a liquid jet.
When the liquid solution consists of a non-volatile solute dissolved in
a volatile solvent, the droplets dry to form particles of near-
monodisperse size.
(i) The physical diameter of a generated spherical particle can be
calculated from the operating parameters of the VOAG as:
Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.094
where:
Dp = particle physical diameter, mm;
Q = liquid volumetric flow rate, mm\3\/sec;
Cvol = volume concentration (particle volume produced per
drop volume), dimensionless; and
f = frequency of applied vibrational signal, 1/sec.
(ii) A given particle's aerodynamic behavior is a function of its
physical particle size, particle shape, and density. Aerodynamic
diameter is defined as the diameter of a unit density (ro =
1g/cm\3\) sphere having the same settling velocity as the particle under
consideration. For converting a spherical particle of known density to
aerodynamic diameter, the governing relationship is:
Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.095
where:
Dae = particle aerodynamic diameter, mm;
rp = particle density, g/cm\3\;
ro = aerodynamic particle density = 1 g/cm\3\;
CDp = Cunningham's slip correction factor for physical
particle diameter, dimensionless; and
CDae = Cunningham's slip correction factor for aerodynamic
particle diameter, dimensionless.
(iii) At room temperature and standard pressure, the Cunningham's
slip correction factor is solely a function of particle diameter:
Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.096
or
Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.097
(iv) Since the slip correction factor is itself a function of
particle diameter, the aerodynamic diameter in equation 2 of paragraph
(g)(1)(ii) of this section cannot be solved directly but must be
determined by iteration.
(2) Solid particle generation. (i) Solid particle tests performed in
this subpart shall be conducted using particles composed of ammonium
fluorescein. For use in the VOAG, liquid solutions of known volumetric
concentration can be prepared by diluting fluorescein powder
(C20H12O5, FW = 332.31, CAS 2321-07-5)
with aqueous ammonia. Guidelines for preparation of fluorescein
solutions of the desired volume concentration (Cvol) are
presented by Vanderpool and Rubow (1988) (Reference 2 in appendix A of
this subpart). For purposes of converting particle physical diameter to
aerodynamic diameter, an ammonium fluorescein density of 1.35 g/cm\3\
shall be used.
[[Page 94]]
(ii) Mass deposits of ammonium fluorescein shall be extracted and
analyzed using solutions of 0.01 N ammonium hydroxide.
(3) Liquid particle generation. (i) Tests prescribed in Sec. 53.63
for inlet aspiration require the use of liquid particle tests composed
of oleic acid tagged with uranine to enable subsequent fluorometric
quantitation of collected aerosol mass deposits. Oleic acid
(C18H34O2, FW = 282.47, CAS 112-80-1)
has a density of 0.8935 g/cm\3\. Because the viscosity of oleic acid is
relatively high, significant errors can occur when dispensing oleic acid
using volumetric pipettes. For this reason, it is recommended that oleic
acid solutions be prepared by quantifying dispensed oleic acid
gravimetrically. The volume of oleic acid dispensed can then be
calculated simply by dividing the dispensed mass by the oleic acid
density.
(ii) Oleic acid solutions tagged with uranine shall be prepared as
follows. A known mass of oleic acid shall first be diluted using
absolute ethanol. The desired mass of the uranine tag should then be
diluted in a separate container using absolute ethanol. Uranine
(C20H10O5Na2, FW = 376.3,
CAS 518-47-8) is the disodium salt of fluorescein and has a density of
1.53 g/cm\3\. In preparing uranine tagged oleic acid particles, the
uranine content shall not exceed 20 percent on a mass basis. Once both
oleic acid and uranine solutions are properly prepared, they can then be
combined and diluted to final volume using absolute ethanol.
(iii) Calculation of the physical diameter of the particles produced
by the VOAG requires knowledge of the liquid solution's volume
concentration (Cvol). Because uranine is essentially
insoluble in oleic acid, the total particle volume is the sum of the
oleic acid volume and the uranine volume. The volume concentration of
the liquid solution shall be calculated as:
Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.098
where:
Vu = uranine volume, ml;
Voleic = oleic acid volume, ml;
Vsol = total solution volume, ml;
Mu = uranine mass, g;
ru = uranine density, g/cm\3\;
Moleic = oleic acid mass, g; and
roleic = oleic acid density, g/cm. \3\
(iv) For purposes of converting the particles' physical diameter to
aerodynamic diameter, the density of the generated particles shall be
calculated as:
Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.099
(v) Mass deposits of oleic acid shall be extracted and analyzed
using solutions of 0.01 N sodium hydroxide.
[62 FR 38814, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.62 Test procedure: Full wind tunnel test.
(a) Overview. The full wind tunnel test evaluates the effectiveness
of the candidate sampler at 2 km/hr and 24 km/hr for aerosols of the
size specified in table F-2 of this subpart (under the heading, ``Full
Wind Tunnel Test''). For each wind speed, a smooth curve is fit to the
effectiveness data and corrected for the presence of multiplets in the
wind tunnel calibration aerosol. The cutpoint diameter (Dp50)
at each wind speed is then determined from the corrected effectiveness
curves. The two resultant penetration curves are then each numerically
integrated with three idealized ambient particle size distributions to
provide six estimates of measured mass concentration. Critical
parameters for these idealized distributions are presented in table F-3
of this subpart.
(b) Technical definitions. Effectiveness is the ratio (expressed as
a percentage) of the mass concentration of particles of a specific size
reaching the sampler filter or filters to the mass concentration of
particles of the same size approaching the sampler.
(c) Facilities and equipment required--(1) Wind tunnel. The particle
delivery system shall consist of a blower system and a wind tunnel
having a test section of sufficiently large cross-sectional
[[Page 95]]
area such that the test sampler, or portion thereof, as installed in the
test section for testing, blocks no more than 15 percent of the test
section area. The wind tunnel blower system must be capable of
maintaining uniform wind speeds at the 2 km/hr and 24 km/hr in the test
section.
(2) Aerosol generation system. A vibrating orifice aerosol generator
shall be used to produce monodisperse solid particles of ammonium
fluorescein with equivalent aerodynamic diameters as specified in table
F-2 of this subpart. The geometric standard deviation for each particle
size generated shall not exceed 1.1 (for primary particles) and the
proportion of multiplets (doublets and triplets) in all test particle
atmosphere shall not exceed 10 percent of the particle population. The
aerodynamic particle diameter, as established by the operating
parameters of the vibrating orifice aerosol generator, shall be within
the tolerance specified in table F-2 of this subpart.
(3) Particle size verification equipment. The size of the test
particles shall be verified during this test by use of a suitable
instrument (e.g., scanning electron microscope, optical particle sizer,
time-of-flight apparatus). The instrument must be capable of measuring
solid and liquid test particles with a size resolution of 0.1 mm or
less. The accuracy of the particle size verification technique shall be
0.15 mm or better.
(4) Wind speed measurement. The wind speed in the wind tunnel shall
be determined during the tests using an appropriate technique capable of
a precision of 2 percent and an accuracy of 5 percent or better (e.g.,
hot-wire anemometry). For the wind speeds specified in table F-2 of this
subpart, the wind speed shall be measured at a minimum of 12 test points
in a cross-sectional area of the test section of the wind tunnel. The
mean wind speed in the test section must be within 10 percent of the
value specified in table F-2 of this subpart, and the variation at any
test point in the test section may not exceed 10 percent of the measured
mean.
(5) Aerosol rake. The cross-sectional uniformity of the particle
concentration in the sampling zone of the test section shall be
established during the tests using an array of isokinetic samplers,
referred to as a rake. Not less than five evenly spaced isokinetic
samplers shall be used to determine the particle concentration spatial
uniformity in the sampling zone. The sampling zone shall be a
rectangular area having a horizontal dimension not less than 1.2 times
the width of the test sampler at its inlet opening and a vertical
dimension not less than 25 centimeters.
(6) Total aerosol isokinetic sampler. After cross-sectional
uniformity has been confirmed, a single isokinetic sampler may be used
in place of the array of isokinetic samplers for the determination of
particle mass concentration used in the calculation of sampling
effectiveness of the test sampler in paragraph (d)(5) of this section.
In this case, the array of isokinetic samplers must be used to
demonstrate particle concentration uniformity prior to the replicate
measurements of sampling effectiveness.
(7) Fluorometer. A fluorometer used for quantifying extracted
aerosol mass deposits shall be set up, maintained, and calibrated
according to the manufacturer's instructions. A series of calibration
standards shall be prepared to encompass the minimum and maximum
concentrations measured during size-selective tests. Prior to each
calibration and measurement, the fluorometer shall be zeroed using an
aliquot of the same solvent used for extracting aerosol mass deposits.
(8) Sampler flow rate measurements. All flow rate measurements used
to calculate the test atmosphere concentrations and the test results
must be accurate to within 2 percent, referenced to a NIST-traceable
primary standard. Any necessary flow rate measurement corrections shall
be clearly documented. All flow rate measurements shall be performed and
reported in actual volumetric units.
(d) Test procedures--(1) Establish and verify wind speed. (i)
Establish a wind speed specified in table F-2 of this subpart.
(ii) Measure the wind speed at a minimum of 12 test points in a
cross-sectional area of the test section of the wind tunnel using a
device as described in paragraph (c)(4) of this section.
[[Page 96]]
(iii) Verify that the mean wind speed in the test section of the
wind tunnel during the tests is within 10 percent of the value specified
in table F-2 of this subpart. The wind speed measured at any test point
in the test section shall not differ by more than 10 percent from the
mean wind speed in the test section.
(2) Generate aerosol. (i) Generate particles of a size specified in
table F-2 of this subpart using a vibrating orifice aerosol generator.
(ii) Check for the presence of satellites and adjust the generator
as necessary.
(iii) Calculate the physical particle size using the operating
parameters of the vibrating orifice aerosol generator and record.
(iv) Determine the particle's aerodynamic diameter from the
calculated physical diameter and the known density of the generated
particle. The calculated aerodynamic diameter must be within the
tolerance specified in table F-2 of this subpart.
(3) Introduce particles into the wind tunnel. Introduce the
generated particles into the wind tunnel and allow the particle
concentration to stabilize.
(4) Verify the quality of the test aerosol. (i) Extract a
representative sample of the aerosol from the sampling test zone and
measure the size distribution of the collected particles using an
appropriate sizing technique. If the measurement technique does not
provide a direct measure of aerodynamic diameter, the geometric mean
aerodynamic diameter of the challenge aerosol must be calculated using
the known density of the particle and the measured mean physical
diameter. The determined geometric mean aerodynamic diameter of the test
aerosol must be within 0.15 mm of the aerodynamic diameter calculated
from the operating parameters of the vibrating orifice aerosol
generator. The geometric standard deviation of the primary particles
must not exceed 1.1.
(ii) Determine the population of multiplets in the collected sample.
The multiplet population of the particle test atmosphere must not exceed
10 percent of the total particle population.
(5) Aerosol uniformity and concentration measurement. (i) Install an
array of five or more evenly spaced isokinetic samplers in the sampling
zone (paragraph (c)(5) of this section). Collect particles on
appropriate filters over a time period such that the relative error of
the measured particle concentration is less than 5.0 percent.
(ii) Determine the quantity of material collected with each
isokinetic sampler in the array using a calibrated fluorometer.
Calculate and record the mass concentration for each isokinetic sampler
as:
Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.100
where:
i = replicate number;
j = isokinetic sampler number;
Miso = mass of material collected with the isokinetic
sampler;
Q = isokinetic sampler volumetric flow rate; and
t = sampling time.
(iii) Calculate and record the mean mass concentration as:
Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.101
where:
i = replicate number;
j = isokinetic sampler number; and
n = total number of isokinetic samplers.
(iv) Precision calculation. (A) Calculate the coefficient of
variation of the mass concentration measurements as:
Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.102
where:
i = replicate number;
j = isokinetic sampler number; and
n = total number of isokinetic samplers.
[[Page 97]]
(B) If the value of CViso(i) for any replicate exceeds 10
percent, the particle concentration uniformity is unacceptable and step
5 must be repeated. If adjustment of the vibrating orifice aerosol
generator or changes in the particle delivery system are necessary to
achieve uniformity, steps 1 through 5 must be repeated. When an
acceptable aerosol spatial uniformity is achieved, remove the array of
isokinetic samplers from the wind tunnel.
(6) Alternative measure of wind tunnel total concentration. If a
single isokinetic sampler is used to determine the mean aerosol
concentration in the wind tunnel, install the sampler in the wind tunnel
with the sampler nozzle centered in the sampling zone (paragraph (c)(6)
of this section).
(i) Collect particles on an appropriate filter over a time period
such that the relative error of the measured concentration is less than
5.0 percent.
(ii) Determine the quantity of material collected with the
isokinetic sampler using a calibrated fluorometer.
(iii) Calculate and record the mass concentration as
Ciso(i) as in paragraph (d)(5)(ii) of this section.
(iv) Remove the isokinetic sampler from the wind tunnel.
(7) Measure the aerosol with the candidate sampler. (i) Install the
test sampler (or portion thereof) in the wind tunnel with the sampler
inlet opening centered in the sampling zone. To meet the maximum
blockage limit of paragraph (c)(1) of this section or for convenience,
part of the test sampler may be positioned external to the wind tunnel
provided that neither the geometry of the sampler nor the length of any
connecting tube or pipe is altered. Collect particles for a time period
such that the relative error of the measured concentration is less than
5.0 percent.
(ii) Remove the test sampler from the wind tunnel.
(iii) Determine the quantity of material collected with the test
sampler using a calibrated fluorometer. Calculate and record the mass
concentration for each replicate as:
Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.103
where:
i = replicate number;
Mcand = mass of material collected with the candidate
sampler;
Q = candidate sampler volumetric flow rate; and
t = sampling time.
(iv)(A) Calculate and record the sampling effectiveness of the
candidate sampler as:
Equation 11
[GRAPHIC] [TIFF OMITTED] TR18JY97.104
where:
i = replicate number.
(B) If a single isokinetic sampler is used for the determination of
particle mass concentration, replace Ciso(i) with
Ciso.
(8) Replicate measurements and calculation of mean sampling
effectiveness. (i) Repeat steps in paragraphs (d)(5) through (d)(7) of
this section, as appropriate, to obtain a minimum of three valid
replicate measurements of sampling effectiveness.
(ii) Calculate and record the average sampling effectiveness of the
test sampler for the particle size as:
Equation 12
[GRAPHIC] [TIFF OMITTED] TR18JY97.105
where:
i = replicate number; and
n = number of replicates.
(iii) Sampling effectiveness precision. (A) Calculate and record the
coefficient of variation for the replicate sampling effectiveness
measurements of the test sampler as:
[[Page 98]]
Equation 13
[GRAPHIC] [TIFF OMITTED] TR18JY97.106
where:
i = replicate number, and
n = number of replicates.
(B) If the value of CVE exceeds 10 percent, the test run
(steps in paragraphs (d)(2) through (d)(8) of this section) must be
repeated until an acceptable value is obtained.
(9) Repeat steps in paragraphs (d)(2) through (d)(8) of this section
until the sampling effectiveness has been measured for all particle
sizes specified in table F-2 of this subpart.
(10) Repeat steps in paragraphs (d)(1) through (d)(9) of this
section until tests have been successfully conducted for both wind
speeds of 2 km/hr and 24 km/hr.
(e) Calculations--(1) Graphical treatment of effectiveness data. For
each wind speed given in table F-2 of this subpart, plot the particle
average sampling effectiveness of the candidate sampler as a function of
aerodynamic particle diameter (Dae) on semi-logarithmic graph
paper where the aerodynamic particle diameter is the particle size
established by the parameters of the VOAG in conjunction with the known
particle density. Construct a best-fit, smooth curve through the data by
extrapolating the sampling effectiveness curve through 100 percent at an
aerodynamic particle size of 0.5 mm and 0 percent at an aerodynamic
particle size of 10 mm. Correction for the presence of multiplets shall
be performed using the techniques presented by Marple, et al (1987).
This multiplet-corrected effectiveness curve shall be used for all
remaining calculations in this paragraph (e).
(2) Cutpoint determination. For each wind speed determine the
sampler Dp50 cutpoint defined as the aerodynamic particle
size corresponding to 50 percent effectiveness from the multiplet
corrected smooth curve.
(3) Expected mass concentration calculation. For each wind speed,
calculate the estimated mass concentration measurement for the test
sampler under each particle size distribution (Tables F-4, F-5, and F-6
of this subpart) and compare it to the mass concentration predicted for
the reference sampler as follows:
(i) Determine the value of corrected effectiveness using the best-
fit, multiplet-corrected curve at each of the particle sizes specified
in the first column of table F-4 of this subpart. Record each corrected
effectiveness value as a decimal between 0 and 1 in column 2 of table F-
4 of this subpart.
(ii) Calculate the interval estimated mass concentration measurement
by multiplying the values of corrected effectiveness in column 2 by the
interval mass concentration values in column 3 and enter the products in
column 4 of table F-4 of this subpart.
(iii) Calculate the estimated mass concentration measurement by
summing the values in column 4 and entering the total as the estimated
mass concentration measurement for the test sampler at the bottom of
column 4 of table F-4 of this subpart.
(iv) Calculate the estimated mass concentration ratio between the
candidate method and the reference method as:
Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.107
where:
Ccand(est) = estimated mass concentration measurement for the
test sampler, mg/m\3\; and
Cref(est) = estimated mass concentration measurement for the
reference sampler, mg/m\3\ (calculated for the reference
sampler and specified at the bottom of column 7 of table F-4
of this subpart).
(v) Repeat steps in paragraphs (e) (1) through (e)(3) of this
section for tables F-5 and F-6 of this subpart.
(f) Evaluation of test results. The candidate method passes the wind
tunnel effectiveness test if the Rc value for each wind speed
meets the specification in table F-1 of this subpart for each of the
three particle size distributions.
[[Page 99]]
Sec. 53.63 Test procedure: Wind tunnel inlet aspiration test.
(a) Overview. This test applies to a candidate sampler which differs
from the reference method sampler only with respect to the design of the
inlet. The purpose of this test is to ensure that the aspiration of a
Class II candidate sampler is such that it representatively extracts an
ambient aerosol at elevated wind speeds. This wind tunnel test uses a
single-sized, liquid aerosol in conjunction with wind speeds of 2 km/hr
and 24 km/hr. The test atmosphere concentration is alternately measured
with the candidate sampler and a reference method device, both of which
are operated without the 2.5-micron fractionation device installed. The
test conditions are summarized in table F-2 of this subpart (under the
heading of ``wind tunnel inlet aspiration test''). The candidate sampler
must meet or exceed the acceptance criteria given in table F-1 of this
subpart.
(b) Technical definition. Relative aspiration is the ratio
(expressed as a percentage) of the aerosol mass concentration measured
by the candidate sampler to that measured by a reference method sampler.
(c) Facilities and equipment required. The facilities and equipment
are identical to those required for the full wind tunnel test
(Sec. 53.62(c)).
(d) Setup. The candidate and reference method samplers shall be
operated with the PM 2.5 fractionation device removed from
the flow path throughout this entire test procedure. Modifications to
accommodate this requirement shall be limited to removal of the
fractionator and insertion of the filter holder directly into the
downtube of the inlet.
(e) Test procedure--(1) Establish the wind tunnel test atmosphere.
Follow the procedures in Sec. 53.62(d)(1) through (d)(4) to establish a
test atmosphere for one of the two wind speeds specified in table F-2 of
this subpart.
(2) Measure the aerosol concentration with the reference sampler.
(i) Install the reference sampler (or portion thereof) in the wind
tunnel with the sampler inlet opening centered in the sampling zone. To
meet the maximum blockage limit of Sec. 53.62(c)(1) or for convenience,
part of the test sampler may be positioned external to the wind tunnel
provided that neither the geometry of the sampler nor the length of any
connecting tube or pipe is altered. Collect particles for a time period
such that the relative error of the measured concentration is less than
5.0 percent.
(ii) Determine the quantity of material collected with the reference
method sampler using a calibrated fluorometer. Calculate and record the
mass concentration as:
Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.108
where:
i = replicate number;
Mref = mass of material collected with the reference method
sampler;
Q = reference method sampler volumetric flow rate; and
t = sampling time.
(iii) Remove the reference method sampler from the tunnel.
(3) Measure the aerosol concentration with the candidate sampler.
(i) Install the candidate sampler (or portion thereof) in the wind
tunnel with the sampler inlet centered in the sampling zone. To meet the
maximum blockage limit of Sec. 53.62(c)(1) or for convenience, part of
the test sampler may be positioned external to the wind tunnel provided
that neither the geometry of the sampler nor the length of any
connecting tube or pipe is altered. Collect particles for a time period
such that the relative error of the measured concentration is less than
5.0 percent.
(ii) Determine the quantity of material collected with the candidate
sampler using a calibrated fluorometer. Calculate and record the mass
concentration as:
Equation 16
[GRAPHIC] [TIFF OMITTED] TR18JY97.109
where:
i = replicate number;
Mcand = mass of material collected with the candidate
sampler;
[[Page 100]]
Q = candidate sampler volumetric flow rate; and
t = sampling time.
(iii) Remove the candidate sampler from the wind tunnel.
(4) Repeat steps in paragraphs (d) (2) and (d)(3) of this section.
Alternately measure the tunnel concentration with the reference sampler
and the candidate sampler until four reference sampler and three
candidate sampler measurements of the wind tunnel concentration are
obtained.
(5) Calculations. (i) Calculate and record aspiration ratio for each
candidate sampler run as:
Equation 17
[GRAPHIC] [TIFF OMITTED] TR18JY97.110
where:
i = replicate number.
(ii) Calculate and record the mean aspiration ratio as:
Equation 18
[GRAPHIC] [TIFF OMITTED] TR18JY97.111
where:
i = replicate number; and
n = total number of measurements of aspiration ratio.
(iii) Precision of the aspiration ratio. (A) Calculate and record
the precision of the aspiration ratio measurements as the coefficient of
variation as:
Equation 19
[GRAPHIC] [TIFF OMITTED] TR18JY97.112
where:
i = replicate number; and
n = total number of measurements of aspiration ratio.
(B) If the value of CVA exceeds 10 percent, the entire
test procedure must be repeated.
(f) Evaluation of test results. The candidate method passes the
inlet aspiration test if all values of A meet the acceptance criteria
specified in table F-1 of this subpart.
Sec. 53.64 Test procedure: Static fractionator test.
(a) Overview. This test applies only to those candidate methods in
which the sole deviation from the reference method is in the design of
the 2.5-micron fractionation device. The purpose of this test is to
ensure that the fractionation characteristics of the candidate
fractionator are acceptably similar to that of the reference method
sampler. It is recognized that various methodologies exist for
quantifying fractionator effectiveness. The following commonly-employed
techniques are provided for purposes of guidance. Other methodologies
for determining sampler effectiveness may be used contingent upon prior
approval by the Agency.
(1) Wash-off method. Effectiveness is determined by measuring the
aerosol mass deposited on the candidate sampler's after filter versus
the aerosol mass deposited in the fractionator. The material deposited
in the fractionator is recovered by washing its internal surfaces. For
these wash-off tests, a fluorometer must be used to quantitate the
aerosol concentration. Note that if this technique is chosen, the
candidate must be reloaded with coarse aerosol prior to each test point
when reevaluating the curve as specified in the loading test.
(2) Static chamber method. Effectiveness is determined by measuring
the aerosol mass concentration sampled by the candidate sampler's after
filter versus that which exists in a static chamber. A calibrated
fluorometer shall be used to quantify the collected aerosol deposits.
The aerosol concentration is calculated as the measured aerosol mass
divided by the sampled air volume.
(3) Divided flow method. Effectiveness is determined by comparing
the aerosol concentration upstream of the candidate sampler's
fractionator versus
[[Page 101]]
that concentration which exists downstream of the candidate
fractionator. These tests may utilize either fluorometry or a real-time
aerosol measuring device to determine the aerosol concentration.
(b) Technical definition. Effectiveness under static conditions is
the ratio (expressed as a percentage) of the mass concentration of
particles of a given size reaching the sampler filter to the mass
concentration of particles of the same size existing in the test
atmosphere.
(c) Facilities and equipment required--(1) Aerosol generation.
Methods for generating aerosols shall be identical to those prescribed
in Sec. 53.62(c)(2).
(2) Particle delivery system. Acceptable apparatus for delivering
the generated aerosols to the candidate fractionator is dependent on the
effectiveness measurement methodology and shall be defined as follows:
(i) Wash-off test apparatus. The aerosol may be delivered to the
candidate fractionator through direct piping (with or without an in-line
mixing chamber). Validation particle size and quality shall be conducted
at a point directly upstream of the fractionator.
(ii) Static chamber test apparatus. The aerosol shall be introduced
into a chamber and sufficiently mixed such that the aerosol
concentration within the chamber is spatially uniform. The chamber must
be of sufficient size to house at least four total filter samplers in
addition to the inlet of the candidate method size fractionator.
Validation of particle size and quality shall be conducted on
representative aerosol samples extracted from the chamber.
(iii) Divided flow test apparatus. The apparatus shall allow the
aerosol concentration to be measured upstream and downstream of the
fractionator. The aerosol shall be delivered to a manifold with two
symmetrical branching legs. One of the legs, referred to as the bypass
leg, shall allow the challenge aerosol to pass unfractionated to the
detector. The other leg shall accommodate the fractionation device.
(3) Particle concentration measurement--(i) Fluorometry. Refer to
Sec. 53.62(c)(7).
(ii) Number concentration measurement. A number counting particle
sizer may be used in conjunction with the divided flow test apparatus in
lieu of fluorometric measurement. This device must have a minimum range
of 1 to 10 mm, a resolution of 0.1 mm, and an accuracy of 0.15 mm such
that primary particles may be distinguished from multiplets for all test
aerosols. The measurement of number concentration shall be accomplished
by integrating the primary particle peak.
(d) Setup--(1) Remove the inlet and downtube from the candidate
fractionator. All tests procedures shall be conducted with the inlet and
downtube removed from the candidate sampler.
(2) Surface treatment of the fractionator. Rinsing aluminum surfaces
with alkaline solutions has been found to adversely affect subsequent
fluorometric quantitation of aerosol mass deposits. If wash-off tests
are to be used for quantifying aerosol penetration, internal surfaces of
the fractionator must first be plated with electroless nickel.
Specifications for this plating are specified in Society of Automotive
Engineers Aerospace Material Specification (SAE AMS) 2404C, Electroless
Nickel Plating (Reference 3 in appendix A of subpart F).
(e) Test procedure: Wash-off method--(1) Clean the candidate
sampler. Note: The procedures in this step may be omitted if this test
is being used to evaluate the fractionator after being loaded as
specified in Sec. 53.65.
(i) Clean and dry the internal surfaces of the candidate sampler.
(ii) Prepare the internal fractionator surfaces in strict accordance
with the operating instructions specified in the sampler's operating
manual referred to in section 7.4.18 of 40 CFR part 50, appendix L.
(2) Generate aerosol. Follow the procedures for aerosol generation
prescribed in Sec. 53.62(d)(2).
(3) Verify the quality of the test aerosol. Follow the procedures
for verification of test aerosol size and quality prescribed in
Sec. 53.62(d)(4).
(4) Determine effectiveness for the particle size being produced.
(i) Collect particles downstream of the fractionator
[[Page 102]]
on an appropriate filter over a time period such that the relative error
of the fluorometric measurement is less than 5.0 percent.
(ii) Determine the quantity of material collected on the after
filter of the candidate method using a calibrated fluorometer. Calculate
and record the aerosol mass concentration for the sampler filter as:
Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.113
where:
i = replicate number;
Mcand = mass of material collected with the candidate
sampler;
Q = candidate sampler volumetric flowrate; and
t = sampling time.
(iii) Wash all interior surfaces upstream of the filter and
determine the quantity of material collected using a calibrated
fluorometer. Calculate and record the fluorometric mass concentration of
the sampler wash as:
Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.114
where:
i = replicate number;
Mwash = mass of material washed from the interior surfaces of
the fractionator;
Q = candidate sampler volumetric flowrate; and
t = sampling time.
(iv) Calculate and record the sampling effectiveness of the test
sampler for this particle size as:
Equation 22
[GRAPHIC] [TIFF OMITTED] TR18JY97.115
where:
i = replicate number.
(v) Repeat steps in paragraphs (e)(4) of this section, as
appropriate, to obtain a minimum of three replicate measurements of
sampling effectiveness. Note: The procedures for loading the candidate
in Sec. 53.65 must be repeated between repetitions if this test is being
used to evaluate the fractionator after being loaded as specified in
Sec. 53.65.
(vi) Calculate and record the average sampling effectiveness of the
test sampler as:
Equation 23
[GRAPHIC] [TIFF OMITTED] TR18JY97.116
where:
i = replicate number; and
n = number of replicates.
(vii)(A) Calculate and record the coefficient of variation for the
replicate sampling effectiveness measurements of the test sampler as:
Equation 24
[GRAPHIC] [TIFF OMITTED] TR18JY97.117
where:
i = replicate number; and
n = total number of measurements.
(B) If the value of CVE exceeds 10 percent, then steps in
paragraphs (e) (2) through (e)(4) of this section must be repeated.
(5) Repeat steps in paragraphs (e) (1) through (e)(4) of this
section for each particle size specified in table F-2 of this subpart.
(f) Test procedure: Static chamber method--(1) Generate aerosol.
Follow the procedures for aerosol generation prescribed in
Sec. 53.62(d)(2).
(2) Verify the quality of the test aerosol. Follow the procedures
for verification of test aerosol size and quality prescribed in
Sec. 53.62(d)(4).
(3) Introduce particles into chamber. Introduce the particles into
the static chamber and allow the particle concentration to stabilize.
(4) Install and operate the candidate sampler's fractionator and its
after-filter
[[Page 103]]
and at least four total filters. (i) Install the fractionator and an
array of four or more equally spaced total filter samplers such that the
total filters surround and are in the same plane as the inlet of the
fractionator.
(ii) Simultaneously collect particles onto appropriate filters with
the total filter samplers and the fractionator for a time period such
that the relative error of the measured concentration is less than 5.0
percent.
(5) Calculate the aerosol spatial uniformity in the chamber. (i)
Determine the quantity of material collected with each total filter
sampler in the array using a calibrated fluorometer. Calculate and
record the mass concentration for each total filter sampler as:
Equation 25
[GRAPHIC] [TIFF OMITTED] TR18JY97.118
where:
i = replicate number;
j = total filter sampler number;
Mtotal = mass of material collected with the total filter
sampler;
Q = total filter sampler volumetric flowrate; and
t = sample time.
(ii) Calculate and record the mean mass concentration as:
Equation 26
[GRAPHIC] [TIFF OMITTED] TR18JY97.119
where:
n = total number of samplers;
i = replicate number; and
j = filter sampler number.
(iii) (A) Calculate and record the coefficient of variation of the
total mass concentration as:
Equation 27
[GRAPHIC] [TIFF OMITTED] TR18JY97.120
where:
i = replicate number;
j = total filter sampler number; and
n = number of total filter samplers.
(B) If the value of CVtotal exceeds 10 percent, then the
particle concentration uniformity is unacceptable, alterations to the
static chamber test apparatus must be made, and steps in paragraphs
(f)(1) through (f)(5) of this section must be repeated.
(6) Determine the effectiveness of the candidate sampler. (i)
Determine the quantity of material collected on the candidate sampler's
after filter using a calibrated fluorometer. Calculate and record the
mass concentration for the candidate sampler as:
Equation 28
[GRAPHIC] [TIFF OMITTED] TR18JY97.121
where:
i = replicate number;
Mcand = mass of material collected with the candidate
sampler;
Q = candidate sampler volumetric flowrate; and
t = sample time.
(ii) Calculate and record the sampling effectiveness of the
candidate sampler as:
[[Page 104]]
Equation 29
[GRAPHIC] [TIFF OMITTED] TR18JY97.122
where:
i = replicate number.
(iii) Repeat step in paragraph (f)(4) through (f)(6) of this
section, as appropriate, to obtain a minimum of three replicate
measurements of sampling effectiveness.
(iv) Calculate and record the average sampling effectiveness of the
test sampler as:
Equation 30
[GRAPHIC] [TIFF OMITTED] TR18JY97.123
where:
i= replicate number.
(v)(A) Calculate and record the coefficient of variation for the
replicate sampling effectiveness measurements of the test sampler as:
Equation 31
[GRAPHIC] [TIFF OMITTED] TR18JY97.124
where:
i = replicate number; and
n = number of measurements of effectiveness.
(B) If the value of CVE exceeds 10 percent, then the test
run (steps in paragraphs (f)(2) through (f)(6) of this section) is
unacceptable and must be repeated.
(7) Repeat steps in paragraphs (f)(1) through (f)(6) of this section
for each particle size specified in table F-2 of this subpart.
(g) Test procedure: Divided flow method--(1) Generate calibration
aerosol. Follow the procedures for aerosol generation prescribed in
Sec. 53.62(d)(2).
(2) Verify the quality of the calibration aerosol. Follow the
procedures for verification of calibration aerosol size and quality
prescribed in Sec. 53.62(d)(4).
(3) Introduce aerosol. Introduce the calibration aerosol into the
static chamber and allow the particle concentration to stabilize.
(4) Validate that transport is equal for the divided flow option.
(i) With fluorometry as a detector:
(A) Install a total filter on each leg of the divided flow
apparatus.
(B) Collect particles simultaneously through both legs at 16.7 L/min
onto an appropriate filter for a time period such that the relative
error of the measured concentration is less than 5.0 percent.
(C) Determine the quantity of material collected on each filter
using a calibrated fluorometer. Calculate and record the mass
concentration measured in each leg as:
Equation 32
[GRAPHIC] [TIFF OMITTED] TR18JY97.125
where:
i = replicate number,
M = mass of material collected with the total filter; and
Q = candidate sampler volumetric flowrate.
(D) Repeat steps in paragraphs (g)(4)(i)(A) through (g)(4)(i)(C) of
this section until a minimum of three replicate measurements are
performed.
(ii) With an aerosol number counting device as a detector:
(A) Remove all flow obstructions from the flow paths of the two
legs.
(B) Quantify the aerosol concentration of the primary particles in
each leg of the apparatus.
(C) Repeat steps in paragraphs (g)(4)(ii)(A) through (g)(4)(ii)(B)
of this section until a minimum of three replicate measurements are
performed.
(iii) (A) Calculate the mean concentration and coefficient of
variation as:
[[Page 105]]
Equation 33
[GRAPHIC] [TIFF OMITTED] TR18JY97.126
Equation 34
[GRAPHIC] [TIFF OMITTED] TR18JY97.127
where:
i = replicate number; and
n = number of replicates.
(B) If the measured mean concentrations through the two legs do not
agree within 5 percent, then adjustments may be made in the setup, and
this step must be repeated.
(5) Determine effectiveness. Determine the sampling effectiveness of
the test sampler with the inlet removed by one of the following
procedures:
(i) With fluorometry as a detector:
(A) Prepare the divided flow apparatus for particle collection.
Install a total filter into the bypass leg of the divided flow
apparatus. Install the particle size fractionator with a total filter
placed immediately downstream of it into the other leg.
(B) Collect particles simultaneously through both legs at 16.7 L/min
onto appropriate filters for a time period such that the relative error
of the measured concentration is less than 5.0 percent.
(C) Determine the quantity of material collected on each filter
using a calibrated fluorometer. Calculate and record the mass
concentration measured by the total filter and that measured after
penetrating through the candidate fractionator as follows:
Equation 35
[GRAPHIC] [TIFF OMITTED] TR18JY97.128
Equation 36
[GRAPHIC] [TIFF OMITTED] TR18JY97.129
where:
i = replicate number.
(ii) With a number counting device as a detector:
(A) Install the particle size fractionator into one of the legs of
the divided flow apparatus.
(B) Quantify and record the aerosol number concentration of the
primary particles passing through the fractionator as
Ccand(i).
(C) Divert the flow from the leg containing the candidate
fractionator to the bypass leg. Allow sufficient time for the aerosol
concentration to stabilize.
(D) Quantify and record the aerosol number concentration of the
primary particles passing through the bypass leg as
Ctotal(i).
(iii) Calculate and record sampling effectiveness of the candidate
sampler as:
Equation 37
[GRAPHIC] [TIFF OMITTED] TR18JY97.130
where:
i = replicate number.
(6) Repeat step in paragraph (g)(5) of this section, as appropriate,
to obtain a minimum of three replicate measurements of sampling
effectiveness.
(7) Calculate the mean and coefficient of variation for replicate
measurements of effectiveness. (i) Calculate and record the mean
sampling effectiveness of the candidate sampler as:
Equation 38
[GRAPHIC] [TIFF OMITTED] TR18JY97.131
where:
i = replicate number.
[[Page 106]]
(ii)(A) Calculate and record the coefficient of variation for the
replicate sampling effectiveness measurements of the candidate sampler
as:
Equation 39
[GRAPHIC] [TIFF OMITTED] TR18JY97.132
where:
i = replicate number; and
n = number of replicates.
(B) If the coefficient of variation is not less than 10 percent,
then the test run must be repeated (steps in paragraphs (g)(1) through
(g)(7) of this section).
(8) Repeat steps in paragraphs (g)(1) through (g)(7) of this section
for each particle size specified in table F-2 of this subpart.
(h) Calculations--(1) Treatment of multiplets. For all measurements
made by fluorometric analysis, data shall be corrected for the presence
of multiplets as described in Sec. 53.62(f)(1). Data collected using a
real-time device (as described in paragraph (c)(3)(ii)) of this section
will not require multiplet correction.
(2) Cutpoint determination. For each wind speed determine the
sampler Dp50 cutpoint defined as the aerodynamic particle
size corresponding to 50 percent effectiveness from the multiplet
corrected smooth curve.
(3) Graphical analysis and numerical integration with ambient
distributions. Follow the steps outlined in Sec. 53.62 (e)(3) through
(e)(4) to calculate the estimated concentration measurement ratio
between the candidate sampler and a reference method sampler.
(i) Test evaluation. The candidate method passes the static
fractionator test if the values of Rc and Dp50 for each
distribution meets the specifications in table F-1 of this subpart.
[62 FR 38814, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.65 Test procedure: Loading test.
(a) Overview. (1) The loading tests are designed to quantify any
appreciable changes in a candidate method sampler's performance as a
function of coarse aerosol collection. The candidate sampler is exposed
to a mass of coarse aerosol equivalent to sampling a mass concentration
of 150 mg/m\3\ over the time period that the manufacturer has specified
between periodic cleaning. After loading, the candidate sampler is then
evaluated by performing the test in Sec. 53.62 (full wind tunnel test),
Sec. 53.63 (wind tunnel inlet aspiration test), or Sec. 53.64 (static
fractionator test). If the acceptance criteria are met for this
evaluation test, then the candidate sampler is approved for multi-day
sampling with the periodic maintenance schedule as specified by the
candidate method. For example, if the candidate sampler passes the
reevaluation tests following loading with an aerosol mass equivalent to
sampling a 150 mg/m\3\ aerosol continuously for 7 days, then the sampler
is approved for 7 day field operation before cleaning is required.
(2) [Reserved]
(b) Technical definition. Effectiveness after loading is the ratio
(expressed as a percentage) of the mass concentration of particles of a
given size reaching the sampler filter to the mass concentration of
particles of the same size approaching the sampler.
(c) Facilities and equipment required--(1) Particle delivery system.
The particle delivery system shall consist of a static chamber or a low
velocity wind tunnel having a sufficiently large cross-sectional area
such that the test sampler, or portion thereof, may be installed in the
test section. At a minimum, the system must have a sufficiently large
cross section to house the candidate sampler inlet as well as a
collocated isokinetic nozzle for measuring total aerosol concentration.
The mean velocity in the test section of the static chamber or wind
tunnel shall not exceed 2 km/hr.
(2) Aerosol generation equipment. For purposes of these tests, the
test aerosol shall be produced from commercially available, bulk Arizona
road dust. To provide direct interlaboratory comparability of sampler
loading characteristics, the bulk dust is specified as 0-10 mm ATD
available from Powder Technology Incorporated (Burnsville, MN). A
fluidized bed aerosol generator,
[[Page 107]]
Wright dust feeder, or sonic nozzle shall be used to efficiently
deagglomerate the bulk test dust and transform it into an aerosol cloud.
Other dust generators may be used contingent upon prior approval by the
Agency.
(3) Isokinetic sampler. Mean aerosol concentration within the static
chamber or wind tunnel shall be established using a single isokinetic
sampler containing a preweighed high-efficiency total filter.
(4) Analytic balance. An analytical balance shall be used to
determine the weight of the total filter in the isokinetic sampler. The
precision and accuracy of this device shall be such that the relative
measurement error is less than 5.0 percent for the difference between
the initial and final weight of the total filter. The identical analytic
balance shall be used to perform both initial and final weighing of the
total filter.
(d) Test procedure. (1) Calculate and record the target time
weighted concentration of Arizona road dust which is equivalent to
exposing the sampler to an environment of 150 mg/m\3\ over the time
between cleaning specified by the candidate sampler's operations manual
as:
Equation 40
[GRAPHIC] [TIFF OMITTED] TR18JY97.133
where:
t = the number of hours specified by the candidate method prior to
periodic cleaning.
(2) Clean the candidate sampler. (i) Clean and dry the internal
surfaces of the candidate sampler.
(ii) Prepare the internal surfaces in strict accordance with the
operating manual referred to in section 7.4.18 of 40 CFR part 50,
appendix L.
(3) Determine the preweight of the filter that shall be used in the
isokinetic sampler. Record this value as InitWt.
(4) Install the candidate sampler's inlet and the isokinetic sampler
within the test chamber or wind tunnel.
(5) Generate a dust cloud. (i) Generate a dust cloud composed of
Arizona test dust.
(ii) Introduce the dust cloud into the chamber.
(iii) Allow sufficient time for the particle concentration to become
steady within the chamber.
(6) Sample aerosol with a total filter and the candidate sampler.
(i) Sample the aerosol for a time sufficient to produce an equivalent
TWC equal to that of the target TWC 15 percent.
(ii) Record the sampling time as t.
(7) Determine the time weighted concentration. (i) Determine the
postweight of the isokinetic sampler's total filter.
(ii) Record this value as FinalWt.
(iii) Calculate and record the TWC as:
Equation 41
[GRAPHIC] [TIFF OMITTED] TR18JY97.134
where:
Q = the flow rate of the candidate method.
(iv) If the value of TWC deviates from the target TWC 15 percent,
then the loaded mass is unacceptable and the entire test procedure must
be repeated.
(8) Determine the candidate sampler's effectiveness after loading.
The candidate sampler's effectiveness as a function of particle
aerodynamic diameter must then be evaluated by performing the test in
Sec. 53.62 (full wind tunnel test). A sampler which fits the category of
inlet deviation in Sec. 53.60(e)(1) may opt to perform the test in
Sec. 53.63 (inlet aspiration test) in lieu of the full wind tunnel test.
A sampler which fits the category of fractionator deviation in
Sec. 53.60(e)(2) may opt to perform the test in Sec. 53.64 (static
fractionator test) in lieu of the full wind tunnel test.
(e) Test results. If the candidate sampler meets the acceptance
criteria for the evaluation test performed in paragraph (d)(8) of this
section, then the candidate sampler passes this test with the
stipulation that the sampling train be cleaned as directed by and as
frequently as that specified by the candidate sampler's operations
manual.
Sec. 53.66 Test procedure: Volatility test.
(a) Overview. This test is designed to ensure that the candidate
method's losses due to volatility when sampling
[[Page 108]]
semi-volatile ambient aerosol will be comparable to that of a federal
reference method sampler. This is accomplished by challenging the
candidate sampler with a polydisperse, semi-volatile liquid aerosol in
three distinct phases. During phase A of this test, the aerosol is
elevated to a steady-state, test-specified mass concentration and the
sample filters are conditioned and preweighed. In phase B, the challenge
aerosol is simultaneously sampled by the candidate method sampler and a
reference method sampler onto the preweighed filters for a specified
time period. In phase C (the blow-off phase), aerosol and aerosol-vapor
free air is sampled by the samplers for an additional time period to
partially volatilize the aerosol on the filters. The candidate sampler
passes the volatility test if the acceptance criteria presented in table
F-1 of this subpart are met or exceeded.
(b) Technical definitions. (1) Residual mass (RM) is defined as the
weight of the filter after the blow-off phase subtracted from the
initial weight of the filter.
(2) Corrected residual mass (CRM) is defined as the residual mass of
the filter from the candidate sampler multiplied by the ratio of the
reference method flow rate to the candidate method flow rate.
(c) Facilities and equipment required--(1) Environmental chamber.
Because the nature of a volatile aerosol is greatly dependent upon
environmental conditions, all phases of this test shall be conducted at
a temperature of 22.0 0.5 C and a relative humidity of 40 3 percent.
For this reason, it is strongly advised that all weighing and
experimental apparatus be housed in an environmental chamber capable of
this level of control.
(2) Aerosol generator. The aerosol generator shall be a pressure
nebulizer operated at 20 to 30 psig (140 to 207 kPa) to produce a
polydisperse, semi-voltile aerosol with a mass median diameter larger
than 1 mm and smaller than 2.5 mm. The nebulized liquid shall be A.C.S.
reagent grade glycerol (C3H8O, FW = 92.09, CAS 56-
81-5) of 99.5 percent minimum purity. For the purpose of this test the
accepted mass median diameter is predicated on the stable aerosol inside
the internal chamber and not on the aerosol emerging from the nebulizer
nozzle. Aerosol monitoring and its stability are described in (c)(3) and
(c)(4) of this section.
(3) Aerosol monitoring equipment. The evaporation and condensation
dynamics of a volatile aerosol is greatly dependent upon the vapor
pressure of the volatile component in the carrier gas. The size of an
aerosol becomes fixed only when an equilibrium is established between
the aerosol and the surrounding vapor; therefore, aerosol size
measurement shall be used as a surrogate measure of this equilibrium. A
suitable instrument with a range of 0.3 to 10 mm, an accuracy of 0.5 mm,
and a resolution of 0.2 mm (e.g., an optical particle sizer, or a time-
of-flight instrument) shall be used for this purpose. The parameter
monitored for stability shall be the mass median instrument measured
diameter (i.e. optical diameter if an optical particle counter is used).
A stable aerosol shall be defined as an aerosol with a mass median
diameter that has changed less than 0.25 mm over a 4 hour time period.
(4) Internal chamber. The time required to achieve a stable aerosol
depends upon the time during which the aerosol is resident with the
surrounding air. This is a function of the internal volume of the
aerosol transport system and may be facilitated by recirculating the
challenge aerosol. A chamber with a volume of 0.5 m\3\ and a
recirculating loop (airflow of approximately 500 cfm) is recommended for
this purpose. In addition, a baffle is recommended to dissipate the jet
of air that the recirculating loop can create. Furthermore, a HEPA
filtered hole in the wall of the chamber is suggested to allow makeup
air to enter the chamber or excess air to exit the chamber to maintain a
system flow balance. The concentration inside the chamber shall be
maintained at 1 mg/m\3\ 20 percent to obtain consistent and significant
filter loading.
(5) Aerosol sampling manifold. A manifold shall be used to extract
the aerosol from the area in which it is equilibrated and transport it
to the candidate method sampler, the reference
[[Page 109]]
method sampler, and the aerosol monitor. The losses in each leg of the
manifold shall be equivalent such that the three devices will be exposed
to an identical aerosol.
(6) Chamber air temperature recorders. Minimum range 15-25 C,
certified accuracy to within 0.2 C, resolution of 0.1 C. Measurement
shall be made at the intake to the sampling manifold and adjacent to the
weighing location.
(7) Chamber air relative humidity recorders. Minimum range 30 - 50
percent, certified accuracy to within 1 percent, resolution of 0.5
percent. Measurement shall be made at the intake to the sampling
manifold and adjacent to the weighing location.
(8) Clean air generation system. A source of aerosol and aerosol-
vapor free air is required for phase C of this test. This clean air
shall be produced by filtering air through an absolute (HEPA) filter.
(9) Balance. Minimum range 0 - 200 mg, certified accuracy to within
10 mg, resolution of 1 mg.
(d) Additional filter handling conditions--(1) Filter handling.
Careful handling of the filter during sampling, conditioning, and
weighing is necessary to avoid errors due to damaged filters or loss of
collected particles from the filters. All filters must be weighed
immediately after phase A dynamic conditioning and phase C.
(2) Dynamic conditioning of filters. Total dynamic conditioning is
required prior to the initial weight determined in phase A. Dynamic
conditioning refers to pulling clean air from the clean air generation
system through the filters. Total dynamic conditioning can be
established by sequential filter weighing every 30 minutes following
repetitive dynamic conditioning. The filters are considered sufficiently
conditioned if the sequential weights are repeatable to 3 mg.
(3) Static charge. The following procedure is suggested for
minimizing charge effects. Place six or more Polonium static control
devices (PSCD) inside the microbalance weighing chamber, (MWC). Two of
them must be placed horizontally on the floor of the MWC and the
remainder placed vertically on the back wall of the MWC. Taping two
PSCD's together or using double-sided tape will help to keep them from
falling. Place the filter that is to be weighed on the horizontal PSCDs
facing aerosol coated surface up. Close the MWC and wait 1 minute. Open
the MWC and place the filter on the balance dish. Wait 1 minute. If the
charges have been neutralized the weight will stabilize within 30-60
seconds. Repeat the procedure of neutralizing charges and weighing as
prescribed above several times (typically 2-4 times) until consecutive
weights will differ by no more than 3 micrograms. Record the last
measured weight and use this value for all subsequent calculations.
(e) Test procedure--(1) Phase A - Preliminary steps. (i) Generate a
polydisperse glycerol test aerosol.
(ii) Introduce the aerosol into the transport system.
(iii) Monitor the aerosol size and concentration until stability and
level have been achieved.
(iv) Condition the candidate method sampler and reference method
sampler filters until total dynamic conditioning is achieved as
specified in paragraph (d)(2) of this section.
(v) Record the dynamically conditioned weight as InitWtc
and InitWtr where c is the candidate method sampler and r is
the reference method sampler.
(2) Phase B - Aerosol loading. (i) Install the dynamically
conditioned filters into the appropriate samplers.
(ii) Attach the samplers to the manifold.
(iii) Operate the candidate and the reference samplers such that
they simultaneously sample the test aerosol for 2 hours for a candidate
sampler operating at 16.7 L/min or higher, or proportionately longer for
a candidate sampler operating at a lower flow rate.
(3) Phase C - Blow-off. (i) Alter the intake of the samplers to
sample air from the clean air generation system.
(ii) Sample clean air for one of the required blow-off time
durations (1, 2, 3, and 4 hours).
(iii) Remove the filters from the samplers.
(iv) Weigh the filters immediately and record this weight,
FinalWtc and FinalWtr, where c is the candidate
[[Page 110]]
method sampler and r is the reference method sampler.
(v) Calculate the residual mass for the reference method sampler:
Equation 41a
[GRAPHIC] [TIFF OMITTED] TR18JY97.135
where:
i = repetition number; and
j = blow-off time period.
(vi) Calculate the corrected residual mass for the candidate method
sampler as:
Equation 41b
[GRAPHIC] [TIFF OMITTED] TR18JY97.136
where:
i = repetition number;
j = blow-off time period;
Qc = candidate method sampler flow rate, and
Qr = reference method sampler flow rate.
(4) Repeat steps in paragraph (e)(1) through (e)(3) of this section
until three repetitions have been completed for each of the required
blow-off time durations (1, 2, 3, and 4 hours).
(f) Calculations and analysis. (1) Perform a linear regression with
the candidate method CRM as the dependent variable and the reference
method RM as the independent variable.
(2) Determine the following regression parameters: slope, intercept,
and correlation coefficient (r).
(g) Test results. The candidate method passes the volatility test if
the regression parameters meet the acceptance criteria specified in
table F-1 of this subpart.
[62 FR 38814, July 18, 1997, as amended at 71 FR 61295, Oct. 17, 2006]
Sec. Table F-1 to Subpart F of Part 53--Performance Specifications for
PM 2.5 Class II Equivalent Samplers
------------------------------------------------------------------------
Performance test Specifications Acceptance criteria
------------------------------------------------------------------------
Sec. 53.62 Full Wind Tunnel Solid VOAG produced Dp50 = 2.5 mm 0.2
Evaluation. aerosol at 2 km/hr mm Numerical
and 24 km/hr. Analysis Results:
95% Rc 105%.
Sec. 53.63 Wind Tunnel Liquid VOAG produced Relative Aspiration:
Inlet Aspiration Test. aerosol at 2 km/hr 95% A 105%.
and 24 km/hr.
Sec. 53.64 Static Evaluation of the Dp50 = 2.5 mm 0.2
Fractionator Test. fractionator under mm Numerical
static conditions. Analysis Results:
95% Rc 105%.
Sec. 53.65 Loading Test.... Loading of the clean Acceptance criteria
candidate under as specified in the
laboratory post-loading
conditions. evaluation test
(Sec. 53.62, Sec.
53.63, or Sec.
53.64).
Sec. 53.66 Volatility Test. Polydisperse liquid Regression
aerosol produced by Parameters Slope =
air nebulization of 1 0.1, Intercept =
A.C.S. reagent 0 0.15 mg, r
grade glycerol, $0.97.
99.5% minimum
purity.
------------------------------------------------------------------------
[72 FR 32209, June 12, 2007]
Sec. Table F-2 to Subpart F of Part 53--Particle Sizes and Wind Speeds
for Full Wind Tunnel Test, Wind Tunnel Inlet Aspiration Test, and Static
Chamber Test
----------------------------------------------------------------------------------------------------------------
Full Wind Tunnel Test Inlet Aspiration Test Static
Primary Partical Mean Size \a\ (mm) ------------------------------------------------ Fractionator Volatility
2 km/hr 24 km/hr 2 km/hr 24 km/hr Test Test
----------------------------------------------------------------------------------------------------------------
1.50.25.............................. S S S
2.00.25.............................. S S S
2.20.25.............................. S S S
2.50.25.............................. S S S
2.80.25.............................. S S S
3.00.25.............................. L L
3.50.25.............................. S S S
4.00.5............................... S S S
[[Page 111]]
Polydisperse Glycerol Aerosol......... L
----------------------------------------------------------------------------------------------------------------
\a\ Aerodynamic diameter.
S = Solid particles.
L = Liquid particles.
Sec. Table F-3 to Subpart F of Part 53--Critical Parameters of Idealized
Ambient Particle Size Distributions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fine Particle Mode Coarse Particle Mode FRM
------------------------------------------------------------------ Sampler
PM 2.5/PM Expected
Idealized Distribution Geo. Std. Conc. (mg/ Geo. Std. Conc. (mg/ 10 Ratio Mass
MMD (mm) Dev. m\3\) MMD (mm) Dev. m\3\) Conc. (mg/
m\3\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coarse.......................................................... 0.50 2 12.0 10 2 88.0 0.27 13.814
``Typical''..................................................... 0.50 2 33.3 10 2 66.7 0.55 34.284
Fine............................................................ 0.85 2 85.0 15 2 15.0 0.94 78.539
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sec. Table F-4 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM 2.5 for Idealized Coarse Aerosol Size
Distribution
----------------------------------------------------------------------------------------------------------------
Test Sampler Ideal Sampler
------------------------------------------------------------------------------------------------
Particle Estimated Mass Estimated Mass
Aerodynamic Fractional Interval Mass Concentration Fractional Interval Mass Concentration
Diameter (mm) Sampling Concentration Measurement Sampling Concentration Measurement
Effectiveness (mg/m\3\) (mg/m\3\) Effectiveness (mg/m\3\) (mg/m\3\)
----------------------------------------------------------------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
----------------------------------------------------------------------------------------------------------------
<0.500 1.000 6.001 1.000 6.001 6.001
0.625 2.129 0.999 2.129 2.127
0.750 0.982 0.998 0.982 0.980
0.875 0.730 0.997 0.730 0.728
1.000 0.551 0.995 0.551 0.548
1.125 0.428 0.991 0.428 0.424
1.250 0.346 0.987 0.346 0.342
1.375 0.294 0.980 0.294 0.288
1.500 0.264 0.969 0.264 0.256
1.675 0.251 0.954 0.251 0.239
1.750 0.250 0.932 0.250 0.233
1.875 0.258 0.899 0.258 0.232
2.000 0.272 0.854 0.272 0.232
2.125 0.292 0.791 0.292 0.231
2.250 0.314 0.707 0.314 0.222
2.375 0.339 0.602 0.339 0.204
2.500 0.366 0.480 0.366 0.176
2.625 0.394 0.351 0.394 0.138
2.750 0.422 0.230 0.422 0.097
2.875 0.449 0.133 0.449 0.060
3.000 0.477 0.067 0.477 0.032
3.125 0.504 0.030 0.504 0.015
3.250 0.530 0.012 0.530 0.006
3.375 0.555 0.004 0.555 0.002
3.500 0.579 0.001 0.579 0.001
3.625 0.602 0.000000 0.602 0.000000
3.750 0.624 0.000000 0.624 0.000000
3.875 0.644 0.000000 0.644 0.000000
4.000 0.663 0.000000 0.663 0.000000
4.125 0.681 0.000000 0.681 0.000000
4.250 0.697 0.000000 0.697 0.000000
4.375 0.712 0.000000 0.712 0.000000
4.500 0.726 0.000000 0.726 0.000000
4.625 0.738 0.000000 0.738 0.000000
4.750 0.750 0.000000 0.750 0.000000
4.875 0.760 0.000000 0.760 0.000000
5.000 0.769 0.000000 0.769 0.000000
5.125 0.777 0.000000 0.777 0.000000
5.250 0.783 0.000000 0.783 0.000000
5.375 0.789 0.000000 0.789 0.000000
[[Page 112]]
5.500 0.794 0.000000 0.794 0.000000
5.625 0.798 0.000000 0.798 0.000000
5.75 0.801 0.000000 0.801 0.000000
Csam(exp)= Cideal(exp)= 13.814
----------------------------------------------------------------------------------------------------------------
Sec. Table F-5 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM 2.5 for Idealized ``Typical'' Coarse
Aerosol Size Distribution
----------------------------------------------------------------------------------------------------------------
Test Sampler Ideal Sampler
------------------------------------------------------------------------------------------------
Particle Estimated Mass Estimated Mass
Aerodynamic Fractional Interval Mass Concentration Fractional Interval Mass Concentration
Diameter (mm) Sampling Concentration Measurement Sampling Concentration Measurement
Effectiveness (mg/m\3\) (mg/m\3\) Effectiveness (mg/m\3\) (mg/m\3\)
----------------------------------------------------------------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
----------------------------------------------------------------------------------------------------------------
<0.500 1.000 16.651 1.000 16.651 16.651
0.625 5.899 0.999 5.899 5.893
0.750 2.708 0.998 2.708 2.703
0.875 1.996 0.997 1.996 1.990
1.000 1.478 0.995 1.478 1.471
1.125 1.108 0.991 1.108 1.098
1.250 0.846 0.987 0.846 0.835
1.375 0.661 0.980 0.661 0.648
1.500 0.532 0.969 0.532 0.516
1.675 0.444 0.954 0.444 0.424
1.750 0.384 0.932 0.384 0.358
1.875 0.347 0.899 0.347 0.312
2.000 0.325 0.854 0.325 0.277
2.125 0.314 0.791 0.314 0.248
2.250 0.312 0.707 0.312 0.221
2.375 0.316 0.602 0.316 0.190
2.500 0.325 0.480 0.325 0.156
2.625 0.336 0.351 0.336 0.118
2.750 0.350 0.230 0.350 0.081
2.875 0.366 0.133 0.366 0.049
3.000 0.382 0.067 0.382 0.026
3.125 0.399 0.030 0.399 0.012
3.250 0.416 0.012 0.416 0.005
3.375 0.432 0.004 0.432 0.002
3.500 0.449 0.001 0.449 0.000000
3.625 0.464 0.000000 0.464 0.000000
3.750 0.480 0.000000 0.480 0.000000
3.875 0.494 0.000000 0.494 0.000000
4.000 0.507 0.000000 0.507 0.000000
4.125 0.520 0.000000 0.520 0.000000
4.250 0.000000 0.532 0.000000
4.375 0.000000 0.543 0.000000
4.500 0.000000 0.553 0.000000
4.625 0.000000 0.562 0.000000
4.750 0.000000 0.570 0.000000
4.875 0.000000 0.577 0.000000
5.000 0.000000 0.584 0.000000
5.125 0.000000 0.590 0.000000
5.250 0.000000 0.595 0.000000
5.375 0.000000 0.599 0.000000
5.500 0.000000 0.603 0.000000
5.625 0.000000 0.605 0.000000
5.75 0.000000 0.608 0.000000
Csam(exp)= Cideal(exp)= 34.284
----------------------------------------------------------------------------------------------------------------
[[Page 113]]
Sec. Table F-6 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM 2.5 for Idealized Fine Aerosol Size
Distribution
----------------------------------------------------------------------------------------------------------------
Test Sampler Ideal Sampler
------------------------------------------------------------------------------------------------
Particle Estimated Mass Estimated Mass
Aerodynamic Fractional Interval Mass Concentration Fractional Interval Mass Concentration
Diameter (mm) Sampling Concentration Measurement Sampling Concentration Measurement
Effectiveness (mg/m\3\) (mg/m\3\) Effectiveness (mg/m\3\) (mg/m\3\)
----------------------------------------------------------------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
----------------------------------------------------------------------------------------------------------------
<0.500 1.000 18.868 1.000 18.868 18.868
0.625 13.412 0.999 13.412 13.399
0.750 8.014 0.998 8.014 7.998
0.875 6.984 0.997 6.984 6.963
1.000 5.954 0.995 5.954 5.924
1.125 5.015 0.991 5.015 4.970
1.250 4.197 0.987 4.197 4.142
1.375 3.503 0.980 3.503 3.433
1.500 2.921 0.969 2.921 2.830
1.675 2.438 0.954 2.438 2.326
1.750 2.039 0.932 2.039 1.900
1.875 1.709 0.899 1.709 1.536
2.000 1.437 0.854 1.437 1.227
2.125 1.212 0.791 1.212 0.959
2.250 1.026 0.707 1.026 0.725
2.375 0.873 0.602 0.873 0.526
2.500 0.745 0.480 0.745 0.358
2.625 0.638 0.351 0.638 0.224
2.750 0.550 0.230 0.550 0.127
2.875 0.476 0.133 0.476 0.063
3.000 0.414 0.067 0.414 0.028
3.125 0.362 0.030 0.362 0.011
3.250 0.319 0.012 0.319 0.004
3.375 ............... 0.282 0.004 0.282 0.001
3.500 0.252 0.001 0.252 0.000000
3.625 0.226 0.000000 0.226 0.000000
3.750 0.204 0.000000 0.204 0.000000
3.875 0.185 0.000000 0.185 0.000000
4.000 0.170 0.000000 0.170 0.000000
4.125 0.157 0.000000 0.157 0.000000
4.250 0.146 0.000000 0.146 0.000000
4.375 0.136 0.000000 0.136 0.000000
4.500 0.129 0.000000 0.129 0.000000
4.625 0.122 0.000000 0.122 0.000000
4.750 0.117 0.000000 0.117 0.000000
4.875 0.112 0.000000 0.112 0.000000
5.000 0.108 0.000000 0.108 0.000000
5.125 0.105 0.000000 0.105 0.000000
5.250 0.102 0.000000 0.102 0.000000
5.375 0.100 0.000000 0.100 0.000000
5.500 0.098 0.000000 0.098 0.000000
5.625 0.097 0.000000 0.097 0.000000
5.75 0.096 0.000000 0.096 0.000000
Csam(exp)= Cideal(exp)= 78.539
----------------------------------------------------------------------------------------------------------------
Sec. Figure F-1 to Subpart F of Part 53--Designation Testing Checklist
DESIGNATION TESTING CHECKLIST FOR CLASS II
__________ __________ __________
Auditee Auditor signature
Date
------------------------------------------------------------------------
Compliance Status: Y = Yes N = No NA =
Not applicable/Not available
------------------------------------------------
Verification Verified by Direct Verification Comments
----------------------- Observation of Process (Includes documentation
or of Documented of who, what, where,
Evidence: Performance, when, why) (Doc. #,
Design or Application Rev. #, Rev. Date)
Y N NA Spec. Corresponding to
Sections of 40 CFR Part
53, Subparts E and F
------------------------------------------------------------------------
Subpart E: Performance
Specification Tests
------------------------------------------------------------------------
[[Page 114]]
Evaluation completed .......................
according to Subpart E
Sec. 53.50 to Sec.
53.56
------------------------------------------------------------------------
Subpart E: Class I
Sequential Tests
------------------------------------------------------------------------
Class II samplers that
are also Class I
(sequentialized) have
passed the tests in
Sec. 53.57
------------------------------------------------------------------------
Subpart F: Performance
Spec/Test
------------------------------------------------------------------------
Evaluation of Physical
Characteristics of
Clean Sampler - One of
these tests must be
performed:
Sec. 53.62 - Full Wind
Tunnel
Sec. 53.63 - Inlet
Aspiration
Sec. 53.64 - Static
Fractionator
------------------------------------------------------------------------
Evaluation of Physical
Characteristics of
Loaded Sampler
Sec. 53.65 Loading
Test
One of the following
tests must be
performed for
evaluation after
loading: Sec. 53.62,
Sec. 53.63, Sec.
53.64
------------------------------------------------------------------------
Evaluation of the
Volatile
Characteristics of the
Class II Sampler Sec.
53.66
------------------------------------------------------------------------
Sec. Appendix A to Subpart F of Part 53--References
(1) Marple, V.A., K.L. Rubow, W. Turner, and J.D. Spangler, Low Flow
Rate Sharp Cut Impactors for Indoor Air Sampling: Design and
Calibration., JAPCA, 37: 1303-1307 (1987).
(2) Vanderpool, R.W. and K.L. Rubow, Generation of Large, Solid
Calibration Aerosols, J. of Aer. Sci. and Tech., 9:65-69 (1988).
(3) Society of Automotive Engineers Aerospace Material Specification
(SAE AMS) 2404C, Electroless Nickel Planting, SAE, 400 Commonwealth
Drive, Warrendale PA-15096, Revised 7-1-84, pp. 1-6.
PART 54_PRIOR NOTICE OF CITIZEN SUITS--Table of Contents
Sec.
54.1 Purpose.
54.2 Service of notice.
54.3 Contents of notice.
Authority: Sec. 304 of the Clean Air Act, as amended (sec. 12, Pub.
L. 91-604, 84 Stat. 1706).
Source: 36 FR 23386, Dec. 9, 1971, unless otherwise noted.
Sec. 54.1 Purpose.
Section 304 of the Clean Air Act, as amended, authorizes the
commencement of civil actions to enforce the Act or to enforce certain
requirements promulgated pursuant to the Act. The purpose of this part
is to prescribe procedures governing the giving of notices required by
subsection 304(b) of the Act (sec. 12, Pub. L. 91-604; 84 Stat. 1706) as
a prerequisite to the commencement of such actions.
Sec. 54.2 Service of notice.
(a) Notice to Administrator: Service of notice given to the
Administrator under this part shall be accomplished by certified mail
addressed to the Administrator, Environmental Protection Agency,
Washington, DC 20460. Where notice relates to violation of an emission
standard or limitation or to violation of an order issued with respect
to an emission standard or limitation, a copy of such notice shall be
mailed to the Regional Administrator of the Environmental Protection
Agency for the Region in which such violation is alleged to have
occurred.
[[Page 115]]
(b) Notice to State: Service of notice given to a State under this
part regarding violation of an emission standard or limitation, or an
order issued with respect to an emission standard or limitation shall be
accomplished by certified mail addressed to an authorized representative
of the State agency charged with responsibility for air pollution
control in the State. A copy of such notice shall be mailed to the
Governor of the State.
(c) Notice to alleged violator: Service of notice given to an
alleged violator under this part shall be accomplished by certified mail
addressed to, or by personal service upon, the owner or managing agent
of the building, plant, installation, or facility alleged to be in
violation of an emission standard or limitation, or an order issued with
respect to an emission standard or limitation. Where the alleged
violator is a corporation, a copy of such notice shall be sent by
certified mail to the registered agent, if any, of such corporation in
the State in which such violation is alleged to have occurred.
(d) Notice served in accordance with the provisions of this part
shall be deemed given on the postmark date, if served by mail, or on the
date of receipt, if personally served.
Sec. 54.3 Contents of notice.
(a) Failure to act. Notice regarding a failure of the Administrator
to perform an act or duty which is not discretionary shall identify the
provisions of the Act which requires such act or creates such duty,
shall describe with reasonable specificity the action taken or not taken
by the Administrator which is claimed to constitute a failure to perform
such act or duty, and shall state the full name and address of the
person giving the notice.
(b) Violation of standard, limitation or order. Notices to the
Administrator, States, and alleged violators regarding violation of an
emission standard or limitation or an order issued with respect to an
emission standard or limitation, shall include sufficient information to
permit the recipient to identify the specific standard, limitation, or
order which has allegedly been violated, the activity alleged to be in
violation, the person or persons responsible for the alleged violation,
the location of the alleged violation, the date or dates of such
violation, and the full name and address of the person giving the
notice.
PART 55_OUTER CONTINENTAL SHELF AIR REGULATIONS--Table of Contents
Sec.
55.1 Statutory authority and scope.
55.2 Definitions.
55.3 Applicability.
55.4 Requirements to submit a notice of intent.
55.5 Corresponding onshore area designation.
55.6 Permit requirements.
55.7 Exemptions.
55.8 Monitoring, reporting, inspections, and compliance.
55.9 Enforcement.
55.10 Fees.
55.11 Delegation.
55.12 Consistency updates.
55.13 Federal requirements that apply to OCS sources.
55.14 Requirements that apply to OCS sources located within 25 miles of
States' seaward boundaries, by State.
55.15 Specific designation of corresponding onshore areas.
Appendix A to Part 55--Listing of State and Local Requirements
Incorporated by Reference Into Part 55, by State
Authority: Section 328 of the Clean Air Act (42 U.S.C. 7401, et
seq.) as amended by Public Law 101-549.
Source: 57 FR 40806, Sept. 4, 1992, unless otherwise noted.
Sec. 55.1 Statutory authority and scope.
Section 328(a)(1) of the Clean Air Act (``the Act''), requires the
Environmental Protection Agency (``EPA'') to establish requirements to
control air pollution from outer continental shelf (``OCS'') sources in
order to attain and maintain Federal and State ambient air quality
standards and to comply with the provisions of part C of title I of the
Act. This part establishes the air pollution control requirements for
OCS sources and the procedures for implementation and enforcement of the
requirements, consistent with these stated objectives of section
328(a)(1) of the Act. In implementing, enforcing and revising this rule
and in delegating authority hereunder, the Administrator
[[Page 116]]
will ensure that there is a rational relationship to the attainment and
maintenance of Federal and State ambient air quality standards and the
requirements of part C of title I, and that the rule is not used for the
purpose of preventing exploration and development of the OCS.
Sec. 55.2 Definitions.
Administrator means the Administrator of the U.S. Environmental
Protection Agency.
Corresponding Onshore Area (COA) means, with respect to any existing
or proposed OCS source located within 25 miles of a State's seaward
boundary, the onshore area that is geographically closest to the source
or another onshore area that the Administrator designates as the COA,
pursuant to Sec. 55.5 of this part.
Delegated agency means any agency that has been delegated authority
to implement and enforce requirements of this part by the Administrator,
pursuant to Sec. 55.11 of this part. It can refer to a State agency, a
local agency, or an Indian tribe, depending on the delegation status of
the program.
Existing source or existing OCS source shall have the meaning given
in the applicable requirements incorporated into Secs. 55.13 and 55.14
of this part, except that for two years following the date of
promulgation of this part the definition given in Sec. 55.3 of this part
shall apply for the purpose of determining the required date of
compliance with this part.
Exploratory source or exploratory OCS source means any OCS source
that is a temporary operation conducted for the sole purpose of
gathering information. This includes an operation conducted during the
exploratory phase to determine the characteristics of the reservoir and
formation and may involve the extraction of oil and gas.
Modification shall have the meaning given in the applicable
requirements incorporated into Secs. 55.13 and 55.14 of this part,
except that for two years following the date of promulgation of this
part the definition given in section 111(a) of the Act shall apply for
the purpose of determining the required date of compliance with this
part, as set forth in Sec. 55.3 of this part.
Nearest Onshore Area (NOA) means, with respect to any existing or
proposed OCS source, the onshore area that is geographically closest to
that source.
New source or new OCS source shall have the meaning given in the
applicable requirements of Secs. 55.13 and 55.14 of this part, except
that for two years following the date of promulgation of this part, the
definition given in Sec. 55.3 of this part shall apply for the purpose
of determining the required date of compliance with this part.
OCS source means any equipment, activity, or facility which:
(1) Emits or has the potential to emit any air pollutant;
(2) Is regulated or authorized under the Outer Continental Shelf
Lands Act (``OCSLA'') (43 U.S.C. Sec. 1331 et seq.); and
(3) Is located on the OCS or in or on waters above the OCS.
This definition shall include vessels only when they are:
(1) Permanently or temporarily attached to the seabed and erected
thereon and used for the purpose of exploring, developing or producing
resources therefrom, within the meaning of section 4(a)(1) of OCSLA (43
U.S.C. Sec. 1331 et seq.); or
(2) Physically attached to an OCS facility, in which case only the
stationary sources aspects of the vessels will be regulated.
Onshore area means a coastal area designated as an attainment,
nonattainment, or unclassifiable area by EPA in accordance with section
107 of the Act. If the boundaries of an area designated pursuant to
section 107 of the Act do not coincide with the boundaries of a single
onshore air pollution control agency, then onshore area shall mean a
coastal area defined by the jurisdictional boundaries of an air
pollution control agency.
Outer continental shelf shall have the meaning provided by section 2
of the OCSLA (43 U.S.C. Sec. 1331 et seq.).
Potential emissions means the maximum emissions of a pollutant from
an OCS source operating at its design capacity. Any physical or
operational limitation on the capacity of a source to emit a pollutant,
including air pollution control equipment and restrictions on hours of
operation or on the
[[Page 117]]
type or amount of material combusted, stored, or processed, shall be
treated as a limit on the design capacity of the source if the
limitation is federally enforceable. Pursuant to section 328 of the Act,
emissions from vessels servicing or associated with an OCS source shall
be considered direct emissions from such a source while at the source,
and while enroute to or from the source when within 25 miles of the
source, and shall be included in the ``potential to emit'' for an OCS
source. This definition does not alter or affect the use of this term
for any other purposes under Secs. 55.13 or 55.14 of this part, except
that vessel emissions must be included in the ``potential to emit'' as
used in Secs. 55.13 and 55.14 of this part.
Residual emissions means the difference in emissions from an OCS
source if it applies the control requirements(s) imposed pursuant to
Sec. 55.13 or Sec. 55,14 of this part and emissions from that source if
it applies a substitute control requirement pursuant to an exemption
granted under Sec. 55.7 of this part.
State means the State air pollution control agency that would be the
permitting authority, a local air pollution permitting agency, or
certain Indian tribes which can be the permitting authority for areas
within their jurisdiction. State may also be used in the geographic
sense to refer to a State, the NOA, or the COA.
[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46408, Sept. 2, 1997]
Sec. 55.3 Applicability.
(a) This part applies to all OCS sources except those located in the
Gulf of Mexico west of 87.5 degrees longitude.
(b) OCS sources located within 25 miles of States' seaward
boundaries shall be subject to all the requirements of this part, which
include, but are not limited to, the Federal requirements as set forth
in Sec. 55.13 of this part and the Federal, State, and local
requirements of the COA (designated pursuant to Sec. 55.5 of this part),
as set forth in Sec. 55.14 of this part.
(c) The OCS sources located beyond 25 miles of States' seaward
boundaries shall be subject to all the requirements of this part, except
the requirements of Secs. 55.4, 55.5, 55.12 and 55.14 of this part.
(d) New OCS sources shall comply with the requirements of this part
by September 4, 1992 where a ``new OCS source'' means an OCS source that
is a new source within the meaning of section 111(a) of the Act.
(e) Existing sources shall comply with the requirements of this part
by September 4, 1994, where an ``existing OCS source'' means any source
that is not a new source within the meaning of section 111(a) of the
Act.
[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46408, Sept. 2, 1997]
Sec. 55.4 Requirements to submit a notice of intent.
(a) Prior to performing any physical change or change in method of
operation that results in an increase in emissions, and not more than 18
months prior to submitting an application for a preconstruction permit,
the applicant shall submit a Notice of Intent (``NOI'') to the
Administrator through the EPA Regional Office, and at the same time
shall submit copies of the NOI to the air pollution control agencies of
the NOA and onshore areas adjacent to the NOA. This section applies only
to sources located within 25 miles of States' seaward boundaries.
(b) The NOI shall include the following:
(1) General company information, including company name and address,
owner's name and agent, and facility site contact.
(2) Facility description in terms of the proposed process and
products, including identification by Standard Industrial Classification
Code.
(3) Estimate of the proposed project's potential emissions of any
air pollutant, expressed in total tons per year and in such other terms
as may be necessary to determine the applicability of requirements of
this part. Potential emissions for the project must include all vessel
emissions associated with the proposed project in accordance with the
definition of potential emissions in Sec. 55.2 of this part.
(4) Description of all emissions points including associated
vessels.
(5) Estimate of quantity and type of fuels and raw materials to be
used.
[[Page 118]]
(6) Description of proposed air pollution control equipment.
(7) Proposed limitations on source operations or any work practice
standards affecting emissions.
(8) Other information affecting emissions, including, where
applicable, information related to stack parameters (including height,
diameter, and plume temperature), flow rates, and equipment and facility
dimensions.
(9) Such other information as may be necessary to determine the
applicability of onshore requirements.
(10) Such other information as may be necessary to determine the
source's impact in onshore areas.
(c) Exploratory sources and modifications to existing sources with
designated COAs shall be exempt from the requirement in paragraph
(b)(10) of this section.
(d) The scope and contents of the NOI shall in no way limit the
scope and contents of the required permit application or applicable
requirements given in this part.
Sec. 55.5 Corresponding onshore area designation.
(a) Proposed exploratory sources. The NOA shall be the COA for
exploratory sources located within 25 miles of States' seaward
boundaries. Paragraphs (b), (c), and (f) of this section are not
applicable to these sources.
(b) Requests for designation. (1) The chief executive officer of the
air pollution control agency of an area that believes it has more
stringent air pollution control requirements than the NOA for a proposed
OCS source, may submit a request to be designated as the COA to the
Administrator and at the same time shall send copies of the request to
the chief executive officer of the NOA and to the proposed source. The
request must be received by the Administrator within 60 days of the
receipt of the NOI. If no requests are received by the Administrator
within 60 days of the receipt of the NOI, the NOA will become the
designated COA without further action.
(2) No later than 90 days after the receipt of the NOI, a
demonstration must be received by the Administrator showing that:
(i) The area has more stringent requirements with respect to the
control and abatement of air pollution than the NOA;
(ii) The emissions from the source are or would be transported to
the requesting area; and
(iii) The transported emissions would affect the requesting area's
efforts to attain or maintain a Federal or State ambient air quality
standard or to comply with the requirements of part C of title I of the
Act, taking into account the effect of air pollution control
requirements that would be imposed if the NOA were designated as the
COA.
(c) Determination by the Administrator. (1) If no demonstrations are
received by the Administrator within 90 days of the receipt of the NOI,
the NOA will become the designated COA without further action.
(2) If one or more demonstrations are received, the Administrator
will issue a preliminary designation of the COA within 150 days of the
receipt of the NOI, which shall be followed by a 30 day public comment
period, in accordance with paragraph (f) of this section.
(3) The Administrator will designate the COA for a specific source
within 240 days of the receipt of the NOI.
(4) When the Administrator designates a more stringent area as the
COA with respect to a specific OCS source, the delegated agency in the
COA will exercise all delegated authority. If there is no delegated
agency in the COA, then EPA will issue the permit and implement and
enforce the requirements of this part. The Administrator may retain
authority for implementing and enforcing the requirements of this part
if the NOA and the COA are in different States.
(5) The Administrator shall designate the COA for each source only
once in the source's lifetime.
(d) Offset requirements. Offsets shall be obtained based on the
applicable requirements of the COA, as set forth in Secs. 55.13 and
55.14 of this part.
(e) Authority to designate the COA. The authority to designate the
COA for any OCS source shall not be delegated to a State or local
agency, but shall be retained by the Administrator.
(f) Administrative procedures and public participation. The
Administrator will
[[Page 119]]
use the following public notice and comment procedures for processing a
request for COA designation under this section:
(1) Within 150 days from receipt of an NOI, if one or more
demonstrations are received, the Administrator shall make a preliminary
determination of the COA and shall:
(i) Make available, in at least one location in the NOA and in the
area requesting COA designation, which may be a public Web site
identified by the Administrator, a copy of all materials submitted by
the requester, a copy of the Administrator's preliminary determination,
and a copy or summary of other materials, if any, considered by the
Administrator in making the preliminary determination; and
(ii) Notify the public, by prominent advertisement in a newspaper of
general circulation in the NOA and the area requesting COA designation
or on a public Web site identified by the Administrator, of a 30-day
opportunity for written public comment on the available information and
the Administrator's preliminary COA designation.
(2) A copy of the notice required pursuant to paragraph (f)(1)(ii)
of this section shall be sent to the requester, the affected source,
each person from whom a written request of such notice has been
received, and the following officials and agencies having jurisdiction
over the COA and NOA: State and local air pollution control agencies,
the chief executive of the city and county, the Federal Land Manager of
potentially affected Class I areas, and any Indian governing body whose
lands may be affected by emissions from the OCS source.
(3) Public comments received in writing within 30 days after the
date the public notice is made available will be considered by the
Administrator in making the final decision on the request. All comments
will be made available for public inspection.
(4) The Administrator will make a final COA designation within 60
days after the close of the public comment period. The Administrator
will notify, in writing, the requester and each person who has requested
notice of the final action and will set forth the reasons for the
determination. Such notification will be made available for public
inspection.
[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 25151, May 20, 1996; 81
FR 71630, Oct. 18, 2016]
Sec. 55.6 Permit requirements.
(a) General provisions--(1) Permit applications. (i) The owner or
operator of an OCS source shall submit to the Administrator or delegated
agency all information necessary to perform any analysis or make any
determination required under this section.
(ii) Any application submitted pursuant to this part by an OCS
source shall include a description of all the requirements of this part
and a description of how the source will comply with the applicable
requirements. For identification purposes only, the application shall
include a description of those requirements that have been proposed by
EPA for incorporation into this part and that the applicant believes,
after diligent research and inquiry, apply to the source.
(2) Exemptions. (i) When an applicant submits any approval to
construct or permit to operate application to the Administrator or
delegated agency it shall include a request for exemption from
compliance with any pollution control technology requirement that the
applicant believes is technically infeasible or will cause an
unreasonable threat to health and safety. The Administrator or delegated
agency shall act on the request for exemption in accordance with the
procedures established in Sec. 55.7 of this part.
(ii) A final permit shall not be issued under this part until a
final determination is made on any exemption request, including those
appealed to the Administrator in accordance with Sec. 55.7 of this part.
(3) Administrative procedures and public participation. The
Administrator will follow the applicable procedures of 40 CFR part 71 or
40 CFR part 124 in processing applications under this part. When using
40 CFR part 124, the Administrator will follow the procedures used to
issue Prevention of Significant Deterioration (``PSD'') permits.
(4) Source obligation. (i) Any owner or operator who constructs or
operates an OCS source not in accordance with the
[[Page 120]]
application submitted pursuant to this part 55, or with any approval to
construct or permit to operate, or any owner or operator of a source
subject to the requirements of this part who commences construction
after the effective date of this part without applying for and receiving
approval under this part, shall be in violation of this part.
(ii) Any owner or operator of a new OCS source who commenced
construction prior to the promulgation date of this rule shall comply
with the requirements of paragraph (e) of this section.
(iii) Receipt of an approval to construct or a permit to operate
from the Administrator or delegated agency shall not relieve any owner
or operator of the responsibility to comply fully with the applicable
provisions of any other requirements under Federal law.
(iv) The owner or operator of an OCS source to whom the approval to
construct or permit to operate is issued under this part shall notify
all other owners and operators, contractors, and the subsequent owners
and operators associated with emissions from the source, of the
conditions of the permit issued under this part.
(5) Delegation of authority. If the Administrator delegates any of
the authority to implement and enforce the requirements of this section,
the following provisions shall apply:
(i) The applicant shall send a copy of any permit application
required by this section to the Administrator through the EPA Regional
Office at the same time as the application is submitted to the delegated
agency.
(ii) The delegated agency shall send a copy of any public comment
notice required under this section or Secs. 55.13 or 55.14 to the
Administrator through the EPA Regional Office.
(iii) The delegated agency shall send a copy of any preliminary
determination and final permit action required under this section or
Secs. 55.13 or 55.14 to the Administrator through the EPA Regional
Office at the time of the determination and shall make available to the
Administrator any materials used in making the determination.
(b) Preconstruction requirements for OCS sources located within 25
miles of States' seaward boundaries. (1) No OCS source to which the
requirements of Secs. 55.13 or 55.14 of this part apply shall begin
actual construction after the effective date of this part without a
permit that requires the OCS source to meet those requirements.
(2) Any permit application required under this part shall not be
submitted until the Administrator has determined whether a consistency
update is necessary, pursuant to Sec. 55.12 of this part, and, if the
Administrator finds an update to be necessary, has published a proposed
consistency update.
(3) The applicant may be required to obtain more than one
preconstruction permit, if necessitated by partial delegation of this
part or by the requirements of this section and Secs. 55.13 and 55.14 of
this part.
(4) An approval to construct shall become invalid if construction is
not commenced within 18 months after receipt of such approval, if
construction is discontinued for a period of 18 months or more, or if
construction is not completed within a reasonable time. The 18-month
period may be extended upon a showing satisfactory to the Administrator
or the delegated agency that an extension is justified. Sources
obtaining extensions are subject to all new or interim requirements and
a reassessment of the applicable control technology when the extension
is granted. This requirement shall not supersede a more stringent
requirement under Secs. 55.13 or 55.14 of this part.
(5) Any preconstruction permit issued to a new OCS source or
modification shall remain in effect until it expires under paragraph
(b)(4) of this section or is rescinded under the applicable requirements
incorporated in Secs. 55.13 and 55.14 of this part.
(6) Whenever any proposed OCS source or modification to an existing
OCS source is subject to action by a Federal agency that might
necessitate preparation of an environmental impact statement pursuant to
the National Environmental Policy Act (42 U.S.C. 4321), review by the
Administrator conducted pursuant to this section shall be coordinated
with the environmental reviews under that Act to the extent feasible and
reasonable.
(7) The Administrator or delegated agency and the applicant shall
provide
[[Page 121]]
written notice of any permit application from a source, the emissions
from which may affect a Class I area, to the Federal Land Manager
charged with direct responsibility for management of any lands within
the Class I area. Such notification shall include a copy of all
information contained in the permit application and shall be given
within 30 days of receipt of the application and at least 60 days prior
to any public hearing on the preconstruction permit.
(8) Modification of existing sources. The preconstruction
requirements above shall not apply to a particular modification, as
defined in Sec. 55.13 or Sec. 55.14 of this part, of an existing OCS
source if:
(i) The modification is necessary to comply with this part, and no
other physical change or change in the method of operation is made in
conjunction with the modification;
(ii) The modification is made within 24 months of promulgation of
this part; and
(iii) The modification does not result in an increase, in excess of
any de minimis levels contained in the applicable requirements of
Secs. 55.13 and 55.14, of potential emissions or actual hourly emissions
of a pollutant regulated under the Act.
(9) Compliance plans. Sources intending to perform modifications
that meet all of the criteria of paragraph (b)(8) of this section shall
submit a compliance plan to the Administrator or delegated agency prior
to performing the modification. The compliance shall describe the
schedule and method the source will use to comply with the applicable
OCS requirements within 24 months of the promulgation date of this part
and shall include a request for any exemptions from compliance with a
pollution control technology requirement that the applicant believes is
technically infeasible or will cause an unreasonable threat to health
and safety. The Administrator or delegated agency shall act on the
request for exemption in accordance with the procedures established in
Sec. 55.7 of this part.
(i) The Administrator or delegated agency shall review the
compliance plan and provide written comments to the source within 45
days of receipt of such plan. The source shall provide a written
response to such comments as required by the reviewing agency.
(ii) Receipt and review of a compliance plan by the Administrator or
delegated agency shall not relieve any owner or operator of an existing
OCS source of the responsibility to comply fully with the applicable
requirements of Secs. 55.13 and 55.14 of this part within 24 months of
promulgation of this part.
(c) Operating permit requirements for sources located within 25
miles of States' seaward boundaries. (1) All applicable operating permit
requirements listed in this section and incorporated into Secs. 55.13
and 55.14 of this part shall apply to OCS sources.
(2) The Administrator or delegated agency shall not issue a permit
to operate to any existing OCS source that has not demonstrated
compliance with all the applicable requirements of this part.
(3) If the COA does not have an operating permits program approved
pursuant to 40 CFR part 70 or if EPA has determined that the COA is not
adequately implementing an approved program, the applicable requirements
of 40 CFR part 71, the Federal operating permits program, shall apply to
the OCS sources. The applicable requirements of 40 CFR part 71 will be
implemented and enforced by the Administrator. The Administrator may
delegate the authority to implement and enforce all or part of a Federal
operating permits program to a State pursuant to Sec. 55.11 of this
part.
(d) Permit requirements for sources located beyond 25 miles of
States' seaward boundaries. (1) OCS sources located beyond 25 miles of
States' seaward boundaries shall be subject to the permitting
requirements set forth in this section and Sec. 55.13 of this part.
(2) The Administrator or delegated agency shall not issue a permit-
to-operate to any existing OCS source that has not demonstrated
compliance with all the applicable requirements of this part.
(e) Permit requirements for new sources that commenced construction
prior to September 4, 1992--(1) Applicability. Sec. 55.6(e) applies to a
new OCS source, as defined by section 328 of the Act, that commenced
construction before September 4, 1992.
[[Page 122]]
(2) A source subject to Sec. 55.6(e) shall comply with the following
requirements:
(i) By October 5, 1992, the owner or operator of the source shall
submit a transitional permit application (``TPA'') to the Administrator
or the delegated agency. The TPA shall include the following:
(A) The information specified in Secs. 55.4(b)(1) through
Sec. 55.4(b)(9) of this part;
(B) A list of all requirements applicable to the source under this
part;
(C) A request for exemption from compliance with any control
technology requirement that the applicant believes is technically
infeasible or will cause an unreasonable threat to health and safety;
(D) An air quality screening analysis demonstrating whether the
source has or is expected in the future to cause or contribute to a
violation of any applicable State or Federal ambient air quality
standard or exceed any applicable increment. If no air quality analysis
is required by the applicable requirements of Secs. 55.13 and 55.14,
this requirement does not apply;
(E) Documentation that source emissions are currently being offset,
or will be offset if the source has not commenced operation, at the
ratio required under this part, and documentation that those offsets
meet or will meet the requirements of this part; and
(F) A description of how the source is complying with the applicable
requirements of Secs. 55.13 and 55.14 of this part, including emission
levels and corresponding control measures, including Best Available
Control Technology (``BACT'') or Lowest Achievable Emission Rates
(``LAER''), but excluding the requirements to have valid permits.
(ii) The source shall expeditiously complete its permit application
in compliance with the schedule determined by the Administrator or
delegated agency.
(iii) The source shall comply with all applicable requirements of
this part except for the requirements of paragraph (a)(4)(i) of this
section. The source shall comply with the control technology
requirements (such as BACT or LAER) set forth in the TPA that would be
applicable if the source had a valid permit.
(iv) Any owner or operator subject to this subsection who continues
to construct or operate an OCS source thirty days from promulgation of
this part without submitting a TPA, or continues to construct or operate
an OCS source not in accordance with the TPA submitted pursuant to
paragraph (e) of this section, or constructs or operates an OCS source
not in accordance with the schedule determined by the permitting
authority, shall be in violation of this part.
(3) Upon the submittal of a permit application deemed to be complete
by the permitting authority, the owner or operator of the source shall
be subject to the permitting requirements of Secs. 55.13 and 55.14 of
this part that apply subsequent to the submission of a complete permit
application. When a source receives the permit or permits required under
this part, its TPA shall expire.
(4) Until the date that a source subject to this subsection receives
the permit or permits required under this part, that source shall cease
operation if, based on projected or actual emissions, the permitting
authority determines that the source is currently or may in the future
cause or contribute to a violation of a State or Federal ambient air
quality standard or exceed any applicable increment.
[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996; 62
FR 46409, Sept. 2, 1997; 81 FR 71630, Oct. 18, 2016]
Sec. 55.7 Exemptions.
(a) Authority and criteria. The Administrator or the delegated
agency may exempt a source from a control technology requirement of this
part if the Administrator or the delegated agency finds that compliance
with the control technology requirement is technically infeasible or
will cause an unreasonable threat to health and safety.
(b) Request for an exemption--(1) Permit application required. An
applicant shall submit a request for an exemption from a control
technology requirement at the same time as the applicant submits a
preconstruction or operating permit application to the Administrator or
delegated agency.
[[Page 123]]
(2) No permit application required. If no permit or permit
modification is required, a request for an exemption must be received by
the Administrator or delegated agency within 60 days from the date the
control technology requirement is promulgated by EPA.
(3) Compliance plan. An existing source that submits a compliance
plan in accordance with Sec. 55.6(b) of this part shall submit all
requests for exemptions at the same time as the compliance plan. For the
purpose of applying Sec. 55.7 of this part, a request submitted with a
compliance plan shall be treated in the same manner as a request that
does not require a permit application.
(4) Content of request. (i) The request shall include information
that demonstrates that compliance with a control technology requirement
of this part would be technically infeasible or would cause an
unreasonable threat to health and safety.
(ii) The request shall include a proposed substitute requirement(s)
as close in stringency to the original requirement as possible.
(iii) The request shall include an estimate of emission reductions
that would be achieved by compliance with the original requirement, an
estimate of emission reductions that would be achieved by compliance
with the proposed substitute requirement(s) and an estimate of residual
emissions.
(iv) The request shall identify emission reductions of a sufficient
quantity to offset the estimated residual emissions. Sources located
beyond 25 miles from States' seaward boundaries shall consult with the
Administrator to identify suitable emission reductions.
(c) Consultation requirement. If the authority to grant or deny
exemptions has been delegated, the delegated agency shall consult with
the Minerals Management Service of the U.S. Department of Interior and
the U.S. Coast Guard to determine whether the exemption will be granted
or denied.
(1) The delegated agency shall transmit to the Administrator
(through the Regional Office), the Minerals Management Service, and the
U.S. Coast Guard, a copy of the permit application, or the request if no
permit is required, within 5 days of its receipt.
(2) Consensus. If the delegated agency, the Minerals Management
Service, and the U.S. Coast Guard reach a consensus decision on the
request within 90 days from the date the delegated agency received the
request, the delegated agency may issue a preliminary determination in
accordance with the applicable requirements of paragraph (f) of this
section.
(3) No consensus. If the delegated agency, the Minerals Management
Service, and the U.S. Coast Guard do not reach a consensus decision
within 90 days from the date the delegated agency received the request,
the request shall automatically be referred to the Administrator who
will process the referral in accordance with paragraph (f)(3) of this
section. The delegated agency shall transmit to the Administrator,
within 91 days of its receipt, the request and all materials submitted
with the request, such as the permit application or the compliance plan,
and any other information considered or developed during the
consultation process.
(4) If a request is referred to the Administrator and the delegated
agency issues a preliminary determination on a permit application before
the Administrator issues a final decision on the exemption, the
delegated agency shall include a notice of the opportunity to comment on
the Administrator's preliminary determination in accordance with the
procedures of paragraph (f)(4) of this section.
(5) The Administrator's final decision on a request that has been
referred pursuant to paragraph (c) of this section shall be incorporated
into the final permit issued by the delegated agency. If no permit is
required, the Administrator's final decision on the request shall be
implemented and enforced by the delegated agency.
(d) Preliminary determination. The Administrator or delegated agency
shall issue a preliminary determination in accordance with paragraph (f)
of this section. A preliminary determination shall propose to grant or
deny the request for exemption. A preliminary determination to grant the
request shall include proposed substitute control requirements and
offsets necessary to
[[Page 124]]
comply with the requirements of paragraph (e) of this section.
(e) Grant of exemption. (1) The source shall comply with a
substitute requirement(s), equal to or as close in stringency to the
original requirement as possible, as determined by the Administrator or
delegated agency.
(2) An OCS source located within 25 miles of States' seaward
boundaries shall offset residual emissions resulting from the grant of
an exemption request in accordance with the requirements of the Act and
the regulations thereunder. The source shall obtain offsets in
accordance with the applicable requirements as follows:
(i) If offsets are required in the COA, a new source shall offset
residual emissions in the same manner as all other new source emissions
in accordance with the requirements of Sec. 55.5(d) of this part.
(ii) If offsets are not required in the COA, a new source shall
comply with an offset ratio of 1:1.
(iii) An existing OCS source shall comply with an offset at a ratio
of 1:1.
(3) An OCS source located beyond 25 miles from States' seaward
boundaries shall obtain emission reductions at a ratio determined by the
Administrator to be adequate to protect State and Federal ambient air
quality standards and to comply with part C of title I of the Act.
(f) Administrative procedures and public participation--(1) Request
submitted with a permit application. If a request is submitted with a
permit application, the request shall be considered part of the permit
application and shall be processed accordingly for the purpose of
administrative procedures and public notice and comment requirements.
The Administrator shall comply with the requirements of 40 CFR part 124
and the requirements set forth at Sec. 55.6 of this part. If the
Administrator has delegated authority to a State, the delegated agency
shall use its own procedures as deemed adequate by the Administrator in
accordance with Sec. 55.11 of this part. These procedures must provide
for public notice and comment on the preliminary determination.
(2) Request submitted without a permit or with a compliance plan. If
a permit is not required, the Administrator or the delegated agency
shall issue a preliminary determination within 90 days from the date the
request was received, and shall use the procedures set forth at
paragraph (f)(4) of this section for processing a request.
(3) Referral. If a request is referred to the Administrator pursuant
to paragraph (c) of this section, the Administrator shall make a
preliminary determination no later than 30 days after receipt of the
request and any accompanying materials transmitted by the delegated
agency. The Administrator shall use the procedures set forth at
paragraph (f)(4) of this section for processing a request.
(4) The Administrator or the delegated agency shall comply with the
following requirements for processing requests submitted without a
permit, with a compliance plan, and requests referred to the
Administrator:
(i) Issue a preliminary determination to grant or deny the request.
A preliminary determination by the Administrator to deny a request shall
be considered a final decision and will be accompanied by the reasons
for the decision. As such, it is not subject to any further public
notice, comment, or hearings. Written notice of the denial shall be
given to the requester.
(ii) Make available, in at least one location in the COA and NOA,
which may be a public Web site identified by the Administrator or
delegated agency, a copy of all materials submitted by the requester, a
copy of the preliminary determination, and a copy or summary of other
materials, if any, considered in making the preliminary determination.
(iii) Notify the public, by prominent advertisement in a newspaper
of general circulation in the COA and NOA or on a public Web site
identified by the Administrator or delegated agency, of a 30-day
opportunity for written public comment on the information submitted by
the owner or operator and on the preliminary determination.
(iv) Send a copy of the notice required pursuant to paragraph
(f)(4)(iii) of this section to the requester, the affected source, each
person from whom a written request of such notice has been received, and
the following officials and agencies having jurisdiction
[[Page 125]]
over the COA and NOA: State and local air pollution control agencies,
the chief executive of the city and county, the Federal Land Manager of
potentially affected Class I areas, and any Indian governing body whose
lands may be affected by emissions from the OCS source.
(v) Consider written public comments received within 30 days after
the date the public notice is made available when making the final
decision on the request. All comments will be made available for public
inspection. At the time that any final decision is issued, the
Administrator or delegated agency will issue a response to comments.
(vi) Make a final decision on the request within 30 days after the
close of the public comment period. The Administrator or the delegated
agency will notify, in writing, the applicant and each person who has
submitted written comments, or from whom a written request of such
notice has been received, of the final decision and will set forth the
reasons. Such notification will be made available for public inspection.
(5) Within 30 days after the final decision has been made on a
request, the requester, or any person who filed comments on the
preliminary determination, may petition the Administrator to review any
aspect of the decision. Any person who failed to file comments on the
preliminary decision may petition for administrative review only on the
changes from the preliminary to the final determination.
[57 FR 40806, Sept. 4, 1992, as amended at 81 FR 71630, Oct. 18, 2016]
Sec. 55.8 Monitoring, reporting, inspections, and compliance.
(a) The Administrator may require monitoring or reporting and may
authorize inspections pursuant to section 114 of the Act and the
regulations thereunder. Sources shall also be subject to the
requirements set forth in Secs. 55.13 and 55.14 of this part.
(b) All monitoring, reporting, inspection and compliance
requirements authorized under the Act shall apply.
(c) An existing OCS source that is not required to obtain a permit
to operate within 24 months of the date of promulgation of this part
shall submit a compliance report to the Administrator or delegated
agency within 25 months of promulgation of this part. The compliance
report shall specify all the applicable OCS requirements of this part
and a description of how the source has complied with these
requirements.
(d) The Administrator or the delegated agency shall consult with the
Minerals Management Service and the U.S. Coast Guard prior to
inspections. This shall in no way interfere with the ability of EPA or
the delegated agency to conduct unannounced inspections.
(Approved by the Office of Management and Budget under control number
2060-0249)
[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993]
Sec. 55.9 Enforcement.
(a) OCS sources shall comply with all requirements of this part and
all permits issued pursuant to this part. Failure to do so shall be
considered a violation of section 111(e) of the Act.
(b) All enforcement provisions of the Act, including, but not
limited to, the provisions of sections 113, 114, 120, 303 and 304 of the
Act, shall apply to OCS sources.
(c) If a facility is ordered to cease operation of any piece of
equipment due to enforcement action taken by EPA or a delegated agency
pursuant to this part, the shutdown will be coordinated by the enforcing
agency with the Minerals Management Service and the U.S. Coast Guard to
assure that the shutdown will proceed in a safe manner. No shutdown
action will occur until after consultation with these agencies, but in
no case will initiation of the shutdown be delayed by more than 24
hours.
Sec. 55.10 Fees.
(a) OCS sources located within 25 miles of States' seaward
boundaries. (1) The EPA will calculate and collect operating permit fees
from OCS sources in accordance with the requirements of 40 CFR part 71.
(2) EPA will collect all other fees from OCS sources calculated in
accordance with the fee requirements imposed in the COA if the fees are
based
[[Page 126]]
on regulatory objectives, such as discouraging emissions. If the fee
requirements are based on cost recovery objectives, however, EPA will
adjust the fees to reflect the costs to EPA to issue permits and
administer the permit program.
(3) Upon delegation, the delegated agency will collect fees from OCS
sources calculated in accordance with the fee requirements imposed in
the COA. Upon delegation of authority to implement and enforce any
portion of this part, EPA will cease to collect fees imposed in
conjunction with that portion.
(b) The OCS sources located beyond 25 miles of States' seaward
boundaries. The EPA will calculate and collect operating permit fees
from OCS sources in accordance with the requirements of 40 CFR part 71.
[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996]
Sec. 55.11 Delegation.
(a) The Governor or the Governor's designee of any State adjacent to
an OCS source subject to the requirements of this part may submit a
request, purusant to section 328(a)(3) of the Act, to the Administrator
for the authority to implement and enforce the requirements of this OCS
program: Within 25 miles of the State's seaward boundary; and/or Beyond
25 miles of the State's seaward boundary. Authority to implement and
enforce Secs. 55.5, 55.11, and 55.12 of this part will not be delegated.
(b) The Administrator will delegate implementation and enforcement
authority to a State if the State has an adjacent OCS source and the
Administrator determines that the State's regulations are adequate,
including a demonstration by the State that the State has:
(1) Adopted the appropriate portions of this part into State law;
(2) Adequate authority under State law to implement and enforce the
requirements of this part. A letter from the State Attorney General
shall be required stating that the requesting agency has such authority;
(3) Adequate resources to implement and enforce the requirements of
this part; and
(4) Adequate administrative procedures to implement and enforce the
requirements of this part, including public notice and comment
procedures.
(c) The Administrator will notify in writing the Governor or the
Governor's designee of the Administrator's final action on a request for
delegation within 6 months of the receipt of the request.
(d) If the Administrator finds that the State regulations are
adequate, the Administrator will authorize the State to implement and
enforce the OCS requirements under State law. If the Administrator finds
that only part of the State regulations are adequate, he will authorize
the State to implement and enforce only that portion of this part.
(e) Upon delegation, a State may use any authority it possesses
under State law to enforce any permit condition or any other requirement
of this part for which the agency has delegated authority under this
part. A State may use any authority it possesses under State law to
require monitoring and reporting and to conduct inspections.
(f) Nothing in this part shall prohibit the Administrator from
enforcing any requirement of this part.
(g) The Administrator will withdraw a delegation of any authority to
implement and enforce any or all of this part if the Administrator
determines that: (1) The requirements of this part are not being
adequately implemented or enforced by the delegated agency, or (2) The
delegated agency no longer has adequate regulations as required by
Sec. 55.11(b) of this part.
(h) Sharing of information. Any information obtained or used in the
administration of a delegated program shall be made available to EPA
upon request without restriction. If the information has been submitted
to the delegated agency under a claim of confidentiality, the delegated
agency must notify the source of this obligation and submit that claim
to EPA. Any information obtained from a delegated agency accompanied by
a claim of confidentiality will be treated in accordance with the
requirements of 40 CFR part 2.
(i) Grant of exemptions. A decision by a delegated agency to grant
or deny an exemption request may be appealed to
[[Page 127]]
the Administrator in accordance with Sec. 55.7 of this part.
(j) Delegated authority. The delegated agency in the COA for sources
located within 25 miles of the State's seaward boundary or the delegated
agency in the NOA for sources located beyond 25 miles of the State's
seaward boundary will exercise all delegated authority. If there is no
delegated agency in the COA for sources located within 25 miles of the
State's seaward boundary, or in the NOA for sources located beyond 25
miles of the State's seaward boundary, the EPA will issue the permit and
implement and enforce the requirements of this part. For sources located
within 25 miles of the State's seaward boundary, the Administrator may
retain the authority for implementing and enforcing the requirements of
this part if the NOA and COA are in different States.
[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46409, Sept. 2, 1997]
Sec. 55.12 Consistency updates.
(a) The Administrator will update this part as necessary to maintain
consistency with the regulations of onshore areas in order to attain and
maintain Federal and State ambient standards and comply with part C of
title I of the Act.
(b) Where an OCS activity is occurring within 25 miles of a State
seaward boundary, consistency reviews will occur at least annually. In
addition, in accordance with paragraphs (c) and (d) of this section,
consistency reviews will occur upon receipt of an NOI and when a State
or local agency submits a rule to EPA to be considered for incorporation
by reference in this part 55.
(1) Upon initiation of a consistency review, the Administrator will
evaluate the requirements of part 55 to determine whether they are
consistent with the current onshore requirements.
(2) If the Administrator finds that part 55 is inconsistent with the
requirements in effect in the onshore area, EPA will conduct a notice
and comment rulemaking to update part 55 accordingly.
(c) Consistency reviews triggered by receipt of an NOI. Upon receipt
of an NOI, the Administrator will initiate a consistency review of
regulations in the onshore area.
(1) If the NOI is submitted by a source for which the COA has
previously been assigned, EPA will publish a proposed consistency update
in the Federal Register no later than 60 days after the receipt of the
NOI, if an update is deemed necessary by the Administrator:
(2) If the NOI is submitted by a source requiring a COA designation,
EPA will publish a proposed consistency update in the Federal Register,
if an update is deemed necessary by the Administrator:
(i) No later than 75 days after receipt of the NOI if no adjacent
areas submit a request for COA designation and the NOA becomes the COA
by default, or
(ii) No later than 105 days after receipt of the NOI if an adjacent
area submits a request to be designated as COA but fails to submit the
required demonstration within 90 days of receipt of the NOI, or
(iii) No later than 15 days after the date of the final COA
determination if one or more demonstrations are received.
(d) Consistency reviews triggered by State and local air pollution
control agencies submitting rules directly to EPA for inclusion into
part 55. (1) EPA will propose in the Federal Register to approve
applicable rules submitted by State or local regulatory agencies for
incorporation by reference into Sec. 55.14 of this part by the end of
the calendar quarter following the quarter in which the submittal is
received by EPA.
(2) State and local rules submitted for inclusion in part 55 must be
rationally related to the attainment and maintenance of Federal or State
ambient air quality standards or to the requirements of part C of title
I of the Act. The submittal must be legible and unmarked, with the
adoption date and the name of the agency on each page, and must be
accompanied by proof of adoption.
(e) No rule or regulation that EPA finds to be arbitrary or
capricious will be incorporated into this part.
(f) A source may not submit a complete permit application until any
update the Administrator deems necessary to make part 55 consistent with
the COA's rules has been proposed.
[[Page 128]]
Sec. 55.13 Federal requirements that apply to OCS sources.
(a) The requirements of this section shall apply to OCS sources as
set forth below. In the event that a requirement of this section
conflicts with an applicable requirement of Sec. 55.14 of this part and
a source cannot comply with the requirements of both sections, the more
stringent requirement shall apply.
(b) In applying the requirements incorporated into this section:
(1) New Source means new OCS source; and
(2) Existing Source means existing OCS source; and
(3) Modification means a modification to an OCS source.
(4) For requirements adopted prior to promulgation of this part,
language in such requirements limiting the applicability of the
requirements to onshore sources or to sources within State boundaries
shall not apply.
(c) 40 CFR part 60 (NSPS) shall apply to OCS sources in the same
manner as in the COA, except that any source determined to be an
existing source pursuant to Sec. 55.3(e) of this part shall not be
considered a ``new source'' for the purpose of NSPS adopted before
December 5, 1991.
(d) 40 CFR 52.21 (PSD) shall apply to OCS sources:
(1) Located within 25 miles of a State's seaward boundary if the
requirements of 40 CFR 52.21 are in effect in the COA;
(2) Located beyond 25 miles of States' seaward boundaries.
(e) 40 CFR part 61, together with any other provisions promulgated
pursuant to section 112 of the Act, shall apply if rationally related to
the attainment and maintenance of Federal or State ambient air quality
standards or the requirements of part C of title I of the Act.
(f) 40 CFR part 71 shall apply to OCS sources:
(1) Located within 25 miles of States' seaward boundaries if the
requirements of 40 CFR part 71 are in effect in the COA.
(2) Located beyond 25 miles of States' seaward boundaries.
(3) When an operating permits program approved pursuant to 40 CFR
part 70 is in effect in the COA and a Federal operating permit is issued
to satisfy an EPA objection pursuant to 40 CFR 71.4(e).
(g) The provisions of 40 CFR 52.10, 40 CFR 52.24, and 40 CFR part 51
and accompanying appendix S shall apply to OCS sources located within 25
miles of States' seaward boundaries, if these requirements are in effect
in the COA.
(h) If the Administrator determines that additional requirements are
necessary to protect Federal and State ambient air quality standards or
to comply with part C of title I, such requirements will be incorporated
in this part.
[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996]
Sec. 55.14 Requirements that apply to OCS sources located within
25 miles of States' seaward boundaries, by State.
(a) The requirements of this section shall apply to OCS sources as
set forth below. In the event that a requirement of this section
conflicts with an applicable requirement of Sec. 55.13 of this part and
a source cannot comply with the requirements of both sections, the more
stringent requirement shall apply.
(b) In applying the requirements incorporated into this section:
(1) New Source means new OCS source; and
(2) Existing Source means existing OCS source; and
(3) Modification means a modification to an existing OCS source.
(4) For requirements adopted prior to promulgation of this part,
language in such requirements limiting the applicability of the
requirements to onshore sources or to sources within State boundaries
shall not apply.
(c) During periods of EPA implementation and enforcement of this
section, the following shall apply:
(1) Any reference to a State or local air pollution control agency
or air pollution control officer shall mean EPA or the Administrator,
respectively.
(2) Any submittal to State or local air pollution control agency
shall instead be submitted to the Administrator through the EPA Regional
Office.
[[Page 129]]
(3) Nothing in this section shall alter or limit EPA's authority to
administer or enforce the requirements of this part under Federal law.
(4) EPA shall not be bound by any State or local administrative or
procedural requirements including, but not limited to, requirements
pertaining to hearing boards, permit issuance, public notice procedures,
and public hearings. EPA will follow the applicable procedures set forth
elsewhere in this part, in 40 CFR part 124, and in Federal rules
promulgated pursuant to title V of the Act (as such rules apply in the
COA), when administering this section.
(5) Only those requirements of 40 CFR part 52 that are rationally
related to the attainment and maintenance of Federal or State ambient
air quality standards or part C of title I shall apply to OCS sources.
(d) Implementation Plan Requirements. (1) [Reserved]
(2) Alaska.
(i) 40 CFR part 52, subpart C.
(ii) [Reserved]
(3) California.
(i) 40 CFR part 52, subpart F.
(ii) [Reserved]
(4) [Reserved]
(5) Delaware.
(i) 40 CFR part 52, subpart I.
(ii) [Reserved]
(6) Florida.
(i) 40 CFR part 52, subpart K.
(ii) [Reserved]
(7)-(9) [Reserved]
(10) Maryland.
(i) 40 CFR part 52, subpart V.
(ii) [Reserved]
(11) Massachusetts.
(i) 40 CFR part 52, subpart W.
(ii) [Reserved]
(12)-(14) [Reserved]
(15) New Jersey
(i) 40 CFR part 52, subpart FF.
(ii) [Reserved]
(16) New York.
(i) 40 CFR part 52, subpart HH.
(ii) [Reserved]
(17) North Carolina.
(i) 40 CFR part 52, subpart II.
(ii) [Reserved]
(18)-(21) [Reserved]
(22) Virginia.
(i) 40 CFR part 52, subpart VV.
(ii) [Reserved]
(23) [Reserved]
(e) State and local requirements. State and local requirements
promulgated by EPA as applicable to OCS sources located within 25 miles
of States' seaward boundaries have been compiled into separate documents
organized by State and local areas of jurisdiction. These documents, set
forth below, are incorporated by reference. This incorporation by
reference was approved by the Director of the Federal Register Office in
accordance with 5 U.S.C. 552 (a) and 40 CFR part 51. Copies may be
inspected at the National Archives and Records Administration (NARA).
For information on the availability of this material at NARA, call 202-
741-6030 or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. Copies of rules
pertaining to particular States or local areas may be inspected or
obtained from the EPA Docket Center-Public Reading Room, EPA West
Building, Room 3334, 1301 Constitution Avenue NW., Washington, DC 20004
or the appropriate EPA regional offices: U.S. EPA, Region I
(Massachusetts) 5 Post Office Square, Boston, MA 02109-3912; U.S. EPA,
Region III (Delaware, Maryland, and Virginia) 1650 Arch Street,
Philadelphia, PA 19103, (215) 814-5000; U.S. EPA, Region 4 (Florida and
North Carolina), 61 Forsyth Street, Atlanta, GA 30303; U.S. EPA, Region
9 (California), 75 Hawthorne Street, San Francisco, CA 94105; and U.S.
EPA Region 10 (Alaska), 1200 Sixth Avenue, Seattle, WA 98101. For an
informational listing of the State and local requirements incorporated
into this part, which are applicable to sources of air pollution located
on the OCS, see appendix A to this part.
(1) [Reserved]
(2) Alaska.
(i) State requirements.
(A) State of Alaska Requirements Applicable to OCS Sources, December
9, 2010.
(B) [Reserved]
(ii) Local requirements.
(A) South Central Alaska Clean Air Authority Requirements Applicable
to OCS Sources, August 21, 1992.
(B) [Reserved]
(3) California.
(i) State requirements.
[[Page 130]]
(A) State of California Requirements Applicable to OCS Sources,
February 2006.
(ii) Local requirements.
(A)-(D) [Reserved]
(E) San Luis Obispo County Air Pollution Control District
Requirements Applicable to OCS Sources, February 2000.
(F) Santa Barbara County Air Pollution Control District Requirements
Applicable to OCS Sources, April 2017.
(G) South Coast Air Quality Management District Requirements
Applicable to OCS Sources (Parts I, II and III), September 2009.
(H) Ventura County Air Pollution Control District Requirements
Applicable to OCS Sources, parts 1 and 2, April 2017.
(4) [Reserved]
(5) Delaware.
(i) State requirements.
(A) State of Delaware Requirements Applicable to OCS Sources,
December 19, 2008.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(6) Florida.
(i) State requirements.
(A) State of Florida Requirements Applicable to OCS Sources, January
2, 2008.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(7)-(9) [Reserved]
(10) Maryland.
(i) State requirements.
(A) State of Maryland Requirements Applicable to OCS Sources, May 6,
2016.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(11) Massachusetts.
(i) State requirements.
(A) Commonwealth of Massachusetts Requirements Applicable to OCS
Sources, May 20, 2010.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(12)-(14) [Reserved]
(15) New Jersey
(i) State Requirements.
(A) State of New Jersey Requirements Applicable to OCS Sources,
August 13, 2009.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(16) New York.
(i) State Requirements.
(A) State of New York Requirements Applicable to OCS Sources,
October 20, 2007
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(17) North Carolina.
(i) State requirements.
(A) State of North Carolina Air Pollution Control Requirements
Applicable to OCS Sources, January 2, 2008.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(18)-(21) [Reserved]
(22) Virginia.
(i) State requirements.
(A) Outer Continental Shelf Air Regulations Consistency Update for
Virginia, in effect as of March 2, 2011.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(23) [Reserved]
[57 FR 40806, Sept. 4, 1992]
Editorial Note: For Federal Register citations affecting Sec. 55.14,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.fdsys.gov.
Effective Date Note: At 83 FR 30051, June 27, 2018, Sec. 55.14 was
amended by revising the sixth sentence in paragraph (e) introductory
text and paragraph (e)(15)(i)(A), effective July 27, 2018. For the
convenience of the user, the revised text is set forth as follows:
Sec. 55.14 Requirements that apply to OCS sources located within 25
miles of States' seaward boundaries, by State.
* * * * *
(e) * * * Copies of rules pertaining to particular states or local
areas may be inspected or obtained from the EPA Docket Center--Public
Reading Room, EPA West Building, Room 3334, 1301 Constitution Avenue NW,
Washington, DC 20004 or the appropriate EPA regional offices: U.S. EPA,
Region 1 (Massachusetts), One Congress Street, Boston, MA 02114-2023;
U.S. EPA, Region 2 (New Jersey and New York), 290 Broadway, New York, NY
10007-1866; U.S. EPA, Region 3 (Delaware), 1650 Arch Street,
Philadelphia, PA 19103, (215) 814-5000; U.S. EPA, Region 4 (Florida and
North Carolina), 61 Forsyth Street, Atlanta, GA 30303; U.S. EPA, Region
9 (California), 75 Hawthorne Street, San
[[Page 131]]
Francisco, CA 94105; and U.S. EPA, Region 10 (Alaska), 1200 Sixth
Avenue, Seattle, WA 98101. * * *
* * * * *
(15) * * *
(i) * * *
(A) State of New Jersey Requirements Applicable to OCS Sources,
January 16, 2018.
* * * * *
Sec. 55.15 Specific designation of corresponding onshore areas.
(a) California.
(1) The South Coast Air Quality Management District is designated as
the COA for the following OCS facilities: Edith, Ellen, Elly, and
Eureka.
(2) The Ventura County Air Pollution Control District is designated
as the COA for the following OCS facilities: Grace, Gilda, Gail and
Gina.
(3) The Santa Barbara County Air Pollution Control District is
designated as the COA for the following OCS facilities: Habitat,
Hacienda, Harmony, Harvest, Heather, Henry, Heritage, Hermosa, Hidalgo,
Hillhouse, Hogan, Houchin, Hondo, Irene, Independence (formerly Iris),
the OS and T, and Union A, B, and C.
(b) [Reserved]
[58 FR 14159, Mar. 16, 1993]
Sec. Appendix A to Part 55--Listing of State and Local Requirements
Incorporated by Reference Into Part 55, by State
This appendix lists the titles of the State and local requirements
that are contained within the documents incorporated by reference into
40 CFR part 55.
Alaska
(a) State requirements.
(1) The following State of Alaska requirements are applicable to OCS
Sources, December 9, 2010, Alaska Administrative Code--Department of
Environmental Conservation. The following sections of Title 18, Chapter
50:
Article 1. Ambient Air Quality Management
18 AAC 50.005. Purpose and Applicability of Chapter (effective 10/01/
2004)
18 AAC 50.010. Ambient Air Quality Standards (effective 04/01/2010)
18 AAC 50.015. Air Quality Designations, Classification, and Control
Regions (effective 12/09/2010) except (b)(1), (b)(3) and (d)(2)
Table 1. Air Quality Classifications
18 AAC 50.020. Baseline Dates and Maximum Allowable Increases (effective
07/25/2008)
Table 2. Baseline Dates
Table 3. Maximum Allowable Increases
18 AAC 50.025. Visibility and Other Special Protection Areas (effective
06/21/1998)
18 AAC 50.030. State Air Quality Control Plan (effective 10/29/2010)
18 AAC 50.035. Documents, Procedures, and Methods Adopted by Reference
(effective 04/01/2010)
18 AAC 50.040. Federal Standards Adopted by Reference (effective12/09/
2010) except (h)(2)
18 AAC 50.045. Prohibitions (effective 10/01/2004)
18 AAC 50.050. Incinerator Emissions Standards (effective 07/25/2008)
Table 4. Particulate Matter Standards for Incinerators
18 AAC 50.055. Industrial Processes and Fuel-Burning Equipment
(effective 12/09/2010) except (a)(3) through (a)(9), (b)(2)(A), (b)(3)
through (b)(6), (e) and (f)
18 AAC 50.065. Open Burning (effective 01/18/1997)
18 AAC 50.070. Marine Vessel Visible Emission Standards (effective 06/
21/1998)
18 AAC 50.075. Wood-Fired Heating Device Visible Emission Standards
(effective 05/06/2009)
18 AAC 50.080. Ice Fog Standards (effective 01/18/1997)
18 AAC 50.085. Volatile Liquid Storage Tank Emission Standards
(effective 01/18/1997)
18 AAC 50.090. Volatile Liquid Loading Racks and Delivery Tank Emission
Standards (effective 07/25/2008)
18 AAC 50.100. Nonroad Engines (effective 10/01/2004)
18 AAC 50.110. Air Pollution Prohibited (effective 05/26/1972)
Article 2. Program Administration
18 AAC 50.200. Information Requests (effective 10/01/2004)
18 AAC 50.201. Ambient Air Quality Investigation (effective 10/01/2004)
18 AAC 50.205. Certification (effective 10/01/2004) except (b)
18 AAC 50.215. Ambient Air Quality Analysis Methods (effective 10/29/
2010)
Table 5. Significant Impact Levels (SILs)
18 AAC 50.220. Enforceable Test Methods (effective 10/01/2004)
18 AAC 50.225 Owner-Requested Limits (effective 12/09/2010) except (c)
through (g)
[[Page 132]]
18 AAC 50.230. Preapproved Emission Limits (effective 07/01/2010) except
(d)
18 AAC 50.235. Unavoidable Emergencies and Malfunctions (effective 10/
01/2004)
18 AAC 50.240. Excess Emissions (effective 10/01/2004)
18 AAC 50.245. Air Episodes and Advisories (effective 10/01/2004)
Table 6. Concentrations Triggering an Air Episode
Article 3. Major Stationary Source Permits
18 AAC 50.301. Permit Continuity (effective 10/01/2004) except (b)
18 AAC 50.302. Construction Permits (effective 12/09/2010)
18 AAC 50.306. Prevention of Significant Deterioration (PSD) Permits
(effective 12/09/2010) except (c) and (e)
18 AAC 50.311. Nonattainment Area Major Stationary Source Permits
(effective 10/01/2004) except (c)
18 AAC 50.316. Preconstruction Review for Construction or Reconstruction
of a Major Source of Hazardous Air Pollutants (effective 12/01/2004)
except (c)
18 AAC 50.321. Case-By-Case Maximum Achievable Control Technology
(effective 12/01/04)
18 AAC 50.326. Title V Operating Permits (effective12/01/2004) except
(c)(1), (h), (i)(3), (j)(5), (j)(6), (k)(1), (k)(3), (k)(5), and (k)(6)
18 AAC 50.345. Construction, Minor and Operating Permits: Standard
Permit Conditions (effective 11/09/2008)
18 AAC 50.346. Construction and Operating Permits: Other Permit
Conditions (effective 12/09/2010)
Table 7. Standard Operating Permit Condition
Article 4. User Fees
18 AAC 50.400. Permit Administration Fees (effective 07/01/2010) except
(a)(2), (a)(5), (j)(2) through (j)(5), (j)(8), and (j)(13)
18 AAC 50.403. Negotiated Service Agreements (effective 07/01/2010)
18 AAC 50.410. Emission Fees (effective 07/10/2010)
18 AAC 50.499. Definition for User Fee Requirements (effective 01/29/
2005)
Article 5. Minor Permits
18 AAC 50.502. Minor Permits for Air Quality Protection (effective 12/
09/2010) except (b)(1) through (b)(3), (b)(5), (d)(1)(A) and (d)(2)(A)
18 AAC 50.508. Minor Permits Requested by the Owner or Operator
(effective 12/07/2010)
18 AAC 50.510. Minor Permit--Title V Permit Interface (effective 12/09/
2010)
18 AAC 50.540. Minor Permit: Application (effective 12/09/2010)
18 AAC 50.542. Minor Permit: Review and Issuance (effective 12/09/2010)
except (a), (b), (c), and (d)
18 AAC 50.544. Minor Permits: Content (effective 12/09/2010)
18 AAC 50.560. General Minor Permits (effective 10/01/2004) except (b)
Article 9. General Provisions
18 AAC 50.990. Definitions (effective 12/09/2010)
California
(a) State requirements.
(1) The following requirements are contained in State of California
Requirements Applicable to OCS Sources, February 2006:
Barclays California Code of Regulations
The following sections of Title 17 Subchapter 6:
17 Sec. 92000--Definitions (Adopted 5/31/91)
17 Sec. 92100--Scope and Policy (Adopted 5/31/91)
17 Sec. 92200--Visible Emission Standards (Adopted 5/31/91)
17 Sec. 92210--Nuisance Prohibition (Adopted 5/31/91)
17 Sec. 92220--Compliance with Performance Standards (Adopted 5/31/91)
17 Sec. 92400--Visible Evaluation Techniques (Adopted 5/31/91)
17 Sec. 92500--General Provisions (Adopted 5/31/91)
17 Sec. 92510--Pavement Marking (Adopted 5/31/91)
17 Sec. 92520--Stucco and Concrete (Adopted 5/31/91)
17 Sec. 92530--Certified Abrasive (Adopted 5/31/91)
17 Sec. 92540--Stucco and Concrete (Adopted 5/31/91)
17 Sec. 93115--Airborne Toxic Control Measure for Stationary Compression
Ignition Engines (Adopted 2/26/04)
Health and Safety Code
The following section of Division 26, Part 4, Chapter 4, Article 1:
Health and Safety Code Sec. 42301.13 of seq. Stationary sources:
demolition or removal (chaptered 7/25/96)
(b) Local requirements.
(1)-(4) [Reserved]
(5) The following requirements are contained in San Luis Obispo
County Air Pollution Control District Requirements Applicable to OCS
Sources, February 2000:
Rule 103 Conflicts Between District, State and Federal Rules (Adopted 8/
6/76)
Rule 105 Definitions (Adopted 1/24/96)
Rule 106 Standard Conditions (Adopted 8/6/76)
Rule 108 Severability (Adopted 11/13/84)
Rule 113 Continuous Emissions Monitoring, except F. (Adopted 7/5/77)
Rule 201 Equipment not Requiring a Permit, except A.1.b. (Revised 4/26/
95)
[[Page 133]]
Rule 202 Permits, except A.4. and A.8. (Adopted 11/5/91)
Rule 203 Applications, except B. (Adopted 11/5/91)
Rule 204 Requirements, except B.3. and C. (Adopted 8/10/93)
Rule 209 Provision for Sampling and Testing Facilities (Adopted 11/5/91)
Rule 210 Periodic Inspection, Testing and Renewal of Permits to Operate
(Adopted 11/5/91)
Rule 213 Calculations, except E.4. and F. (Adopted 8/10/93)
Rule 302 Schedule of Fees (Adopted 6/18/97)
Rule 305 Fees for Major Non-Vehicular Sources (Adopted 9/15/92)
Rule 401 Visible Emissions (Adopted 8/6/76)
Rule 403 Particulate Matter Emissions (Adopted 8/6/76)
Rule 404 Sulfur Compounds Emission Standards, Limitations and
Prohibitions (Revised 12/6/76)
Rule 405 Nitrogen Oxides Emission Standards, Limitations and
Prohibitions (Adopted 11/16/93)
Rule 406 Carbon Monoxide Emission Standards, Limitations and
Prohibitions (Adopted 11/14/84)
Rule 407 Organic Material Emission Standards, Limitations and
Prohibitions (Adopted 5/22/96)
Rule 411 Surface Coating of Metal Parts and Products (Adopted 1/28/98)
Rule 416 Degreasing Operations (Adopted 6/18/79)
Rule 417 Control of Fugitive Emissions of Volatile Organic Compounds
(Adopted 2/9/93)
Rule 419 Petroleum Pits, Ponds, Sumps, Well Cellars, and Wastewater
Separators (Revised 7/12/94)
Rule 422 Refinery Process Turnarounds (Adopted 6/18/79)
Rule 425 Storage of Volatile Organic Compounds (Adopted 7/12/94)
Rule 427 Marine Tanker Loading (Adopted 4/26/95)
Rule 429 Oxides of Nitrogen and Carbon Monoxide Emissions from Electric
Power Generation Boilers (Revised 11/12/97)
Rule 430 Control of Oxides of Nitrogen from Industrial, Institutional,
Commercial Boilers, Steam Generators, and Process Heaters (Adopted 7/26/
95)
Rule 431 Stationary Internal Combustion Engines (Adopted 11/13/96)
Rule 501 General Burning Provisions (Adopted 1/10/89)
Rule 503 Incinerator Burning, except B.1.a. (Adopted 2/7/89)
Rule 601 New Source Performance Standards (Adopted 5/28/97)
(6) The following requirements are contained in Santa Barbara County
Air Pollution Control District Requirements Applicable to OCS Sources,
April 2017:
Rule 102 Definitions (Revised 08/25/16)
Rule 103 Severability (Adopted 10/23/78)
Rule 105 Applicability (Revised 08/25/16)
Rule 107 Emergencies (Adopted 04/19/01)
Rule 201 Permits Required (Revised06/19/08)
Rule 202 Exemptions to Rule 201 (Revised 08/25/16)
Rule 203 Transfer (Revised 04/17/97)
Rule 204 Applications (Revised 08/25/16)
Rule 205 Standards for Granting Permits (Revised 04/17/97)
Rule 206 Conditional Approval of Authority to Construct or Permit to
Operate (Revised 10/15/91)
Rule 207 Denial of Application (Adopted 10/23/78)
Rule 210 Fees (Revised 03/17/05)
Rule 212 Emission Statements (Adopted10/20/92)
Rule 301 Circumvention (Adopted10/23/78)
Rule 302 Visible Emissions (Revised6/1981)
Rule 303 Nuisance (Adopted 10/23/78)
Rule 304 Particulate Matter-Northern Zone (Adopted 10/23/78)
Rule 305 Particulate Matter Concentration-Southern Zone (Adopted 10/23/
78)
Rule 306 Dust and Fumes-Northern Zone (Adopted 10/23/78)
Rule 307 Particulate Matter Emission Weight Rate-Southern Zone (Adopted
10/23/78)
Rule 308 Incinerator Burning (Adopted10/23/78)
Rule 309 Specific Contaminants (Adopted 10/23/78)
Rule 310 Odorous Organic Sulfides (Adopted 10/23/78)
Rule 311 Sulfur Content of Fuels (Adopted 10/23/78)
Rule 312 Open Fires (Adopted 10/02/90)
Rule 316 Storage and Transfer of Gasoline (Revised 01/15/09)
Rule 317 Organic Solvents (Adopted10/23/78)
Rule 318 Vacuum Producing Devices or Systems-Southern Zone (Adopted10/
23/78)
Rule 321 Solvent Cleaning Operations (Revised 06/21/12)
Rule 322 Metal Surface Coating Thinner and Reducer (Adopted 10/23/78)
Rule 323 Architectural Coatings (Revised 11/15/01)
Rule 323.1 Architectural Coatings (Adopted 06/19/14, Effective 01/01/
15)
Rule 324 Disposal and Evaporation of Solvents (Adopted 10/23/78)
Rule 325 Crude Oil Production and Separation (Revised 07/19/01)
Rule 326 Storage of Reactive Organic Compound Liquids (Revised 01/18/
01)
Rule 327 Organic Liquid Cargo Tank Vessel Loading (Revised 12/16/85)
Rule 328 Continuous Emission Monitoring (Adopted 10/23/78)
Rule 330 Surface Coating of Metal Parts and Products (Revised 06/21/12)
Rule 331 Fugitive Emissions Inspection and Maintenance (Revised 12/10/
91)
[[Page 134]]
Rule 332 Petroleum Refinery Vacuum Producing Systems, Wastewater
Separators and Process Turnarounds (Adopted 06/11/79)
Rule 333 Control of Emissions from Reciprocating Internal Combustion
Engines (Adopted 06/19/08)
Rule 342 Control of Oxides of Nitrogen (NOX) from Boilers,
Steam Generators and Process Heaters) (Revised 04/17/97)
Rule 343 Petroleum Storage Tank Degassing (Adopted 12/14/93)
Rule 344 Petroleum Sumps, Pits, and Well Cellars (Adopted 11/10/94)
Rule 346 Loading of Organic Liquid Cargo Vessels (Revised 01/18/01)
Rule 349 Polyester Resin Operations (Revised 06/21/12)
Rule 352 Natural Gas-Fired Fan-Type Central Furnaces and Residential
Water Heaters (Revised 10/20/11)
Rule 353 Adhesives and Sealants (Revised 06/21/12)
Rule 359 Flares and Thermal Oxidizers (Adopted 06/28/94)
Rule 360 Emissions of Oxides of Nitrogen from Large Water Heaters and
Small Boilers (Adopted 10/17/02)
Rule 361 Small Boilers, Steam Generators, and Process Heaters (Adopted
01/17/08)
Rule 370 Potential to Emit--Limitations for Part 70 Sources (Revised
01/20/11)
Rule 505 Breakdown Conditions Sections A.,B.1, and D. only (Adopted 10/
23/78)
Rule 603 Emergency Episode Plans (Adopted 06/15/81)
Rule 702 General Conformity (Adopted 10/20/94)
Rule 801 New Source Review--Definitions and General Requirements
(Revised 08/25/16)
Rule 802 New Source Review (Revised 08/25/16)
Rule 804 Emission Offsets (Revised 08/25/16)
Rule 805 Air Quality Impact Analysis, Modeling, Monitoring, and Air
Quality Increment Consumption (Revised 08/25/16)
Rule 806 Emission Reduction Credits (Revised 08/25/16)
Rule 808 New Source Review for Major Sources of Hazardous Air
Pollutants (Adopted 05/20/99)
Rule 809 Federal Minor Source New Source Review (Revised 08/25/16)
Rule 810 Federal Prevention of Significant Deterioration (PSD) (Revised
06/20/13)
Rule 1301 Part 70 Operating Permits--General Information (Revised 08/
25/16)
Rule 1302 Part 70 Operating Permits--Permit Application (Adopted 11/09/
93)
Rule 1303 Part 70 Operating Permits--Permits (Revised 01/18/01)
Rule 1304 Part 70 Operating Permits--Issuance, Renewal, Modification
and Reopening (Revised 01/18/01)
Rule 1305 Part 70 Operating Permits--Enforcement (Adopted 11/09/93)
(7) The following requirements are contained in South Coast Air
Quality Management District Requirements Applicable to OCS Sources
(Parts I, II and III):
Rule 102 Definition of Terms (Adopted 12/3/04)
Rule 103 Definition of Geographical Areas (Adopted 01/9/76)
Rule 104 Reporting of Source Test Data and Analyses (Adopted 01/9/76)
Rule 108 Alternative Emission Control Plans (Adopted 04/6/90)
Rule 109 Recordkeeping for Volatile Organic Compound Emissions (Adopted
08/18/00)
Rule 112 Definition of Minor Violation and Guidelines for Issuance of
Notice to Comply (Adopted 11/13/98)
Rule 118 Emergencies (Adopted 12/07/95)
Rule 201 Permit to Construct (Adopted 12/03/04)
Rule 201.1 Permit Conditions in Federally Issued Permits to Construct
(Adopted 12/03/04)
Rule 202 Temporary Permit to Operate (Adopted 12/03/04)
Rule 203 Permit to Operate (Adopted 12/03/04)
Rule 204 Permit Conditions (Adopted 03/6/92)
Rule 205 Expiration of Permits to Construct (Adopted 01/05/90)
Rule 206 Posting of Permit to Operate (Adopted 01/05/90)
Rule 207 Altering or Falsifying of Permit (Adopted 01/09/76)
Rule 208 Permit and Burn Authorization for Open Burning (Adopted 12/21/
01)
Rule 209 Transfer and Voiding of Permits (Adopted 01/05/90)
Rule 210 Applications (Adopted 01/05/90)
Rule 212 Standards for Approving Permits (Adopted 12/07/95) except
(c)(3) and (e)
Rule 214 Denial of Permits (Adopted 01/05/90)
Rule 217 Provisions for Sampling and Testing Facilities (Adopted 01/05/
90)
Rule 218 Continuous Emission Monitoring (Adopted 05/14/99)
Rule 218.1 Continuous Emission Monitoring Performance Specifications
(Adopted 05/14/99)
Rule 218.1 Attachment A--Supplemental and Alternative CEMS Performance
Requirements (Adopted 05/14/99)
Rule 219 Equipment Not Requiring a Written Permit Pursuant to Regulation
II (Adopted 6/1/07)
Rule 220 Exemption--Net Increase in Emissions (Adopted 08/07/81)
Rule 221 Plans (Adopted 01/04/85)
Rule 301 Permitting and Associated Fees (Adopted 5/2/08) except
(e)(7)and Table IV
Rule 303 Hearing Board Fees (Adopted 5/2/08)
Rule 304 Equipment, Materials, and Ambient Air Analyses (Adopted 5/2/08)
Rule 304.1 Analyses Fees (Adopted 5/2/08)
Rule 305 Fees for Acid Deposition (Rescinded 6/9/06)
Rule 306 Plan Fees (Adopted 5/2/08)
Rule 309 Fees for Regulation XVI (Adopted 5/2/08)
[[Page 135]]
Rule 313 Authority to Adjust Fees and Due Dates (Adopted 5/2/08)
Rule 401 Visible Emissions (Adopted 11/09/01)
Rule 403 Fugitive Dust (Adopted 06/03/05)
Rule 404 Particulate Matter--Concentration (Adopted 02/07/86)
Rule 405 Solid Particulate Matter--Weight (Adopted 02/07/86)
Rule 407 Liquid and Gaseous Air Contaminants (Adopted 04/02/82)
Rule 408 Circumvention (Adopted 05/07/76)
Rule 409 Combustion Contaminants (Adopted 08/07/81)
Rule 429 Start-Up and Shutdown Exemption Provisions for Oxides of
Nitrogen (Adopted 12/21/90)
Rule 430 Breakdown Provisions, (a) and (b) only (Adopted 07/12/96)
Rule 431.1 Sulfur Content of Gaseous Fuels (Adopted 06/12/98)
Rule 431.2 Sulfur Content of Liquid Fuels (Adopted 09/15/00)
Rule 431.3 Sulfur Content of Fossil Fuels (Adopted 05/7/76)
Rule 441 Research Operations (Adopted 05/7/76)
Rule 442 Usage of Solvents (Adopted 12/15/00)
Rule 444 Open Burning (Adopted 12/21/01)
Rule 463 Organic Liquid Storage (Adopted 05/06/05)
Rule 465 Refinery Vacuum-Producing Devices or Systems (Adopted 08/13/99)
Rule 468 Sulfur Recovery Units (Adopted 10/08/76)
Rule 473 Disposal of Solid and Liquid Wastes (Adopted 05/07/76)
Rule 474 Fuel Burning Equipment-Oxides of Nitrogen (Adopted 12/04/81)
Rule 475 Electric Power Generating Equipment (Adopted 08/07/78)
Rule 476 Steam Generating Equipment (Adopted 10/08/76)
Rule 480 Natural Gas Fired Control Devices (Adopted 10/07/77) Addendum
to Regulation IV (Effective 1977)
Rule 518 Variance Procedures for Title V Facilities (Adopted 08/11/95)
Rule 518.1 Permit Appeal Procedures for Title V Facilities (Adopted 08/
11/95)
Rule 518.2 Federal Alternative Operating Conditions (Adopted 12/21/01)
Rule 701 Air Pollution Emergency Contingency Actions (Adopted 06/13/97)
Rule 702 Definitions (Adopted 07/11/80)
Rule 708 Plans (Rescinded 09/08/95)
Regulation IX Standard of Performance For New Stationary Sources
(Adopted 4/4/08)
Regulation X National Emission Standards for Hazardous Air
Pollutants (Adopted 4/4/08)
Rule 1105.1 Reduction of PM 10 And Ammonia Emissions From
Fluid Catalytic Cracking Units (Adopted 11/07/03)
Rule 1106 Marine Coating Operations (Adopted 01/13/95)
Rule 1107 Coating of Metal Parts and Products (Adopted 1/6/06)
Rule 1109 Emissions of Oxides of Nitrogen for Boilers and Process
Heaters in Petroleum Refineries (Adopted 08/05/88)
Rule 1110 Emissions from Stationary Internal Combustion Engines
(Demonstration) (Repealed 11/14/97)
Rule 1110.1 Emissions from Stationary Internal Combustion Engines
(Rescinded 06/03/05)
Rule 1110.2 Emissions from Gaseous-and Liquid Fueled Engines (Adopted 2/
1/08)
Rule 1113 Architectural Coatings (Adopted 7/13/07)
Rule 1116.1 Lightering Vessel Operations-Sulfur Content of Bunker Fuel
(Adopted 10/20/78)
Rule 1121 Control of Nitrogen Oxides from Residential-Type Natural Gas-
Fired Water Heaters (Adopted 09/03/04)
Rule 1122 Solvent Degreasers (Adopted 10/01/04)
Rule 1123 Refinery Process Turnarounds (Adopted 12/07/90)
Rule 1129 Aerosol Coatings (Rescinded 03/08/96)
Rule 1132 Further Control of VOC Emissions from High-Emitting Spray
Booth Facilities (Adopted 5/5/06)
Rule 1134 Emissions of Oxides of Nitrogen from Stationary Gas Turbines
(Adopted 08/08/97)
Rule 1136 Wood Products Coatings (Adopted 06/14/96)
Rule 1137 PM10 Emission Reductions from Woodworking Operations (Adopted
02/01/02)
Rule 1140 Abrasive Blasting (Adopted 08/02/85)
Rule 1142 Marine Tank Vessel Operations (Adopted 07/19/91)
Rule 1146 Emissions of Oxides of Nitrogen from Industrial,
Institutional, and Commercial Boilers, Steam Generators, and Process
Heaters (Adopted 9/5/08)
Rule 1146.1 Emission of Oxides of Nitrogen from Small Industrial,
Institutional, and Commercial Boilers, Steam Generators, and Process
Heaters (Adopted 9/5/08)
Rule 1146.2 Emissions of Oxides of Nitrogen from Large Water Heaters and
Small Boilers (Adopted 5/5/06)
Rule 1148 Thermally Enhanced Oil Recovery Wells (Adopted 11/05/82)
Rule 1149 Storage Tank Cleaning And Degassing (Adopted 5/2/08)
Rule 1162 Polyester Resin Operations (Adopted 7/8/05)
Rule 1168 Adhesive and Sealant Applications (Adopted 01/07/05)
Rule 1171 Solvent Cleaning Operations (Adopted 2/1/08)
Rule 1173 Control of Volatile Organic Compounds Leaks and Releases From
Components At Petroleum Facilities and Chemical Plants (Adopted 6/1/07)
Rule 1176 VOC Emissions from Wastewater Systems (Adopted 09/13/96)
[[Page 136]]
Rule 1178 Further Reductions of VOC Emissions from Storage Tanks at
Petroleum Facilities (Adopted 4/7/06)
Rule 1301 General (Adopted 12/07/95)
Rule 1302 Definitions (Adopted 12/06/02)
Rule 1303 Requirements (Adopted 12/06/02)
Rule 1304 Exemptions (Adopted 06/14/96)
Rule 1306 Emission Calculations (Adopted 12/06/02)
Rule 1309.1 Priority Reserve (Replaced 8/3/07)
Rule 1313 Permits to Operate (Adopted 12/07/95)
Rule 1315 Federal New Source Review Tracking System (Readopted) (Adopted
8/3/07)
Rule 1403 Asbestos Emissions from Demolition/Renovation Activities
(Adopted 10/5/07)
Rule 1470 Requirements for Stationary Diesel-Fueled Internal Combustion
and Other Compression Ignition Engines (Adopted 6/1/07)
Rule 1472 Requirements for Facilities with Multiple Stationary Emergency
Standby Diesel-Fueled Internal Combustion Engines (Adopted 3/7/08)
Rule 1605 Credits for the Voluntary Repair of On-Road Motor Vehicles
Identified Through Remote Sensing Devices (Adopted 10/11/96)
Rule 1612 Credits for Clean On-Road Vehicles (Adopted 07/10/98)
Rule 1612.1 Mobile Source Credit Generation Pilot Program (Adopted 03/
16/01)
Rule 1620 Credits for Clean Off-Road Mobile Equipment (Adopted 07/10/98)
Rule 1701 General (Adopted 08/13/99)
Rule 1702 Definitions (Adopted 08/13/99)
Rule 1703 PSD Analysis (Adopted 10/07/88)
Rule 1704 Exemptions (Adopted 08/13/99)
Rule 1706 Emission Calculations (Adopted 08/13/99)
Rule 1713 Source Obligation (Adopted 10/07/88)
Regulation XVII Appendix (effective 1977)
Rule 1901 General Conformity (Adopted 09/09/94)
Regulation XX Regional Clean Air Incentives Market (Reclaim)
Rule 2000 General (Adopted 05/06/05)
Rule 2001 Applicability (Adopted 05/06/05)
Rule 2002 Allocations for Oxides of Nitrogen (NOX) and Oxides
of Sulfur (SOX) (Adopted 01/07/05)
Rule 2004 Requirements (Adopted 4/6/07) except (l)
Rule 2005 New Source Review for RECLAIM (Adopted 05/06/05) except (i)
Rule 2006 Permits (Adopted 05/11/01)
Rule 2007 Trading Requirements (Adopted 4/6/07)
Rule 2008 Mobile Source Credits (Adopted 10/15/93)
Rule 2009 Compliance Plan for Power Producing Facilities (Adopted 01/07/
05)
Rule 2010 Administrative Remedies and Sanctions (Adopted 4/6/07)
Rule 2011 Requirements for Monitoring, Reporting, and Recordkeeping for
Oxides of Sulfur (SOX) Emissions (Adopted 05/06/05)
Appendix A Volume IV--(Protocol for Oxides of Sulfur) (Adopted 05/06/05)
Rule 2012 Requirements for Monitoring, Reporting, and Recordkeeping for
Oxides of Nitrogen (NOX) Emissions (Adopted 05/06/05)
Appendix A Volume V--(Protocol for Oxides of Nitrogen) (Adopted 05/06/
05)
Rule 2015 Backstop Provisions (Adopted 06/04/04) except (b)(1)(G) and
(b)(3)(B)
Rule 2020 RECLAIM Reserve (Adopted 05/11/01)
Rule 2100 Registration of Portable Equipment (Adopted 07/11/97)
Rule 2449 Controls of Oxides of Nitrogen Emissions from Off-Road Diesel
Vehicles (Adopted 5/2/08)
Rule 2506 Area Source Credits for NOX and SOX
(Adopted 12/10/99)
XXX Title V Permits
Rule 3000 General (Adopted 11/14/97)
Rule 3001 Applicability (Adopted 11/14/97)
Rule 3002 Requirements (Adopted 11/14/97)
Rule 3003 Applications (Adopted 03/16/01)
Rule 3004 Permit Types and Content (Adopted 12/12/97)
Rule 3005 Permit Revisions (Adopted 03/16/01)
Rule 3006 Public Participation (Adopted 11/14/97)
Rule 3007 Effect of Permit (Adopted 10/08/93)
Rule 3008 Potential To Emit Limitations (Adopted 03/16/01)
XXXI Acid Rain Permit Program (Adopted 02/10/95)
(8) The following requirements are contained in Ventura County Air
Pollution Control District Requirements Applicable to OCS Sources, parts
1 and 2, April 2017:
Rule 2 Definitions (Revised 04/12/11)
Rule 5 Effective Date (Revised 04/13/04)
Rule 6 Severability (Revised 11/21/78)
Rule 7 Boundaries (Adopted 06/14/77)
Rule 10 Permits Required (Revised 04/13/04)
Rule 11 Definition for Regulation II (Amended 03/14/06)
Rule 12 Applications for Permits (Adopted 06/13/95)
Rule 13 Action on Applications for an Authority To Construct (Adopted
06/13/95)
Rule 14 Action on Applications for a Permit To Operate (Adopted 06/13/
95)
Rule 15.1 Sampling and Testing Facilities (Adopted 10/12/93)
Rule 16 BACT Certification (Adopted 06/13/95)
Rule 19 Posting of Permits (Revised 05/23/72)
Rule 20 Transfer of Permit (Revised 05/23/72)
Rule 23 Exemptions From Permits (Revised 11/12/13)
Rule 24 Source Recordkeeping, Reporting, and Emission Statements
(Revised 09/15/92)
Rule 26 New Source Review--General (Amended 03/14/06)
[[Page 137]]
Rule 26.1 New Source Review--Definitions (Revised 11/14/06)
Rule 26.2 New Source Review--Requirements (Revised 03/14/06)
Rule 26.3 New Source Review--Exemptions (Revised 3/14/06)
Rule 26.6 New Source Review--Calculations (Revised 3/14/06)
Rule 26.8 New Source Review--Permit To Operate (Adopted 10/22/91)
Rule 26.11 New Source Review--ERC Evaluation at Time of Use (Adopted
05/14/02)
Rule 26.12 Federal Major Modifications (Adopted 06/27/06)
Rule 26.13 New Source Review--Prevention of Significant Deterioration
(PSD) (Revised 11/10/15)
Rule 28 Revocation of Permits (Revised 07/18/72)
Rule 29 Conditions on Permits (Revised 03/14/06)
Rule 30 Permit Renewal (Revised 04/13/04)
Rule 32 Breakdown Conditions: Emergency Variances, A., B.1., and D.
only. (Revised 02/20/79)
Rule 33 Part 70 Permits-General (Revised 04/12/11)
Rule 33.1 Part 70 Permits--Definitions (Revised 04/12/11)
Rule 33.2 Part 70 Permits--Application Contents (Revised 04/10/01)
Rule 33.3 Part 70 Permits--Permit Content (Revised 09/12/06)
Rule 33.4 Part 70 Permits--Operational Flexibility (Revised 04/10/01)
Rule 33.5 Part 70 Permits--Timeframes for Applications, Review and
Issuance (Adopted 10/12/93)
Rule 33.6 Part 70 Permits--Permit Term and Permit Reissuance (Adopted
10/12/93)
Rule 33.7 Part 70 Permits--Notification (Revised 04/10/01)
Rule 33.8 Part 70 Permits--Reopening of Permits (Adopted 10/12/93)
Rule 33.9 Part 70 Permits--Compliance Provisions (Revised 04/10/01)
Rule 33.10 Part 70 Permits--General Part 70 Permits (Adopted 10/12/93)
Rule 34 Acid Deposition Control (Adopted 03/14/95)
Rule 35 Elective Emission Limits (Revised 04/12/11)
Rule 36 New Source Review--Hazardous Air Pollutants (Adopted 10/06/98)
Rule 42 Permit Fees (Revised 04/12/16)
Rule 44 Exemption Evaluation Fee (Revised 04/08/08)
Rule 45 Plan Fees (Adopted 06/19/90)
Rule 45.2 Asbestos Removal Fees (Revised 08/04/92)
Rule 47 Source Test, Emission Monitor, and Call-Back Fees (Adopted 06/
22/99)
Rule 50 Opacity (Revised 04/13/04)
Rule 52 Particulate Matter--Concentration (Grain Loading)(Revised 04/
13/04)
Rule 53 Particulate Matter--Process Weight (Revised 04/13/04)
Rule 54 Sulfur Compounds (Revised 01/14/14)
Rule 56 Open Burning (Revised 11/11/03)
Rule 57 Incinerators (Revised 01/11/05)
Rule 57.1 Particulate Matter Emissions From Fuel Burning Equipment
(Adopted 01/11/05)
Rule 62.7 Asbestos-Demolition and Renovation (Adopted 06/16/92,
Effective 09/01/92)
Rule 63 Separation and Combination of Emissions (Revised 11/21/78)
Rule 64 Sulfur Content of Fuels (Revised 04/13/99)
Rule 68 Carbon Monoxide (Revised 04/13/04)
Rule 71 Crude Oil and Reactive Organic Compound Liquids (Revised 12/13/
94)
Rule 71.1 Crude Oil Production and Separation (Revised 06/16/92)
Rule 71.2 Storage of Reactive Organic Compound Liquids (Revised 09/26/
89)
Rule 71.3 Transfer of Reactive Organic Compound Liquids (Revised 06/16/
92)
Rule 71.4 Petroleum Sumps, Pits, Ponds, and Well Cellars (Revised 06/
08/93)
Rule 71.5 Glycol Dehydrators (Adopted 12/13/94)
Rule 72 New Source Performance Standards (NSPS) (Revised 09/9/08)
Rule 73 National Emission Standards for Hazardous Air Pollutants
(NESHAPS) (Revised 09/9/08)
Rule 74 Specific Source Standards (Adopted 07/06/76)
Rule 74.1 Abrasive Blasting (Revised 11/12/91)
Rule 74.2 Architectural Coatings (Revised 01/12/10)
Rule 74.6 Surface Cleaning and Degreasing (Revised 11/11/03--effective
07/01/04)
Rule 74.6.1 Batch Loaded Vapor Degreasers (Adopted 11/11/03--effective
07/01/04)
Rule 74.7 Fugitive Emissions of Reactive Organic Compounds at Petroleum
Refineries and Chemical Plants (Revised 10/10/95)
Rule 74.8 Refinery Vacuum Producing Systems, Waste-Water Separators and
Process Turnarounds (Revised 07/05/83)
Rule 74.9 Stationary Internal Combustion Engines (Revised 11/08/05)
Rule 74.10 Components at Crude Oil Production Facilities and Natural
Gas Production and Processing Facilities (Revised 03/10/98)
Rule 74.11 Natural Gas-Fired Residential Water Heaters--Control of
NOX (Revised 05/11/10)
Rule 74.11.1 Large Water Heaters and Small Boilers (Revised 09/11/12)
Rule 74.12 Surface Coating of Metal Parts and Products (Revised 04/08/
08)
Rule 74.15 Boilers, Steam Generators and Process Heaters (5 MMBTUs and
greater) (Revised 11/08/94)
Rule 74.15.1 Boilers, Steam Generators and Process Heaters (1 to 5
MMBTUs) (Revised 06/23/15)
Rule 74.16 Oil Field Drilling Operations (Adopted 01/08/91)
[[Page 138]]
Rule 74.20 Adhesives and Sealants (Revised 09/11/12)
Rule 74.23 Stationary Gas Turbines (Revised 1/08/02)
Rule 74.24 Marine Coating Operations (Revised 09/11/12)
Rule 74.24.1 Pleasure Craft Coating and Commercial Boatyard Operations
(Revised 01/08/02)
Rule 74.26 Crude Oil Storage Tank Degassing Operations (Adopted 11/08/
94)
Rule 74.27 Gasoline and ROC Liquid Storage Tank Degassing Operations
(Adopted 11/08/94)
Rule 74.28 Asphalt Roofing Operations (Adopted 05/10/94)
Rule 74.30 Wood Products Coatings (Revised 06/27/06)
Rule 74.31 Metal Working Fluids and Direct-Contact Lubricants (Adopted
11/12/13)
Rule 75 Circumvention (Revised 11/27/78)
Rule 101 Sampling and Testing Facilities (Revised 05/23/72)
Rule 102 Source Tests (Revised 04/13/04)
Rule 103 Continuous Monitoring Systems (Revised 02/09/99)
Rule 154 Stage 1 Episode Actions (Adopted 09/17/91)
Rule 155 Stage 2 Episode Actions (Adopted 09/17/91)
Rule 156 Stage 3 Episode Actions (Adopted 09/17/91)
Rule 158 Source Abatement Plans (Adopted 09/17/91)
Rule 159 Traffic Abatement Procedures (Adopted 09/17/91)
Rule 220 General Conformity (Adopted 05/09/95)
Rule 230 Notice to Comply (Revised 9/9/08)
Delaware
(a) State requirements.
(1) The following State of Delaware requirements are applicable to
OCS Sources, December 19, 2008, State of Delaware--Department of Natural
Resources and Environmental Control. The following sections of 7 DE
Admin. Code 1100--Air Quality Management Section:
7 DE Admin. Code 1101: Definitions and Administrative Principles
Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Definitions (Effective 09/11/1999)
Section 3.0: Administrative Principles (02/01/1981)
Section 4.0: Abbreviations (Effective 02/01/1981)
7 DE Admin. Code 1102: Permits
Section 1.0: General Provisions (Effective 06/11/2006)
Section 2.0: Applicability (Effective 06/11/2006)
Section 3.0: Application/Registration Prepared by Interested Party
(Effective 06/01/1997)
Section 4.0: Cancellation of Construction Permits (Effective 06/01/1997)
Section 5.0: Action on Applications (Effective 06/01/1997)
Section 6.0: Denial, Suspension or Revocation of Operating Permits
(Effective 06/11/2006)
Section 7.0: Transfer of Permit/Registration Prohibited (Effective 06/
01/1997)
Section 8.0: Availability of Permit/Registration (Effective 06/01/1997)
Section 9.0: Registration Submittal (Effective 06/01/1997)
Section 10.0: Source Category Permit Application (Effective 06/01/1997)
Section 11.0: Permit Application (Effective 06/11/2006)
Section 12.0: Public Participation (Effective 06/11/2006)
Section 13.0: Department Records (Effective 06/01/1997)
Section 1102: Appendix A (Effective 06/11/2006)
7 DE Admin. Code 1103: Ambient Air Quality Standards
Section 1.0: General Provisions (Effective 09/11/1999)
Section 2.0: General Restrictions (Effective 02/01/1981)
Section 3.0: Suspended Particulates (Effective 02/01/1981)
Section 4.0: Sulfur Dioxide (Effective 02/01/1981)
Section 5.0: Carbon Monoxide (Effective 02/01/1981)
Section 6.0: Ozone (Effective 09/11/1999)
Section 7.0: Hydrocarbons (Effective 02/01/1981)
Section 8.0: Nitrogen Dioxide (Effective 02/01/1981)
Section 9.0: Hydrogen Sulfide (Effective 02/01/1981)
Section 10.0: Lead (Effective 02/01/1981)
Section 11.0: PM10 and PM2.5 Particulates (Effective 2/11/2003)
7 DE Admin. Code 1104: Particulate Emissions From Fuel Burning Equipment
Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Emission Limits (Effective 02/01/1981)
7 DE Admin. Code 1105: Particulate Emissions From Industrial Process
Operations
Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: General Restrictions (Effective 02/01/1981)
Section 3.0: Restrictions on Hot Mix Asphalt Batching Operations
(Effective 02/01/1981)
[[Page 139]]
Section 4.0: Restrictions on Secondary Metal Operations (Effective 02/
01/1981)
Section 5.0: Restrictions on Petroleum Refining Operations (Effective
02/01/1981)
Section 6.0: Restrictions on Prill Tower Operations (Effective 02/01/
1981)
Section 7.0: Control of Potentially Hazardous Particulate Matter
(Effective 02/01/1981)
7 DE Admin. Code 1106: Particulate Emissions From Construction and
Materials Handling
Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Demolition (Effective 02/01/1981)
Section 3.0: Grading, Land Clearing, Excavation and Use of Non-Paved
Roads (Effective 02/01/1981)
Section 4.0: Material Movement (Effective 02/01/1981)
Section 5.0: Sandblasting (Effective 02/01/1981)
Section 6.0: Material Storage (Effective 02/01/1981)
7 DE Admin. Code 1107: Emissions From Incineration of Noninfectious
Waste
Section 1.0: General Provisions (Effective 10/13/1989)
Section 2.0: Restrictions (Effective 10/13/1989)
7 DE Admin. Code 1108: Sulfur Dioxide Emissions From Fuel Burning
Equipment
Section 1.0: General Provisions (Effective 12/08/1983)
Section 2.0: Limit on Sulfur Content of Fuel (Effective 05/09/1985)
Section 3.0: Emission Control in Lieu of Sulfur Content Limits of 2.0 of
This Regulation (Effective 05/09/1985)
7 DE Admin. Code 1109: Emissions of Sulfur Compounds From Industrial
Operations
Section 1.0: General Provisions (Effective 05/09/1985)
Section 2.0: Restrictions on Sulfuric Acid Manufacturing Operations
(Effective 02/01/1981)
Section 3.0: Restriction on Sulfuric Recovery Operations (Effective 02/
01/1981)
Section 4.0: Stack Height Requirements (Effective 02/01/1981)
7 DE Admin. Code 1110: Emissions of Sulfur Compounds From Industrial
Operations
Section 1.0: Requirements for Existing Sources of Sulfur Dioxide
(Effective 01/18/1981)
Section 2.0: Requirements for New Sources of Sulfur Dioxide (Effective
02/01/1981)
7 DE Admin. Code 1111: Carbon Monoxide Emissions From Industrial Process
Operations, New Castle County
Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Restrictions on Petroleum Refining Operations (Effective
02/01/1981)
7 DE Admin. Code 1112: Control of Nitrogen Oxide Emissions
Section 1.0: Applicability (Effective 11/24/1993)
Section 2.0: Definitions (Effective 11/24/1993)
Section 3.0: Standards (Effective 11/24/1993)
Section 4.0: Exemptions (Effective 11/24/1993)
Section 5.0: Alternative and Equivalent RACT Determinations (11/24/1993)
Section 6.0: RACT Proposals (11/24/1993)
Section 7.0: Compliance Certification, Recordkeeping, and Reporting
Requirements (Effective 11/24/1993)
7 DE Admin. Code 1113: Open Burning
Section 1.0: Purpose (Effective 04/11/2007)
Section 2.0: Applicability (Effective 04/11/2007)
Section 3.0: Definitions (Effective 04/11/2007)
Section 4.0: Prohibitions and Related Provisions (Effective 04/11/2007)
Section 5.0: Season and Time Restrictions (Effective 04/11/2007)
Section 6.0: Allowable Open Burning (Effective 04/11/2007)
Section 7.0: Exemptions (Effective 04/11/2007)
7 DE Admin. Code 1114: Visible Emissions
Section 1.0: General Provisions (Effective 07/17/1984)
Section 2.0: Requirements (Effective 07/17/1984)
Section 3.0: Alternate Opacity Requirements (Effective 07/17/1984)
Section 4.0: Compliance With Opacity Standards (Effective 07/17/1984)
7 DE Admin. Code 1115: Air Pollution Alert and Emergency Plan
Section 1.0: General Provisions (Effective 07/17/1984)
Section 2.0: Stages and Criteria (Effective 03/29/1988)
Section 3.0: Required Actions (Effective 02/01/1981)
Section 4.0: Standby Plans (Effective 02/01/1981)
7 DE Admin. Code 1116: Sources Having an Interstate Air Pollution
Potential
Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Limitations (Effective 02/01/1981)
Section 3.0: Requirements (Effective 02/01/1981)
[[Page 140]]
7 DE Admin. Code 1117: Source Monitoring, Recordkeeping and Reporting
Section 1.0: Definitions and Administrative Principals (Effective 01/11/
1993)
Section 2.0: Sampling and Monitoring (Effective 07/17/1984)
Section 3.0: Minimum Emissions Monitoring Requirements For Existing
Sources (Effective 07/17/1984)
Section 4.0: Performance Specifications (Effective 07/17/1984)
Section 5.0: Minimum Data Requirements (Effective 07/17/1984)
Section 6.0: Data Reduction (Effective 07/17/1984)
Section 7.0: Emission Statement (Effective 01/11/1993)
7 DE Admin. Code 1120: New Source Performance Standards
Section 1.0: General Provisions (Effective 12/07/1988)
Section 2.0: Standards of Performance for Fuel Burning Equipment
(Effective 04/18/1983)
Section 3.0: Standards of Performance for Nitric Acid Plants (Effective
04/18/1983)
Section 5.0: Standards of Performance for Asphalt Concrete Plants
(Effective 04/18/1983)
Section 6.0: Standards of Performance for Incinerators (Effective 04/18/
1983)
Section 7.0: Standards of Performance for Sewage Treatment Plants
(Effective 04/18/1983)
Section 8.0: Standards of Performance for Sulfuric Acid Plants
(Effective 04/18/1983)
Section 9.0: Standards of Performance for Electric Utility Steam
Generating Units for Which Construction is Commenced After September 18,
1978 (Effective 04/18/1983)
Section 10.0: Standards of Performance for Stationary Gas Turbines
(Effective 11/27/1985)
Section 11.0: Standards of Performance for Petroleum Refineries
(Effective 11/27/1985)
Section 12.0: Standards of Performance for Steel Plants: Electric Arc
Furnaces (Effective 11/27/1985)
Section 20.0: Standards of Performance for Bulk Gasoline Terminals
(Effective 11/27/1985)
Section 22.0: Standards of Performance for Equipment Leaks at Petroleum
Refineries (Effective 11/27/1985)
Section 27.0: Standards of Performance for Volatile Organic Liquid
Storage Vessels (Including Petroleum Liquid Storage Vessels) for Which
Construction, Reconstruction, or Modification Commenced after July 23,
1984 (Effective 12/07/1988)
Section 29.0: Standards of Performance for Hospital/Medical/Infectious
Waste Incinerators (Effective 09/11/1998)
7 DE Admin. Code 1122: Restriction on Quality of Fuel in Fuel Burning
Equipment
Section 1.0: Prohibition of Waste Oil (Effective 11/27/1985)
7 DE Admin. Code 1124: Control of Volatile Organic Compounds
Section 1.0: General Provisions (Effective 01/11/1993)
Section 2.0: Definitions (Effective 01/11/2002)
Section 3.0: Applicability (Effective 01/11/1993)
Section 4.0: Compliance, Certification, Recordkeeping, and Reporting
Requirements for Coating Sources (Effective 11/29/1994)
Section 5.0: Compliance, Certification, Recordkeeping, and Reporting
Requirements for Non-Coating Sources (Effective 01/11/1993)
Section 6.0: General Recordkeeping (Effective 01/11/1993)
Section 7.0: Circumvention (Effective 01/11/1993)
Section 8.0: Handling, Storage, and Disposal of Volatile Organic
Compounds (VOCs) (Effective 11/29/1994)
Section 9.0: Compliance, Permits, Enforceability (Effective 01/11/1993)
Section 10.0: Aerospace Coatings (Effective 08/11/2002)
Section 11.0: Mobile Equipment Repair and Refinishing (Effective 11/11/
2001)
Section 12.0: Surface Coating of Plastic Parts (Effective 11/29/1994)
Section 13.0: Automobile and Light-Duty Truck Coating Operations
(Effective 01/11/1993)
Section 14.0: Can Coating (Effective 01/11/1993)
Section 15.0: Coil Coating (Effective 01/11/1993)
Section 16.0: Paper Coating (Effective 01/11/1993)
Section 17.0: Fabric Coating (Effective 01/11/1993)
Section 18.0: Vinyl Coating (Effective 01/11/1993)
Section 19.0: Coating of Metal Furniture (Effective 01/11/1993)
Section 20.0: Coating of Large Appliances (Effective 01/11/1993)
Section 21.0: Coating of Magnet Wire (Effective 01/11/1993)
Section 22.0: Coating of Miscellaneous Parts (Effective 01/11/1993)
Section 23.0: Coating of Flat Wood Paneling (Effective 01/11/1993)
Section 24.0: Bulk Gasoline Plants (Effective 01/11/1993)
Section 25.0: Bulk Gasoline Terminals (Effective 11/29/1994)
Section 26.0: Gasoline Dispensing Facility Stage I Vapor Recovery
(Effective 01/11/2002)
[[Page 141]]
Section 27.0: Gasoline Tank Trucks (Effective 01/11/1993)
Section 28.0: Petroleum Refinery Sources (Effective 01/11/1993)
Section 29.0: Leaks from Petroleum Refinery Equipment (Effective 11/29/
1994)
Section 30.0: Petroleum Liquid Storage in External Floating Roof Tanks
(Effective 11/29/1994)
Section 31.0: Petroleum Liquid Storage in Fixed Roof Tanks (Effective
11/29/1994)
Section 32.0: Leaks from Natural Gas/Gasoline Processing Equipment
(Effective 11/29/1994)
Section 33.0: Solvent Cleaning and Drying (Effective 11/11/2001)
Section 34.0: Cutback and Emulsified Asphalt (Effective 01/11/1993)
Section 35.0: Manufacture of Synthesized Pharmaceutical Products
(Effective 11/29/1994)
Section 36.0: Stage II Vapor Recovery (Effective 01/11/2002)
Section 37.0: Graphic Arts Systems (Effective 11/29/1994)
Section 38.0: Petroleum Solvent Dry Cleaners (Effective 01/11/1993)
Section 40.0: Leaks from Synthetic Organic Chemical, Polymer, and Resin
Manufacturing Equipment (Effective 01/11/1993)
Section 41.0: Manufacture of High-Density Polyethylene, Polypropylene,
and Polystyrene Resins (Effective 01/11/1993)
Section 42.0: Air Oxidation Processes in the Synthetic Organic Chemical
Manufacturing Industry (Effective 01/11/1993)
Section 43.0: Bulk Gasoline Marine Tank Vessel Loading Facilities
(Effective 08/08/1994)
Section 44.0: Batch Processing Operations (Effective 11/29/1994)
Section 45.0: Industrial Cleaning Solvents (Effective 11/29/1994)
Section 46.0: Crude Oil Lightering Operations (Effective 05/11/2007)
Section 47.0: Offset Lithographic Printing (Effective 11/29/1994)
Section 48.0: Reactor Processes and Distillation Operations in the
Synthetic Organic Chemical Manufacturing Industry (Effective 11/29/1994)
Section 49.0: Control of Volatile Organic Compound Emissions from
Volatile Organic Liquid Storage Vessels (Effective 11/29/1994)
Section 50.0: Other Facilities that Emit Volatile Organic Compounds
(VOCs) (Effective 11/29/1994)
7 DE Admin. Code 1124: Control of Organic Compound Emissions
Appendix A: General Provisions: Test Methods and Compliance Procedures
(Effective 11/29/1994)
Appendix B: Determining the Volatile Organic Compound (VOC) Content of
Coatings and Inks (Effective 11/29/1994)
Appendix C: Alternative Compliance Methods for Surface Coating
(Effective 11/29/1994)
Appendix D: Emission Capture and Destruction or Removal Efficiency and
Monitoring Requirements (Effective 11/29/1994)
Method 30: Criteria for and Verification of a Permanent or Temporary
Total Enclosure (Effective 11/29/1994)
Method 30A: Volatile Organic Compounds Content in Liquid Input Stream
(Effective 11/29/1994)
Method 30B: Volatile Organic Compounds Emissions in Captured Stream
(Effective 11/29/1994)
Method 30C: Volatile Organic Compounds Emissions in Captured Stream
(Dilution Technique) (Effective 11/29/1994)
Method 30D: Volatile Organic Compounds Emissions in Fugitive Stream from
Temporary Total Enclosure (Effective 11/29/1994)
Method 30E: Volatile Organic Compounds Emissions in Fugitive Stream from
Building Enclosure (Effective 11/29/1994)
Appendix E: Determining the Destruction or Removal Efficiency of a
Control Device (Effective 11/29/1994)
Appendix F: Leak Detection Methods for Volatile Organic Compounds (VOCs)
(Effective 11/29/1994)
Appendix G: Performance Specifications for Continuous Emissions
Monitoring of Total Hydrocarbons (Effective 11/29/1994)
Appendix H: Quality Control Procedures for Continuous Emission
Monitoring Systems (CEMS) (Effective 11/29/1994)
Appendix I: Method to Determine Length of Rolling Period for Liquid/
Liquid Material Balance (Effective 11/29/1994)
Appendix K: Emissions Estimation Methodologies (Effective 11/29/1994)
Appendix L: Method to Determine Total Organic Carbon for Offset
Lithographic Solutions (Effective 11/29/1994)
Appendix M: Test Method for Determining the Performance of Alternative
Cleaning Fluids (Effective 11/29/1994)
7 DE Admin. Code 1125: Requirements for Preconstruction Review
Section 1.0: General Provisions (Effective 08/11/2005)
Section 2.0: Emission Offset Provisions (EOP) (Effective 08/11/2005)
Section 3.0: Prevention of Significant Deterioration of Air Quality
(Effective 08/11/2005)
Section 4.0: Minor New Source Review (MNSR) (Effective 08/11/2005)
7 DE Admin. Code 1127: Stack Heights
Section 1.0: General Provisions (Effective 07/06/1982)
Section 2.0: Definitions Specific to this Regulation (Effective 12/07/
1988)
[[Page 142]]
Section 3.0: Requirements for Existing and New Sources (Effective 02/18/
1987)
Section 4.0: Public Notification (Effective 02/18/1987)
7 DE Admin. Code 1129: Emissions From Incineration of Infectious Waste
Section 1.0: General Provisions (10/13/1989)
Section 2.0: Exemptions (Effective 10/13/1989)
Section 3.0: Permit Requirements (Effective 10/13/1989)
Section 4.0: Methods of Treatment and Disposal (Effective 10/13/1989)
Section 5.0: Recordkeeping and Reporting Requirements (Effective 10/13/
1989)
Section 6.0: Evidence of Effectiveness of Treatment (Effective 10/13/
1989)
Section 7.0: Incineration (Effective 10/13/1989)
7 DE Admin. Code 1130: Title V State Operating Permit Program
Section 1.0: Program Overview (Effective 11/15/1993)
Section 2.0: Definitions (Effective 11/15/1993)
Section 3.0: Applicability (Effective 11/15/1993)
Section 5.0: Permit Applications (Effective 11/15/1993)
Section 6.0: Permit Contents (Effective 12/11/2000)
Section 7.0: Permit Issuance, Renewal, Reopening, And Revisions
(Effective 12/11/2000)
Section 8.0: Permit Review by EPA and Affected States (Effective 11/15/
1993)
Section 9.0: Permit Fees (Effective 11/15/1993)
Appendix A: Insignificant Activities (Effective 11/15/1993)
7 DE Admin. Code 1132: Transportation Conformity
Section 1.0: Purpose (Effective 11/11/2007)
Section 2.0: Definitions (Effective 11/11/2007)
Section 3.0: Consultation (Effective 11/11/2007)
Section 4.0: Written Commitments for Control and Mitigation Measures
(Effective 11/11/2007)
7 DE Admin Code 1134: Emission Banking and Trading Program
Section 1.0: Program Overview (Effective 10/06/1997)
Section 2.0: Definitions (Effective 10/06/1997)
Section 3.0: Applicability (Effective 10/06/1997)
Section 4.0: Generating an Emission Reduction (Effective 10/06/1997)
Section 5.0: Application for Certification of an Emission Reduction as
an ERC (Effective 10/06/1997)
Section 6.0: Source Baseline (Effective 10/06/1997)
Section 7.0: Post-Reduction Emission rate (Effective 10/06/1997)
Section 8.0: Certification of an Emission Reduction (Effective 10/06/
1997)
Section 9.0: Trading and Use of ERCs (Effective 10/06/1997)
Section 10.0: Record Keeping Requirements (Effective 10/06/1997)
Section 11.0: ERC Banking System (Effective 10/06/1997)
Section 12.0: Fees (Effective 10/06/1997)
Section 13.0: Enforcement (Effective 10/06/1997)
Section 14.0: Program Evaluation and Individual Audits (Effective 10/06/
1997)
7 DE Admin. Code 1135: Conformity of General Federal Actions to the
State Implementation Plans
Section 1.0: Purpose (Effective 08/14/1996)
Section 2.0: Definitions (Effective 08/14/1996)
Section 3.0: Applicability (Effective 08/14/1996)
Section 4.0: Conformity Analysis (Effective 08/14/1996)
Section 5.0: Reporting Requirements (Effective 08/14/1996)
Section 6.0: Public Participation and Consultation (Effective 08/14/
1996)
Section 7.0: Frequency of Conformity Determinations (Effective 08/14/
1996)
Section 8.0: Criteria for Determining Conformity of General Federal
Actions (Effective 08/14/1996)
Section 9.0: Procedures for Conformity Determinations of General Federal
Actions (Effective 08/14/1996)
Section 10.0: Mitigation of Air Quality Impacts (Effective 08/14/1996)
Section 11.0: Savings Provisions (Effective 08/14/1996)
7 DE Admin. Code 1139: Nitrogen Oxides (NOX) Budget Trading
Program
Section 1.0: Purpose (Effective 12/11/2000)
Section 2.0: Emission Limitation (Effective 12/11/2000)
Section 3.0: Applicability (Effective 12/11/2000)
Section 4.0: Definitions (Effective 12/11/2000)
Section 5.0: General Provisions (Effective 12/11/2000)
Section 6.0: NOX Authorized Account Representative for
NOX Budget Sources (Effective 12/11/2000)
Section 7.0: Permits (Effective 12/11/2000)
Section 8.0: Monitoring and Reporting (Effective 12/11/2000)
Section 9.0: NATS (Effective 12/11/2000)
Section 10.0: NOX Allowance Transfers (Effective 12/11/2000)
Section 11.0: Compliance Certification (Effective 12/11/2000)
Section 12.0: End-of-Season Reconciliation (Effective 12/11/2000)
Section 13.0: Failure to Meet Compliance Requirements (Effective 12/11/
2000)
Section 14.0: Individual Units Opt-Ins (Effective 12/11/2000)
Section 15.0: General Accounts (Effective 12/11/2000)
[[Page 143]]
Appendix A: Allowance Allocations to NOX Budget Units under
3.1.1.1 and 3.1.1.2 of DE Admin. Code 1139 (Effective 02/11/2000)
Appendix B: 7 DE Admin. Code 1137--7 DE Admin. Code 1139 Program
Transition (Effective 02/11/2000)
7 DE Admin. Code 1140: Delaware's National Low Emission Vehicle (NLEV)
Regulation
Section 1.0: Applicability (Effective 09/11/1999)
Section 2.0: Definitions (Effective 09/11/1999)
Section 3.0: Program Participation (Effective 09/11/1999)
7 DE Admin. Code 1142: Specific Emission Control Requirements
Section 1.0: Control of NOX Emissions from Industrial Boilers
(Effective 12/12/2001)
7 DE Admin. Code 1143: Heavy Duty Diesel Engine Standards
Section 1.0: On Road Heavy Duty Diesel Requirements for Model Years 2005
and 2006 (Effective 02/11/2005)
Section 2.0: On Road Heavy Duty Diesel Requirements for Model Year 2007
and Later (Effective 02/11/2005)
7 DE Admin. Code 1144: Control of Stationary Generator Emissions \1\
---------------------------------------------------------------------------
\1\ All sections for 7 DE Admin. Code 1144: Control of Stationary
Generator Emissions shall be incorporated by reference into 40 CFR part
55 except for all references to Carbon Dioxide (CO2).
---------------------------------------------------------------------------
Section 1.0: General (Effective 01/11/2006)
Section 2.0: Definitions (Effective 01/11/2006)
Section 3.0: Emissions (Effective 01/11/2006)
Section 4.0: Operating Requirements (Effective 01/11/2006)
Section 5.0: Fuel Requirements (Effective 01/11/2006)
Section 7.0: Emissions Certification, Compliance, and Enforcement
(Effective 01/11/2006)
Section 8.0: Credit for Concurrent Emissions Reductions (Effective 01/
11/2006)
Section 9.0: DVFA Member Companies (Effective 01/11/2006)
7 DE Admin. Code 1145: Excessive Idling of Heavy Duty Vehicles
Section 1.0: Applicability (Effective 04/11/2005)
Section 2.0: Definitions (Effective 04/11/2005)
Section 3.0: Severability (Effective 04/11/2005)
Section 4.0: Operational Requirements for Heavy Duty Motor Vehicles
(Effective 04/11/2005)
Section 5.0: Exemptions (Effective 04/11/2005)
Section 6.0: Enforcement and Penalty (Effective 04/11/2005)
7 DE Admin. Code 1146: Electric Generating Unit (EGU) Multi-Pollutant
Regulation
Section 1.0: Preamble (Effective 12/11/2006)
Section 2.0: Applicability (Effective 12/11/2006)
Section 3.0: Definitions (Effective 12/11/2006)
Section 4.0: NOX Emissions Limitations (Effective 12/11/2006)
Section 5.0: SO2 Emissions Limitations (Effective 12/11/2006)
Section 6.0: Mercury Emissions Limitations (Effective 12/11/2006)
Section 7.0: Recordkeeping and Reporting (Effective 12/11/2006)
Section 8.0: Compliance Plan (Effective 12/11/2006)
Section 9.0: Penalties (Effective 12/11/2006)
7 DE Admin. Code 1148: Control of Stationary Combustion Turbine Electric
Generating Unit Emissions
Section 1.0: Purpose (Effective 07/11/2007)
Section 2.0: Applicability (Effective 07/11/2007)
Section 3.0: Definitions (Effective 07/11/2007)
Section 4.0: NOX Emissions Limitations (Effective 07/11/2007)
Section 5.0: Monitoring and Reporting (Effective 07/11/2007)
Section 6.0: Recordkeeping (Effective 07/11/2007)
Section 7.0: Penalties (Effective 07/11/2007)
(2) [Reserved]
Florida
(a) State requirements.
(1) The following requirements are contained in State of Florida
Requirements Applicable to OCS Sources, January 2, 2008: Florida
Administrative Code--Department of Environmental Protection. The
following sections of Chapter 62:
CHAPTER 62-4 PERMITS
62-4.001 Scope of Part I (Effective 10/1/07)
62-4.020 Definitions (Effective 4/3/03)
62-4.021 Transferability of Definitions (Effective 8/31/88)
62-4.030 General Prohibition (Effective 8/31/88)
62-4.040 Exemptions (Effective 8/31/88)
62-4.050 Procedure to Obtain Permits and other Authorizations;
Applications (Effective 10/31/07)
62-4.055 Permit Processing (Effective 8/16/98)
62-4.060 Consultation (Effective 8/31/88)
62-4.070 Standards of Issuing or Denying Permits; Issuance; Denial
(Effective 3/28/91)
62-4.080 Modification of Permit Conditions (Effective 3/19/90)
62-4.090 Renewals (Effective 3/16/08)
62-4.100 Suspension and Revocation (Effective 8/31/88)
62-4.110 Financial Responsibility (Effective 8/31/88)
62-4.120 Transfer of Permits (Effective 4/16/01)
[[Page 144]]
62-4.130 Plant Operation--Problems (Effective 8/31/88)
62-4.150 Review (Effective 8/31/88)
62-4.160 Permit Conditions (Effective 7/11/93)
62-4.200 Scope of Part II (Effective 10/1/07)
62-4.210 Construction Permits (Effective 8/31/88)
62-4.220 Operation Permit for New Sources (Effective 8/31/88)
62-4.249 Preservation of Rights (Effective 8/31/88)
62-4.510 Scope of Part III (Effective 10/1/07)
62-4.520 Definition (Effective 7/11/90)
62-4.530 Procedures (Effective 3/19/90)
62-4.540 General Conditions for All General Permits (Effective 8/31/88)
CHAPTER 62-204 AIR POLLUTION CONTROL--GENERAL PROVISIONS
62-204.100 Purpose and Scope (Effective 3/13/96)
62-204.200 Definitions (Effective 2/12/06)
62-204.220 Ambient Air Quality Protection (Effective 3/13/96)
62-204.240 Ambient Air Quality Standards (Effective 3/13/96)
62-204.260 Prevention of Significant Deterioration Maximum Allowable
Increases (PSD Increments) (Effective 2/12/06)
62-204.320 Procedures for Designation and Redesignation of Areas
(Effective 3/13/96)
62-204.340 Designation of Attainment, Nonattainment, and Maintenance
Areas (Effective 3/13/96)
62-204.360 Designation of Prevention of Significant Deterioration Areas
(Effective 3/13/96)
62-204.400 Public Notice and Hearing Requirements for State
Implementation Plan Revisions (Effective 11/30/94)
62-204.500 Conformity (Effective 9/1/98)
62-204.800 Federal Regulations Effective by Reference (Effective 7/1/08)
CHAPTER 62-210 STATIONARY SOURCES--GENERAL REQUIREMENTS
62-210.100 Purpose and Scope (Effective 1/10/07)
62-210.200 Definitions (Effective 3/16/08)
62-210.220 Small Business Assistance Program (Effective 2/11/99)
62-210.300 Permits Required (Effective 3/16/08)
62-210.310 Air General Permits (Effective 5/9/07)
62-210.350 Public Notice and Comment (Effective 2/2/06)
62-210.360 Administrative Permit Corrections (Effective 3/16/08)
62-210.370 Emissions Computation and Reporting (Effective 7/3/08)
62-210.550 Stack Height Policy (Effective 11/23/94)
62-210.650 Circumvention (Effective 8/26/1981)
62-210.700 Excess Emissions (Effective 11/23/94)
62-210.900 Forms and Instructions (Effective 7/3/08)
62-210.920 Registration Forms for Air General Permits (Effective 5/9/07)
CHAPTER 62-212 STATIONARY SOURCES--PRECONSTRUCTION REVIEW
62-212.100 Purpose and Scope (Effective5/20/97)
62-212.300 General Preconstruction Review Requirements (Effective 2/2/
06)
62-212.400 Prevention of Significant Deterioration (PSD) (Effective 7/
16/07)
62-212.500 Preconstruction Review for Nonattainment Areas (Effective 2/
2/06)
62-212.600 Sulfur Storage and Handling Facilities (Effective 8/17/00)
62-212.710 Air Emissions Bubble (Effective 5/20/97)
62-212.720 Actuals Plantwide Applicability Limits (PALs) (Effective 7/
16/07)
CHAPTER 62-213 OPERATION PERMITS FOR MAJOR SOURCES OF AIR POLLUTION
62-213.100 Purpose and Scope (Effective 3/13/96)
62-213.202 Responsible Official (Effective 6/02/02)
62-213.205 Annual Emissions Fee (Effective 3/16/08)
62-213.300 Title V Air General Permits (Effective 4/14/03)
62-213.400 Permits and Permit Revisions Required (Effective 3/16/08)
62-213.405 Concurrent Processing of Permit Applications (Effective 6/02/
02)
62-213.410 Changes Without Permit Revision (Effective 6/02/02)
62-213.412 Immediate Implementation Pending Revision Process (Effective
6/02/02)
62-213.413 Fast-Track Revisions of Acid Rain Parts (Effective 6/02/02)
62-213.415 Trading of Emissions Within a Source (Effective 4/16/01)
62-213.420 Permit Applications (Effective 3/16/08)
62-213.430 Permit Issuance, Renewal, and Revision (Effective 3/16/08)
62-213.440 Permit Content (Effective 3/16/08)
62-213.450 Permit Review by EPA and Affected States (Effective 1/03/01)
62-213.460 Permit Shield (Effective 3/16/08)
62-213.900 Forms and Instructions (Effective 4/14/03)
CHAPTER 62-214 REQUIREMENTS FOR SOURCES SUBJECT TO THE FEDERAL ACID RAIN
PROGRAM
62-214.100 Purpose and Scope (Effective 3/16/08)
62-214.300 Applicability (Effective 3/16/08)
62-214.320 Applications (Effective 3/16/08)
62-214.330 Acid Rain Compliance Plan and Compliance Options (Effective
3/16/08)
62-214.340 Exemptions (Effective 3/16/08)
62-214.350 Certification (Effective 12/10/97)
62-214.360 Department Action on Applications (Effective 3/16/08)
[[Page 145]]
62-214.370 Revisions and Administrative Corrections (Effective 4/16/01)
62-214.420 Acid Rain Part Content (Effective 3/16/08)
62-214.430 Implementation and Termination of Compliance Options
(Effective 3/16/08)
CHAPTER 62-252 GASOLINE VAPOR CONTROL
62-252.100 Purpose and Scope (Effective 2/2/93)
62-252.200 Definitions (Effective 5/9/07)
62-252.300 Gasoline Dispensing Facilities--Stage I Vapor Recovery
(Effective 5/9/07)
62-252.400 Gasoline Dispensing Facilities--Stage II Vapor Recovery
(Effective 5/9/07)
62-252.500 Gasoline Tanker Trucks or Trailers (Effective 5/9/07)
62-252.900 Form. (Effective 5/9/07)
CHAPTER 62-256 OPEN BURNING AND FROST PROTECTION FIRES
62-256.200 Definitions (Effective 7/6/05)
62-256.300 Prohibitions (Effective 7/6/05)
62-256.700 Open Burning Allowed (Effective 7/6/05)
CHAPTER 62-296 STATIONARY SOURCES-EMISSION STANDARDS
62-296.100 Purpose and Scope (Effective 3/13/96)
62-296.320 General Pollutant Emission Limiting Standards (Effective 3/
13/96)
62-296.340 Best Available Retrofit Technology (Effective 1/31/07)
62-296.341 Regional Haze--Reasonable Progress Control Technology
(Effective 2/7/08)
62-296.401 Incinerators (Effective 1/10/07)
62-296.402 Sulfuric Acid Plants (Effective 3/13/96)
62-296.403 Phosphate Processing (Effective 3/13/96)
62-296.404 Kraft (Sulfate) Pulp Mills and Tall Oil Plants (Effective 3/
13/96)
62-296.405 Fossil Fuel Steam Generators with More Than 250 Million Btu
Per Hour Heat Input (Effective 3/2/99)
62-296.406 Fossil Fuel Steam Generators with Less Than 250 Million Btu
Per Hour Heat Input, New and Existing Emissions Units (Effective 3/2/99)
62-296.407 Portland Cement Plants (Effective 1/1/96)
62-296.408 Nitric Acid Plants (Effective 1/1/96)
62-296.409 Sulfur Recovery Plants (Effective 1/1/96)
62-296.410 Carbonaceous Fuel Burning Equipment (Effective 1/1/96)
62-296.411 Sulfur Storage and Handling Facilities (Effective 1/1/96)
62-296.412 Dry Cleaning Facilities (Effective 10/7/96)
62-296.413 Synthetic Organic Fiber Production (Effective 2/12/06)
62-296.414 Concrete Batching Plants (Effective 1/10/07)
62-296.415 Soil Thermal Treatment Facilities (Effective 3/13/96)
62-296.416 Waste-to-Energy Facilities (Effective 10/20/96)
62-296.417 Volume Reduction, Mercury Recovery and Mercury Reclamation
(Effective 3/2/99)
62-296.418 Bulk Gasoline Plants (Effective 5/9/07)
62-296.470 Implementation of Federal Clean Air Interstate Rule
(Effective 4/1/07)
62-296.480 Implementation of Federal Clean Air Mercury Rule (Effective
9/6/06)
62-296.500 Reasonably Available Control Technology (RACT)--Volatile
Organic Compounds (VOC) and Nitrogen Oxides (NOX) Emitting
Facilities (Effective 1/1/96)
62-296.501 Can Coating (Effective 1/1/96)
62-296.502 Coil Coating (Effective 1/1/96)
62-296.503 Paper Coating (Effective 1/1/96)
62-296.504 Fabric and Vinyl Coating (Effective 1/1/96)
62-296.505 Metal Furniture Coating (Effective 1/1/96)
62-296.506 Surface Coating of Large Appliances (Effective 1/1/96)
62-296.507 Magnet Wire Coating (Effective 1/1/96)
62-296.508 Petroleum Liquid Storage (Effective 1/1/96)
62-296.510 Bulk Gasoline Terminals (Effective 1/1/96)
62-296.511 Solvent Metal Cleaning (Effective 10/7/96)
62-296.512 Cutback Asphalt (Effective 1/1/96)
62-296.513 Surface Coating of Miscellaneous Metal Parts and Products
(Effective 1/1/96)
62-296.514 Surface Coating of Flat Wood Paneling (Effective 1/1/96)
62-296.515 Graphic Arts Systems (Effective 1/1/96)
62-296.516 Petroleum Liquid Storage Tanks with External Floating Roofs
(Effective 1/1/96)
62-296.570 Reasonably Available Control Technology (RACT)--Requirements
for Major VOC and NOX-Emitting Facilities (Effective 3/2/99)
62-296.600 Reasonably Available Control Technology (RACT) Lead
(Effective 3/13/96)
62-296.601 Lead Processing Operations in General (Effective 1/1/96)
62-296.602 Primary Lead-Acid Battery Manufacturing Operations (Effective
3/13/96)
62-296.603 Secondary Lead Smelting Operations (Effective 1/1/96)
62-296.604 Electric Arc Furnace Equipped Secondary Steel Manufacturing
Operations. (Effective 1/1/96)
62-296.605 Lead Oxide Handling Operations (Effective 8/8/1994)
62-296.700 Reasonably Available Control Technology (RACT) Particulate
Matter (Effective 1/1/96)
62-296.701 Portland Cement Plants (Effective 1/1/96)
[[Page 146]]
62-296.702 Fossil Fuel Steam Generators (Effective 1/1/96)
62-296.703 Carbonaceous Fuel Burners (Effective 1/1/96)
62-296.704 Asphalt Concrete Plants (Effective 1/1/96)
62-296.705 Phosphate Processing Operations (Effective 1/1/96)
62-296.706 Glass Manufacturing Process (Effective 1/1/96)
62-296.707 Electric Arc Furnaces (Effective 1/1/96)
62-296.708 Sweat or Pot Furnaces (Effective 1/1/96)
62-296.709 Lime Kilns (Effective 1/1/96)
62-296.710 Smelt Dissolving Tanks (Effective 1/1/96)
62-296.711 Materials Handling, Sizing, Screening, Crushing and Grinding
Operations (Effective 1/1/96)
62-296.712 Miscellaneous Manufacturing Process Operations (Effective 1/
1/96)
CHAPTER 62-297 STATIONARY SOURCE EMISSIONS MONITORING
62-297.100 Purpose and Scope (Effective 3/13/96)
62-297.310 General Compliance Test Requirements (Effective 3/2/99)
62-297.320 Standards for Persons Engaged in Visible Emissions
Observations (Effective 2/12/04)
62-297.401 Compliance Test Methods (Effective 3/2/99)
62-297.440 Supplementary Test Procedures (Effective 10/22/02)
62-297.450 EPA VOC Capture Efficiency Test Procedures (Effective 3/2/99)
62-297.520 EPA Continuous Monitor Performance Specifications (Effective
3/2/99)
62-297.620 Exceptions and Approval of Alternate Procedures and
Requirements (Effective 11/23/94)
(b) Local requirements.
(1) [Reserved]
Maryland:
(a) State Requirements.
(1) The following State of Maryland requirements are applicable to
OCS Sources, May 6, 2016, State of Maryland--Department of the
Environment. The following sections of Code of Maryland Regulations
(COMAR) Title 26 Subtitle 11:
COMAR 26.11.01--General Administrative Provisions (Effective as of
February 15, 2016)
COMAR 26.11.02--Permits, Approvals, and Registrations (Effective as of
December 10, 2015)
COMAR 26.11.03--Permits, Approvals, and Registration--Title V Permits
(Effective as of November 12, 2010)
COMAR 26.11.05--Air Pollution Episode System (Effective as of November
12, 2010)
COMAR 26.11.06--General Emission Standards, Prohibitions, and
Restrictions (Effective as of July 08, 2013)
COMAR 26.11.07--Open Fires (Effective as of November 12, 2010)
COMAR 26.11.08--Control of Incinerators (Effective as of February 15,
2016)
COMAR 26.11.09--Control of Fuel-Burning Equipment, Stationary Internal
Combustion Engines and Certain Fuel-Burning Installations (Effective as
of July 20, 2015)
COMAR 26.11.13--Control of Gasoline and Volatile Organic Compound
Storage and Handling (Effective as of July 21, 2014)
COMAR 26.11.15--Toxic Air Pollutants (Effective as of November 12, 2010)
COMAR 26.11.16--Procedures Related to Requirements for Toxic Air
Pollutants (Effective as of November 12, 2010)
COMAR 26.11.17--Nonattainment Provisions for Major New Sources and Major
Modifications (Effective as of July 08, 2013)
COMAR 26.11.19--Volatile Organic Compounds from Specific Processes
(Effective as of September 28, 2015, 2012)
COMAR 26.11.20--Mobile Sources (Effective as of November 12, 2010)
COMAR 26.11.26--Conformity (Effective as of November 12, 2010)
COMAR 26.11.33--Architectural Coatings (Effective as of November 12,
2010)
COMAR 26.11.35--Volatile Organic Compounds from Adhesives and Sealants
(Effective as of November 12, 2010)
COMAR 26.11.36--Distributed Generation (Effective as of June 13, 2011)
COMAR 26.11.39--Architectural and Industrial Maintenance (AIM) Coatings
(Effective as of April 2016)
Massachusetts
(a) State requirements.
(1) The following Commonwealth of Massachusetts requirements are
applicable to OCS Sources, May 20, 2010, Commonwealth of Massachusetts--
Department of Environmental Protection.
The following sections of 310 CMR 4.00, 310 CMR 6.00, 310 CMR 7.00
and 310 CMR 8.00:
310 CMR 4.00: Timely Action Schedule and Fee Provisions
Section 4.01: Purpose, Authority and General Provisions (Effective 9/4/
2009)
Section 4.02: Definitions (Effective 9/4/2009)
Section 4.03: Annual Compliance Assurance Fee (Effective 9/4/2009)
Section 4.04: Permit Application Schedules and Fee (Effective 9/4/2009)
Section 4.10: Appendix: Schedules for Timely Action and Permit
Application Fees (Effective 9/4/2009)
[[Page 147]]
310 CMR 6.00: Ambient Air Quality Standards for the Commonwealth of
Massachusetts
Section 6.01: Definitions (Effective 4/2/2010)
Section 6.02: Scope (Effective 4/2/2010)
Section 6.03: Reference Conditions (Effective 4/2/2010)
Section 6.04: Standards (Effective 4/2/2010)
310 CMR 7.00: Air Pollution Control
Section 7.00: Statutory Authority; Legend; Preamble; Definitions
(Effective 4/2/2010)
Section 7.01: General Regulations to Prevent Air Pollution (Effective 4/
2/2010)
Section 7.02: U Plan Approval and Emission Limitations (Effective 4/2/
2010)
Section 7.03: U Plan Approval Exemptions: Construction Requirements
(Effective 4/2/2010)
Section 7.04: U Fossil Fuel Utilization Facilities (Effective 4/2/2010)
Section 7.05: U Fuels All Districts (Effective 4/2/2010)
Section 7.06: U Visible Emissions (Effective 4/2/2010)
Section 7.07: U Open Burning (Effective 4/2/2010)
Section 7.08: U Incinerators (Effective 4/2/2010)
Section 7.09: U Dust, Odor, Construction and Demolition (Effective 4/2/
2010)
Section 7.11: U Transportation Media (Effective 4/2/2010)
Section 7.12: U Source Registration (Effective 4/2/2010)
Section 7.13: U Stack Testing (Effective 4/2/2010)
Section 7.14: U Monitoring Devices and Reports (Effective 4/2/2010)
Section 7.15: U Asbestos (Effective 4/2/2010)
Section 7.18: U Volatile and Halogenated Organic Compounds (Effective 4/
2/2010)
Section 7.19: U Reasonably Available Control Technology (RACT) for
Sources of Oxides of Nitrogen (NOX) (Effective 4/2/2010)
Section 7.21: Sulfur Dioxide Emissions Limitations (Effective 4/2/2010)
Section 7.22: Sulfur Dioxide Emissions Reductions for the Purpose of
Reducing Acid Rain (Effective 4/2/2010)
Section 7.24: U Organic Material Storage and Distribution (Effective 4/
2/2010)
Section 7.25: U Best Available Controls for Consumer and Commercial
Products (Effective 4/2/2010)
Section 7.26: Industry Performance Standards (Effective 4/2/2010)
Section 7.32: Massachusetts Clean Air Interstate Rule (Mass CAIR)
(Effective 4/2/2010)
Section 7.60: U Severability (Effective 4/2/2010)
Section 7.70: Massachusetts CO2 Budget Trading Program (Effective 4/2/
2010)
Section 7.71: Reporting of Greenhouse Gas Emissions (Effective 4/2/2010)
Section 7.00: Appendix A (Effective 4/2/2010)
Section 7.00: Appendix B (Effective 4/2/2010)
Section 7.00: Appendix C (Effective 4/2/2010)
310 CMR 8.00: The Prevention and/or Abatement of Air Pollution Episode
and Air Pollution Incident Emergencies
Section 8.01: Introduction (Effective 4/2/2010)
Section 8.02: Definitions (Effective 4/2/2010)
Section 8.03: Air Pollution Episode Criteria (Effective 4/2/2010)
Section 8.04: Air Pollution Episode Potential Advisories (Effective 4/2/
2010)
Section 8.05: Declaration of Air Pollution Episodes and Incidents
(Effective 4/2/2010)
Section 8.06: Termination of Air Pollution Episodes and Incident
Emergencies (Effective 4/2/2010)
Section 8.07: Emission Reductions Strategies (Effective 4/2/2010)
Section 8.08: Emission Reduction Plans (Effective 4/2/2010)
Section 8.15: Air Pollution Incident Emergency (Effective 4/2/2010)
Section 8.30: Severability (Effective 4/2/2010)
(2) [Reserved]
New Jersey
(a) State requirements.
(1) The following State of New Jersey requirements are applicable to
OCS Sources, as of August 13, 2009. New Jersey State Department of
Environmental Protection--New Jersey Administrative Code. The following
sections of Title 7:
Chapter 27 Subchapter 2--Control and Prohibition of Open Burning
(Effective 6/20/94)
N.J.A.C. 7:27-2.1. Definitions
N.J.A.C. 7:27-2.2. Open burning for salvage operations
N.J.A.C. 7:27-2.3. Open burning of refuse
N.J.A.C. 7:27-2.4. General provisions
N.J.A.C. 7:27-2.6. Prescribed burning
N.J.A.C. 7:27-2.7. Emergencies
N.J.A.C. 7:27-2.8. Dangerous material
N.J.A.C. 7:27-2.12. Special permit
N.J.A.C. 7:27-2.13. Fees
Chapter 27 Subchapter 3--Control and Prohibition of Smoke From
Combustion of Fuel (Effective 2/4/02)
N.J.A.C. 7:27-3.1. Definitions
N.J.A.C. 7:27-3.2. Smoke emissions from stationary indirect heat
exchangers
N.J.A.C. 7:27-3.3. Smoke emissions from marine installations
N.J.A.C. 7:27-3.4. Smoke emissions from the combustion of fuel in mobile
sources
N.J.A.C. 7:27-3.5. Smoke emissions from stationary internal combustion
engines and stationary turbine engines
N.J.A.C. 7:27-3.6. Stack test
N.J.A.C. 7:27-3.7. Exceptions
[[Page 148]]
Chapter 27 Subchapter 4--Control and Prohibition of Particles From
Combustion of Fuel (Effective 4/20/09)
N.J.A.C. 7:27-4.1. Definitions
N.J.A.C. 7:27-4.2. Standards for the emission of particles
N.J.A.C. 7:27-4.3. Performance test principle
N.J.A.C. 7:27-4.4. Emissions tests
N.J.A.C. 7:27-4.6. Exceptions
Chapter 27 Subchapter 5--Prohibition of Air Pollution (Effective 10/12/
77)
N.J.A.C. 7:27-5.1. Definitions
N.J.A.C. 7:27-5.2. General provisions
Chapter 27 Subchapter 6--Control and Prohibition of Particles From
Manufacturing Processes (Effective 6/12/98)
N.J.A.C. 7:27-6.1. Definitions
N.J.A.C. 7:27-6.2. Standards for the emission of particles
N.J.A.C. 7:27-6.3. Performance test principles
N.J.A.C. 7:27-6.4. Emissions tests
N.J.A.C. 7:27-6.5. Variances
N.J.A.C. 7:27-6.7. Exceptions
Chapter 27 Subchapter 7--Sulfur (Effective 3/1/67)
N.J.A.C. 7:27-7.1. Definitions
N.J.A.C. 7:27-7.2. Control and prohibition of air pollution from sulfur
compounds
Chapter 27 Subchapter 8--Permits and Certificates for Minor Facilities
(and Major Facilities Without an Operating Permit) (Effective 4/20/09)
N.J.A.C. 7:27-8.1. Definitions
N.J.A.C. 7:27-8.2. Applicability
N.J.A.C. 7:27-8.3. General provisions
N.J.A.C. 7:27-8.4. How to apply, register, submit a notice, or renew
N.J.A.C. 7:27-8.5. Air quality impact analysis
N.J.A.C. 7:27-8.6. Service fees
N.J.A.C. 7:27-8.7. Operating certificates
N.J.A.C. 7:27-8.8. General permits
N.J.A.C. 7:27-8.9. Environmental improvement pilot tests
N.J.A.C. 7:27-8.11. Standards for issuing a permit
N.J.A.C. 7:27-8.12. State of the art
N.J.A.C. 7:27-8.13. Conditions of approval
N.J.A.C. 7:27-8.14. Denials
N.J.A.C. 7:27-8.15. Reporting requirements
N.J.A.C. 7:27-8.16. Revocation
N.J.A.C. 7:27-8.17. Changes to existing permits and certificates
N.J.A.C. 7:27-8.18. Permit revisions
N.J.A.C. 7:27-8.19. Compliance plan changes
N.J.A.C. 7:27-8.20. Seven-day notice changes
N.J.A.C. 7:27-8.21. Amendments
N.J.A.C. 7:27-8.22. Changes to sources permitted under batch plant,
pilot plant, dual plant, or laboratory operating permitting procedures
N.J.A.C. 7:27-8.23. Reconstruction
N.J.A.C. 7:27-8.24. Special provisions for construction but not
operation
N.J.A.C. 7:27-8.25. Special provisions for pollution control equipment
or pollution prevention process modifications
N.J.A.C. 7:27-8.26. Civil or criminal penalties for failure to comply
N.J.A.C. 7:27-8.27. Special facility-wide permit provisions
N.J.A.C. 7:27-8.28. Delay of testing
Appendix I
Chapter 27 Subchapter 9--Sulfur in Fuels (Effective 4/19/00)
N.J.A.C. 7:27-9.1. Definitions
N.J.A.C. 7:27-9.2. Sulfur content standards
N.J.A.C. 7:27-9.3. Exemptions
N.J.A.C. 7:27-9.4. Waiver of air quality modeling
N.J.A.C. 7:27-9.5. Incentive for conversion to coal or other solid fuel
Chapter 27 Subchapter 10--Sulfur in Solid Fuels (Effective 04/20/09)
N.J.A.C. 7:27-10.1. Definitions
N.J.A.C. 7:27-10.2. Sulfur contents standards
N.J.A.C. 7:27-10.3. Expansion, reconstruction or construction of solid
fuel burning units
N.J.A.C. 7:27-10.4. Exemptions
N.J.A.C. 7:27-10.5. SO2 emission rate determinations
Chapter 27 Subchapter 11--Incinerators (Effective 5/4/98)
N.J.A.C. 7:27-11.1. Definitions
N.J.A.C. 7:27-11.2. Construction standards
N.J.A.C. 7:27-11.3. Emission standards
N.J.A.C. 7:27-11.4. Permit to construct; certificate to operate
N.J.A.C. 7:27-11.5. Operation
N.J.A.C. 7:27-11.6. Exceptions
Chapter 27 Subchapter 12--Prevention and Control of Air Pollution
Emergencies (Effective 3/19/74)
N.J.A.C. 7:27-12.1. Definitions
N.J.A.C. 7:27-12.2. Emergency criteria
N.J.A.C. 7:27-12.3. Criteria for emergency termination
N.J.A.C. 7:27-12.4. Standby plans
N.J.A.C. 7:27-12.5. Standby orders
Table I Emission Reduction Objectives
Table II Emission Reduction Objectives
Table III Emission Reduction Objectives
Chapter 27 Subchapter 16--Control and Prohibition of Air Pollution by
Volatile Organic Compounds (Effective 04/20/09)
N.J.A.C. 7:27-16.1. Definitions
N.J.A.C. 7:27-16.1A. Purpose, scope, applicability, and severability
N.J.A.C. 7:27-16.2. VOC stationary storage tanks
N.J.A.C. 7:27-16.3. Gasoline transfer operations
[[Page 149]]
N.J.A.C. 7:27-16.4. VOC transfer operations, other than gasoline
N.J.A.C. 7:27-16.5. Marine tank vessel loading and ballasting operations
N.J.A.C. 7:27-16.6. Open top tanks and solvent cleaning operations
N.J.A.C. 7:27-16.7. Surface coating and graphic arts operations
N.J.A.C. 7:27-16.8. Boilers
N.J.A.C. 7:27-16.9. Stationary combustion turbines
N.J.A.C. 7:27-16.10. Stationary reciprocating engines
N.J.A.C. 7:27-16.12. Surface coating operations at mobile equipment
repair and refinishing facilities
N.J.A.C. 7:27-16.13. Flares
N.J.A.C. 7:27-16.16. Other source operations
N.J.A.C. 7:27-16.17. Alternative and facility-specific VOC control
requirements
N.J.A.C. 7:27-16.18. Leak detection and repair
N.J.A.C. 7:27-16.19. Application of cutback and emulsified asphalts
N.J.A.C. 7:27-16.21. Natural gas pipelines
N.J.A.C. 7:27-16.22. Emission information, recordkeeping and testing
N.J.A.C. 7:27-16.23. Procedures for demonstrating compliance
N.J.A.C. 7:27-16.26. Variances
N.J.A.C. 7:27-16.27. Exceptions
APPENDIX I
APPENDIX II
Chapter 27 Subchapter 18--Control and Prohibition of Air Pollution From
New or Altered Sources Affecting Ambient Air Quality (Emission Offset
Rules) (Effective 12/1/08)
N.J.A.C. 7:27-18.1. Definitions
N.J.A.C. 7:27-18.2. Facilities subject to this subchapter
N.J.A.C. 7:27-18.3. Standards for issuance of permits
N.J.A.C. 7:27-18.4. Air quality impact analysis
N.J.A.C. 7:27-18.5. Standards for use of emission reductions as emission
offsets
N.J.A.C. 7:27-18.6. Emission offset postponement
N.J.A.C. 7:27-18.7. Determination of a net emission increase or a
significant net emission increase
N.J.A.C. 7:27-18.8. Banking of emission reductions
N.J.A.C. 7:27-18.9. Secondary emissions
N.J.A.C. 7:27-18.10. Exemptions
N.J.A.C. 7:27-18.12. Civil or criminal penalties for failure to comply
Chapter 27 Subchapter 19--Control and Prohibition of Air Pollution From
Oxides of Nitrogen (Effective 04/20/09)
N.J.A.C. 7:27-19.1. Definitions
N.J.A.C. 7:27-19.2. Purpose, scope and applicability
N.J.A.C. 7:27-19.3. General provisions
N.J.A.C. 7:27-19.4. Boilers serving electric generating units
N.J.A.C. 7:27-19.5. Stationary combustion turbines
N.J.A.C. 7:27-19.6. Emissions averaging
N.J.A.C. 7:27-19.7. Industrial/commercial/institutional boilers and
other indirect heat exchangers
N.J.A.C. 7:27-19.8. Stationary reciprocating engines
N.J.A.C. 7:27-19.11. Emergency generators--recordkeeping
N.J.A.C. 7:27-19.13. Alternative and facility-specific NOX
emission limits
N.J.A.C. 7:27-19.14. Procedures for obtaining approvals under this
subchapter
N.J.A.C. 7:27-19.15. Procedures and deadlines for demonstrating
compliance
N.J.A.C. 7:27-19.16. Adjusting combustion processes
N.J.A.C. 7:27-19.17. Source emissions testing
N.J.A.C. 7:27-19.18. Continuous emissions monitoring
N.J.A.C. 7:27-19.19. Recordkeeping and recording
N.J.A.C. 7:27-19.20. Fuel switching
N.J.A.C. 7:27-19.21. Phased compliance--repowering
N.J.A.C. 7:27-19.23. Phased compliance--use of innovative control
technology
N.J.A.C. 7:27-19.24. MEG alerts
N.J.A.C. 7:27-19.25. Exemption for emergency use of fuel oil
N.J.A.C. 7:27-19.26. Penalties
Chapter 27 Subchapter 20--Used Oil Combustion (Effective 6/19/06)
N.J.A.C. 7:27-20.1. Definitions
N.J.A.C. 7:27-20.2. General provisions
N.J.A.C. 7:27-20.3. Burning of on-specification used oil in space
heaters covered by a registration
N.J.A.C. 7:27-20.4. Burning of on-specification used oil in space
heaters covered by a permit
N.J.A.C. 7:27-20.5. Demonstration that used oil is on-specification
N.J.A.C. 7:27-20.6. Burning of on-specification oil in other combustion
units
N.J.A.C. 7:27-20.7. Burning of off-specification used oil
N.J.A.C. 7:27-20.8. Ash standard
N.J.A.C. 7:27-20.9. Exception
Chapter 27 Subchapter 21--Emission Statements (Effective 4/20/09)
N.J.A.C. 7:27-21.1. Definitions
N.J.A.C. 7:27-21.2. Applicability
N.J.A.C. 7:27-21.3. General provisions
N.J.A.C. 7:27-21.4. Procedures for submitting an emission statement
N.J.A.C. 7:27-21.5. Required contents of an emission statement
N.J.A.C. 7:27-21.6 Methods to be used for quantifying actual emissions
N.J.A.C. 7:27-21.7. Recordkeeping requirements
[[Page 150]]
N.J.A.C. 7:27-21.8. Certification of information
N.J.A.C. 7:27-21.9. Request for extensions
N.J.A.C. 7:27-21.10. Notification of non-applicability
N.J.A.C. 7:27-21.11. Severability
Chapter 27 Subchapter 22--Operating Permits (Effective 12/1/08)
N.J.A.C. 7:27-22.1. Definitions
N.J.A.C. 7:27-22.2. Applicability
N.J.A.C. 7:27-22.3. General provisions
N.J.A.C. 7:27-22.4. General application procedures
N.J.A.C. 7:27-22.5. Application procedures for initial operating permits
N.J.A.C. 7:27-22.6. Operating permit application contents
N.J.A.C. 7:27-22.7. Application shield
N.J.A.C. 7:27-22.8. Air quality simulation modeling and risk assessment
N.J.A.C. 7:27-22.9. Compliance plans
N.J.A.C. 7:27-22.10. Completeness reviews
N.J.A.C. 7:27-22.11. Public comment
N.J.A.C. 7:27-22.12. EPA comment
N.J.A.C. 7:27-22.13. Final action on an application
N.J.A.C. 7:27-22.14. General operating permits
N.J.A.C. 7:27-22.15. Temporary facility operating permits
N.J.A.C. 7:27-22.16. Operating permit contents
N.J.A.C. 7:27-22.17. Permit shield
N.J.A.C. 7:27-22.18. Source emissions testing and monitoring
N.J.A.C. 7:27-22.19. Recordkeeping, reporting and compliance
certification
N.J.A.C. 7:27-22.20. Administrative amendments
N.J.A.C. 7:27-22.21. Changes to insignificant source operations
N.J.A.C. 7:27-22.22. Seven-day-notice changes
N.J.A.C. 7:27-22.23. Minor modifications
N.J.A.C. 7:27-22.24. Significant modifications
N.J.A.C. 7:27-22.24A. Reconstruction
N.J.A.C. 7:27-22.25. Department initiated operating permit modifications
N.J.A.C. 7:27-22.26. MACT and GACT standards
N.J.A.C. 7:27-22.27. Operating scenarios
N.J.A.C. 7:27-22.28A. Emissions trading
N.J.A.C. 7:27-22.28B. Facility-specific emissions averaging programs
N.J.A.C. 7:27-22.29. Facilities subject to acid deposition control
N.J.A.C. 7:27-22.30. Renewals
N.J.A.C. 7:27-22.31. Fees
N.J.A.C. 7:27-22.32. Hearings and appeals
N.J.A.C. 7:27-22.33. Preconstruction review
N.J.A.C. 7:27-22.34. Early reduction of HAP emissions
N.J.A.C. 7:27-22.35. Advances in the art of air pollution
APPENDIX
TABLE A
TABLE B
Chapter 27 Subchapter 30--Clean Air Interstate Rule (CAIR)
NOX Trading Program (Effective 8/17/07)
N.J.A.C. 7:27-30.1. Purpose and scope
N.J.A.C. 7:27-30.2. Definitions
N.J.A.C. 7:27-30.3. Allocation of CAIR NOX annual allowances
& CAIR NOX ozone season allowances
N.J.A.C. 7:27-30.4. The compliance supplement pool
N.J.A.C. 7:27-30.5. Claims for incentive allowances
N.J.A.C. 7:27-30.6. Reporting requirements
Chapter 27 Subchapter 31--NOX Budget Program (Effective 4/5/
04)
N.J.A.C. 7:27-31.1. Purpose and scope
N.J.A.C. 7:27-31.2. Definitions
N.J.A.C. 7:27-31.3. Applicability and general provisions
N.J.A.C. 7:27-31.4. Opt-in provisions
N.J.A.C. 7:27-31.5. Interface with the emission offset program
N.J.A.C. 7:27-31.6. Use of allowances by former users of DER credits
N.J.A.C. 7:27-31.7. Annual allowance allocation
N.J.A.C. 7:27-31.8. Claims for incentive allowances
N.J.A.C. 7:27-31.9. Permits
N.J.A.C. 7:27-31.10. Allowance use, transfer and retirement
N.J.A.C. 7:27-31.11. Allowance banking
N.J.A.C. 7:27-31.12. Early reductions
N.J.A.C. 7:27-31.13. NOX allowance tracking system (NATS)
N.J.A.C. 7:27-31.14. Emission monitoring
N.J.A.C. 7:27-31.15. Recordkeeping
N.J.A.C. 7:27-31.16. Reporting
N.J.A.C. 7:27-31.17. End-of-season reconciliation
N.J.A.C. 7:27-31.18. Compliance certification
N.J.A.C. 7:27-31.19. Excess emissions deduction
N.J.A.C. 7:27-31.20. Program audit
N.J.A.C. 7:27-31.21. Guidance documents and sources incorporated by
reference
Chapter 27B Subchapter 1--Sampling and Analytical Procedures for
Determining Emissions of Particles From Manufacturing Processes and From
Combustion of Fuels (Effective 6/1/76)
N.J.A.C. 7:27B-1.1. Definitions
N.J.A.C. 7:27B-1.2. Acceptable test methods
N.J.A.C. 7:27B-1.3. Operating conditions during the test
N.J.A.C. 7:27B-1.4. Sampling facilities to be provided by the person
responsible for emissions
N.J.A.C. 7:27B-1.5. Sampling train
N.J.A.C. 7:27B-1.6. Performance test principle
N.J.A.C. 7:27B-1.7. General testing requirements
N.J.A.C. 7:27B-1.8. Required test data
[[Page 151]]
N.J.A.C. 7:27B-1.9. Preparation for sampling
N.J.A.C. 7:27B-1.10. Sampling
N.J.A.C. 7:27B-1.11. Sample recovery
N.J.A.C. 7:27B-1.12. Analysis
N.J.A.C. 7:27B-1.13. Calculations
N.J.A.C. 7:27B-1.14. Validation of test
Chapter 27B Subchapter 2--Procedures for Visual Determination of the
Opacity (Percent) and Shade or Appearance (Ringelmann Number) of
Emissions From Sources (Effective 6/21/76)
N.J.A.C. 7:27B-2.1. Definitions
N.J.A.C. 7:27B-2.2. Acceptable observation methods
N.J.A.C. 7:27B-2.3. Observation principle
N.J.A.C. 7:27B-2.4. General observation requirements
N.J.A.C. 7:27B-2.5. Required observation data
N.J.A.C. 7:27B-2.6. Certification
REFERENCES
APPENDIX
Chapter 27B Subchapter 3--Air Test Method 3: Sampling and Analytical
Procedures for the Determination of Volatile Organic Compounds From
Source Operations (Effective 12/1/08)
N.J.A.C. 7:27B-3.1. Definitions
N.J.A.C. 7:27B-3.2. Sampling and analytical protocol: acceptable test
methods
N.J.A.C. 7:27B-3.3. Operating conditions during the test
N.J.A.C. 7:27B-3.4. Sampling facilities
N.J.A.C. 7:27B-3.5. Source operations and applicable test methods
N.J.A.C. 7:27B-3.6. Procedures for the determinations of vapor pressures
of a single known VOC or mixtures of known and/or unknown VOC
N.J.A.C. 7:27B-3.7. Procedures for the direct measurement of volatile
organic compounds using a flame ionization detector (FID), a
photoionization detector (PID) or a non-dispersive infrared analyzer
(NDIR)
N.J.A.C. 7:27B-3.8. Procedures for the direct measurement of volatile
organic compounds using a gas chromatograph (GC) with a flame ionization
detector (FID) or other suitable detector
N.J.A.C. 7:27B-3.9. Procedures for the sampling and remote analysis of
known volatile organic compounds using a gas chromatograph (GC) with a
flame ionization detector (FID) or other suitable detector
N.J.A.C. 7:27B-3.10. Procedures for the determination of volatile
organic compounds in surface coating formulations
N.J.A.C. 7:27B-3.11. Procedures for the determination of volatile
organic compounds emitted from transfer operations using a flame
ionization detector (FID) or non-dispersive infrared analyzer (NDIR)
N.J.A.C. 7:27B-3.12. Procedures for the determination of volatile
organic compounds in cutback and emulsified asphalts
N.J.A.C. 7:27B-3.13. Procedures for the determination of leak tightness
of gasoline delivery vessels
N.J.A.C. 7:27B-3.14. Procedures for the direct detection of fugitive
volatile organic compound leaks
N.J.A.C. 7:27B-3.15. Procedures for the direct detection of fugitive
volatile organic compound leaks from gasoline tank trucks and vapor
collection systems using a combustible gas detector
N.J.A.C. 7:27B-3.18. Test methods and sources incorporated by reference.
New York
(a) State requirements.
(1) The following State of New York requirements are applicable to
OCS Sources, October 20, 2007. New York Environmental Conservation Law--
Department of Environmental Conservation. The following sections of
Title 6, Chapter III:
Part 200. General Provisions
6 NYCRR 200.1. Definitions (effective 8/9/06)
6 NYCRR 200.2. Safeguarding Information (effective 1/16/92)
6 NYCRR 200.3. False Statement (effective 6/16/72)
6 NYCRR 200.4. Severability (effective 8/9/84)
6 NYCRR 200.5. Sealing (effective 2/22/79)
6 NYCRR 200.6. Acceptable Ambient Air Quality (effective 4/6/83)
6 NYCRR 200.7. Maintenance of Equipment (effective 2/22/79)
6 NYCRR 200.8. Conflict of Interest (effective 1/12/75)
6 NYCRR 200.9. Referenced Material (effective 1/271/07)
6 NYCRR 200.10. Federal Standards and Requirements (effective 10/20/07)
Part 201. Permits and Certificates
6 NYCRR 201-1. General Provisions (effective 7/7/96)
6 NYCRR 201-2. Definitions (effective 11/21/98)
6 NYCRR 201-3. Exemptions and Trivial Activities (effective 5/7/03)
6 NYCRR 201-4. Minor Facility Registrations (effective 7/7/96)
6 NYCRR 201-5. State Facility Permits (effective 7/7/96)
6 NYCRR 201-6. Title V Facility Permits (effective 1/18/02)
6 NYCRR 201-7. Federally Enforceable Emission Caps (effective 7/7/96)
6 NYCRR 201-8. General Permits (effective 7/7/96)
Part 202. Emissions Verification
6 NYCRR 202-1. Emissions Testing, Sampling and Analytical Determinations
(effective 5/29/05)
6 NYCRR 202-2. Emission Statements (effective 5/29/05)
[[Page 152]]
Part 204. NOX Budget Trading Program
6 NYCRR 204-1. General Provisions (effective 2/25/00)
6 NYCRR 204-2. Authorized Account Representative for NOX
Budget Sources (effective 2/25/00)
6 NYCRR 204-3. Permits (effective 2/25/00)
6 NYCRR 204-4. Compliance Certification (effective 2/25/00)
6 NYCRR 204-5. Allowance Allocations (effective 2/25/00)
6 NYCRR 204-6. Allowance Tracking System (effective 2/25/00)
6 NYCRR 204-7. NOX Allowance Transfers (effective 2/25/00)
6 NYCRR 204-8. Monitoring and Reporting (effective 2/25/00)
6 NYCRR 204-9. Individual Unit Opt-ins (effective 2/25/00)
Part 207--Control Measures for Air Pollution Episode (Effective 2/22/79)
Part 210--Emissions and Labeling Requirements for Personal Watercraft
Engines
6 NYCRR 210-1. Applicability and Definitions (effective 8/8/03)
6 NYCRR 210-2. Certification and Prohibitions (effective 8/8/03)
6 NYCRR 210-3. Family Emission Limits (effective 8/8/03)
6 NYCRR 210-4. In-Use Testing and Recall (effective 8/8/03)
6 NYCRR 210-5. Warranty (effective 8/8/03)
6 NYCRR 210-6. Production-Line Testing (effective 8/8/03)
6 NYCRR 210-7. Severability (effective 8/8/03)
Part 211--General Prohibitions (Effective 8/11/83)
Part 212--General Process Emission Sources (Effective 9/22/94)
Part 215--Open Fires (Effective 6/16/72)
Part 219--Incinerators
6 NYCRR 219-1. Incineration--General Provisions (effective 10/30/02)
6 NYCRR 219-2. Municipal and Private Solid Waste Incineration Facilities
(effective 5/21/05)
6 NYCRR 219-3. Infectious Waste Incineration Facilities (effective 12/
31/88)
6 NYCRR 219-5. Existing Incinerators (effective 12/31/88)
6 NYCRR 219-6. Existing Incinerators--New York City, Nassau and
Westchester Counties (effective 12/31/88)
6 NYCRR 219-7. Mercury Emission Limitations for Large Municipal Waste
Combustors Constructed On or Before September 20, 1994 (effective 5/21/
05)
6 NYCRR 219-8. Emission Guidelines and Compliance Times for Small
Municipal Waste Combustion Units Constructed On or Before August 30,
1999 (effective 10/18/02)
Part 225--Fuel Consumption and Use
6 NYCRR 225-1. Fuel Composition and Use--Sulfur Limitations (effective
1/29/86)
6 NYCRR 225-2. Fuel Composition and Use--Waste Fuel (effective 11/5/84)
6 NYCRR 225-3. Fuel Composition and Use--Gasoline (effective 11/4/01)
6 NYCRR 225-4. Motor Vehicle Diesel Fuel (effective 5/8/05)
Part 226--Solvent Metal Cleaning Processes (Effective 5/7/03)
Part 227--Stationary Combustion Installations
6 NYCRR 227-1. Stationary Combustion Installations (effective 2/25/00)
6 NYCRR 227-2. Reasonably Available Control Technology (RACT) for Oxides
of Nitrogen (NOX) (effective 2/11/04)
6 NYCRR 227-3. Pre-2003 Nitrogen Oxides Emissions Budget and Allowance
Program (effective 3/15/99)
Part 228--Surface Coating Processes (Effective 7/23/03)
Part 229--Petroleum and Volatile Organic Liquid Storage and Transfer
(Effective 4/4/93)
Part 231--New Source Review in Nonattainment Areas and Ozone Transport
Region
6 NYCRR 231-1. Requirements for Emission Sources Subject to the
Regulation Prior to November 15, 1992 (effective 10/15/94)
6 NYCRR 231-2. Requirements for Emission Sources Subject to the
Regulation On or After November 15, 1992 (effective 5/3/00)
Part 240--Conformity to State or Federal Implementation Plans (Effective
10/22/04)
Part 243--CAIR NOX Ozone Season Trading Program
6 NYCRR 243-1. CAIR NOX Ozone Season Trading Program General
Provisions (effective 10/19/07)
6 NYCRR 243-2. CAIR Designated Representative for CAIR NOX
Ozone Season Sources (effective 10/19/07)
6 NYCRR 243-3. Permits (effective 10/19/07)
6 NYCRR 243-5. CAIR NOX Ozone Season Allowance Allocations
(effective 10/19/07)
6 NYCRR 243-6. CAIR NOX Ozone Season Allowance Tracking
System (effective 10/19/07)
6 NYCRR 243-7. CAIR NOX Ozone Season Allowance Transfers
(effective 10/19/07)
6 NYCRR 243-8. Monitoring and Reporting (effective 10/19/07)
6 NYCRR 243-9. CAIR NOX Ozone Season Opt-in Units (effective
10/19/07)
[[Page 153]]
Part 244--CAIR NOX Annual Trading Program
6 NYCRR 244-1. CAIR NOX Annual Trading Program General
Provisions (effective 10/19/07)
6 NYCRR 244-2. CAIR Designated Representative for CAIR NOX
Sources (effective 10/19/07)
6 NYCRR 244-3. Permits (effective 10/19/07)
6 NYCRR 244-5. CAIR NOX Allowance Allocations (effective 10/
19/07)
6 NYCRR 244-6. CAIR NOX Allowance Tracking System (effective
10/19/07)
6 NYCRR 244-7. CAIR NOX Allowance Transfers (effective 10/19/
07)
6 NYCRR 244-8. Monitoring and Reporting (effective 10/19/07)
6 NYCRR 244-9. CAIR NOX Opt-in Units (effective 10/19/07)
Part 245--CAIR SO2 Trading Program
6 NYCRR 245-1. CAIR SO2 Trading Program General Provisions
(effective 10/19/07)
6 NYCRR 245-2. CAIR Designated Representative for CAIR SO2
Sources (effective 10/19/07)
6 NYCRR 245-3. Permits (effective 10/19/07)
6 NYCRR 245-6. CAIR SO2 Allowance Tracking System (effective
10/19/07)
6 NYCRR 245-7. CAIR SO2 Allowance Transfers (effective 10/19/
07)
6 NYCRR 245-8. Monitoring and Reporting (effective 10/19/07)
6 NYCRR 245-9. CAIR SO2 Opt-in Units (effective 10/19/07)
North Carolina
(a) State requirements.
(1) The following requirements are contained in State of North
Carolina Air Pollution Control Requirements Applicable to OCS Sources,
January 2, 2008: The following sections of subchapter 2D, 2H and 2Q.
15A NCAC SUBCHAPTER 2D--AIR POLLUTION CONTROL REQUIREMENTS
SECTION .0100--DEFINITIONS AND REFERENCES
2D.0101 Definitions (Effective 12/01/2005)
2D.0104 Incorporation by reference (Effective 07/01/1998)
SECTION .0200--AIR POLLUTION SOURCES
2D.0201 Classification of air pollution sources (Effective 07/01/1984)
2D.0202 Registration of air pollution sources (Effective 07/01/1998)
SECTION .0300--AIR POLLUTION EMERGENCIES
2D.0301 Purpose (Effective 02/01/1976)
2D.0302 Episode criteria (Effective 07/01/1998)
2D.0303 Emission reduction plans (Effective 07/01/1984)
2D.0304 Preplanned abatement program (Effective 07/01/1998)
2D.0305 Emission reduction plan: Alert Level (Effective 07/01/1984)
2D.0306 Emission reduction plan: Warning Level (Effective 07/01/1984)
2D.0307 Emission reduction plan: Emergency Level (Effective 07/01/1984)
SECTION .0400--AMBIENT AIR QUALITY STANDARDS
2D.0401 Purpose (Effective 12/01/1992)
2D.0402 Sulfur oxides (Effective 07/01/1984)
2D.0403 Total suspended particulates (Effective 07/01/1988)
2D.0404 Carbon monoxide (Effective 10/01/1989)
2D.0405 Ozone (Effective 04/01/1999)
2D.0407 Nitrogen dioxide (Effective 10/01/1989)
2D.0408 Lead (Effective 07/01/1984)
2D.0409 PM10 particulate matter (Effective 04/01/1999)
2D.0410 PM2.5 particulate matter (Effective 04/01/1999)
SECTION .0500--EMISSION CONTROL STANDARDS
2D.0501 Compliance with emission control standards (Effective 06/01/
2008)
2D.0502 Purpose (Effective 06/01/1981)
2D.0503 Particulates from fuel burning indirect heat exchangers
(Effective 04/01/1999)
2D.0504 Particulates from wood burning indirect heat exchangers
(Effective 08/01/2002)
2D.0506 Particulates from hot mix asphalt plants (Effective 08/01/2004)
2D.0507 Particulates from chemical fertilizer manufacturing plants
(Effective 04/01/2003)
2D.0508 Particulates from pulp and paper mills (Effective 07/10/1998)
2D.0509 Particulates from MICA or FELDSPAR processing plants (Effective
04/01/2003)
2D.0510 Particulates from sand, gravel, or crushed stone operations
(Effective 07/01/1998)
2D.0511 Particulates from lightweight aggregate processes (Effective 07/
01/1998)
2D.0512 Particulates from wood products finishing plants (Effective 01/
01/1985)
2D.0513 Particulates from portland cement plants (Effective 07/01/1998)
2D.0514 Particulates from ferrous jobbing foundries (Effective 07/01/
1998)
2D.0515 Particulates from miscellaneous industrial processes (Effective
04/01/2003)
2D.0516 Sulfur dioxide emissions from combustion sources (Effective 07/
01/2007)
2D.0517 Emissions from plants producing sulfuric acid (Effective 01/01/
1985)
2D.0519 Control of nitrogen dioxide and nitrogen oxides emissions
(Effective 07/01/2007)
2D.0521 Control of visible emissions (Effective 07/01/2007)
2D.0524 New Source Performance Standards (Effective 07/01/2007)
2D.0527 Emissions from spodumene ore roasting (Effective 01/01/1985)
[[Page 154]]
2D.0528 Total reduced sulfur from kraft pulp mills (Effective 07/01/
1988)
2D.0529 Fluoride emissions from primary aluminum reduction plants
(Effective 06/01/2008)
2D.0530 Prevention of significant deterioration (Effective 05/01/2008)
2D.0531 Sources in nonattainment areas (Effective 05/01/2008)
2D.0532 Sources contributing to an ambient violation (Effective (07/01/
1994)
2D.0533 Stack height (Effective 07/01/1994)
2D.0534 Fluoride emissions from phosphate fertilizer industry (Effective
11/01/1982)
2D.0535 Excess emissions reporting and malfunctions (Effective 06/01/
2008)
2D.0536 Particulate emissions from electric utility boilers (Effective
06/10/2008)
2D.0537 Control of mercury emissions (Effective 07/01/1996)
2D.0538 Control of ethylene oxide emissions (Effective 06/01/2004)
2D.0539 Odor control of feed ingredient manufacturing plants (Effective
04/01/2001)
2D.0540 Particulates from fugitive dust emission sources (Effective 08/
01/2007)
2D.0541 Control of emissions from abrasive blasting (Effective 07/01/
2000)
2D.0542 Control of particulate emissions from cotton ginning operations
(Effective 06/01/2008)
2D.0543 Best Available Retrofit Technology (Effective 05/01/2007)
SECTION .0600--MONITORING: RECORDKEEPING: REPORTING
2D.0601 Purpose and scope (Effective 04/01/1999)
2D.0602 Definitions (Effective 04/01/1999)
2D.0604 Exceptions to monitoring and reporting requirements (Effective
04/01/1999)
2D.0605 General recordkeeping and reporting requirements (Effective 01/
01/2007)
2D.0606 Sources covered by appendix P of 40 CFR part 51 (Effective 06/
01/2008)
2D.0607 Large wood and wood-fossil fuel combination units (Effective 07/
01/1999)
2D.0608 Other large coal or residual oil burners (Effective 06/01/2008)
2D.0610 Federal monitoring requirements (Effective 04/01/1999)
2D.0611 Monitoring emissions from other sources (Effective 04/01/1999)
2D.0612 Alternative monitoring and reporting procedures (Effective 04/
01/1999)
2D.0613 Quality assurance program (Effective 04/01/1999)
2D.0614 Compliance assurance monitoring (Effective 04/01/1999)
2D.0615 Delegation (Effective 04/01/1999)
SECTION .0900--VOLATILE ORGANIC COMPOUNDS
2D.0901 Definitions (Effective 06/01/2008)
2D.0902 Applicability (Effective 07/01/2007)
2D.0903 Recordkeeping: reporting: monitoring (Effective 04/01/1999)
2D.0906 Circumvention (Effective 01/01/1985)
2D.0909 Compliance schedules for sources in nonattainment areas
(Effective 07/01/2007)
2D.0912 General provisions on test methods and procedures (Effective 06/
01/2008)
2D.0917 Automobile and light-duty truck manufacturing (Effective 07/01/
1996)
2D.0918 Can coating (Effective 07/01/1996)
2D.0919 Coil coating (Effective 07/01/1996)
2D.0920 Paper coating (Effective 07/01/1996)
2D.0921 Fabric and vinyl coating (Effective 07/01/1996)
2D.0922 Metal furniture coating (Effective 07/01/1996)
2D.0923 Surface coating of large appliances (Effective 07/01/1996)
2D.0924 Magnet wire coating (Effective 07/01/1996)
2D.0925 Petroleum liquid storage in fixed roof tanks (03/01/1991)
2D.0926 Bulk gasoline plants (Effective 07/01/1996)
2D.0927 Bulk gasoline terminals (Effective 01/01/2007)
2D.0928 Gasoline service stations stage I (Effective 07/01/1996)
2D.0930 Solvent metal cleaning (Effective 03/01/1991)
2D.0931 Cutback asphalt (Effective 12/01/1989)
2D.0932 Gasoline truck tanks and vapor collection systems (Effective 08/
01/2008)
2D.0933 Petroleum liquid storage in external floating roof tanks
(Effective 06/01/2004)
2D.0934 Coating of miscellaneous metal parts and products (Effective 07/
01/1996)
2D.0935 Factory surface coating of flat wood paneling (Effective 07/01/
1996)
2D.0936 Graphic arts (Effective 12/01/1993)
2D.0937 Manufacture of pneumatic rubber tires (Effective 07/01/1996)
2D.0943 Synthetic organic chemical and polymer manufacturing (Effective
06/01/2008)
2D.0944 Manufacture of polyethylene: polypropylene and polystyrene
(Effective 05/01/1985)
2D.0945 Petroleum dry cleaning (Effective 06/01/2008)
2D.0947 Manufacture of synthesized pharmaceutical products (Effective
07/01/1994)
2D.0948 VOC emissions from transfer operations (Effective 07/01/2000)
2D.0949 Storage of miscellaneous volatile organic compounds (Effective
07/01/2000)
2D.0951 Miscellaneous volatile organic compound emissions (Effective 07/
01/2000)
2D.0952 Petition for alternative controls for RACT (Effective 04/01/
2003)
2D.0953 Vapor return piping for stage II vapor recovery (Effective 07/
01/1998)
2D.0954 Stage II vapor recovery (Effective 04/01/2003)
2D.0955 Thread bonding manufacturing (Effective 05/01/1995)
2D.0956 Glass Christmas ornament manufacturing (Effective 05/01/1995)
2D.0957 Commercial bakeries (Effective 05/01/1995)
[[Page 155]]
2D.0958 Work practices for sources of volatile organic compounds
(Effective 07/01/2000)
2D.0959 Petition for superior alternative controls (Effective 04/01/
2003)
2D.0960 Certification of leak tightness tester (Effective 07/01/2007)
SECTION .1100--CONTROL OF TOXIC AIR POLLUTANTS
2D.1101 Purpose (Effective 05/01/1990)
2D.1102 Applicability (Effective 07/01/1998)
2D.1103 Definition (Effective 04/01/2001)
2D.1104 Toxic air pollutant guidelines (Effective 06/01/2008)
2D.1105 Facility reporting, recordkeeping (Effective 04/01/1999)
2D.1106 Determination of ambient air concentration (Effective 07/01/
1998)
2D.1107 Multiple facilities (Effective 07/01/1998)
2D.1108 Multiple pollutants (Effective 05/01/1990)
2D.1109 112(j) case-by-case maximum achievable control technology
(Effective 02/01/2004)
2D.1110 National Emission Standards for Hazardous Air Pollutants
(Effective 06/01/2008)
2D.1111 Maximum Achievable Control Technology (Effective 01/01/2007)
2D.1112 112(g) case by case maximum achievable control technology
(Effective 07/01/1998)
SECTION .1200--CONTROL OF EMISSIONS FROM INCINERATORS
2D.1201 Purpose and scope (Effective 07/01/2007)
2D.1202 Definitions (Effective 07/01/2007)
2D.1203 Hazardous waste incinerators (Effective 06/01/2008)
2D.1204 Sewage sludge and sludge incinerators (Effective 06/01/2008)
2D.1205 Municipal waste combustors (Effective 04/01/2004)
2D.1206 Hospital, medical, and infectious waste incinerators (Effective
06/01/2008)
2D.1207 Conical incinerators (Effective 07/01/2000)
2D.1208 Other incinerators (Effective 08/01/2008)
2D.1210 Commercial and industrial solid waste incineration units
(Effective 06/01/2008)
2D.1211 Other solid waste incineration units (Effective 07/01/2007)
SECTION .1300--OXYGENATED GASOLINE STANDARD
2D.1301 Purpose (Effective 09/01/1996)
2D.1302 Applicability (Effective 09/01/1996)
2D.1303 Definitions (Effective 09/01/1992)
2D.1304 Oxygen content standard (Effective 09/01/1996)
2D.1305 Measurement and enforcement (Effective 07/01/1998)
SECTION .1400--NITROGEN OXIDES
2D.1401 Definitions (Effective 07/18/2002)
2D.1402 Applicability (Effective 06/01/2008)
2D.1403 Compliance schedules (Effective 07/01/2007)
2D.1404 Recordkeeping: Reporting: Monitoring: (Effective 12/01/2005)
2D.1405 Circumvention (Effective 04/01/1995)
2D.1407 Boilers and indirect-fired process heaters (Effective 06/01/
2008)
2D.1408 Stationary combustion turbines (Effective 06/01/2008)
2D.1409 Stationary internal combustion engines (Effective 06/01/2008)
2D.1410 Emissions averaging (Effective 07/18/2002)
2D.1411 Seasonal fuel switching (Effective 06/01/2008)
2D.1412 Petition for alternative limitations (Effective 06/01/2008)
2D.1413 Sources not otherwise listed in this section (Effective 07/18/
2002)
2D.1414 Tune-up requirements (Effective 07/18/2002)
2D.1415 Test methods and procedures (Effective 07/18/2002)
2D.1416 Emission allocations for utility companies (Effective 06/01/
2004)
2D.1417 Emission allocations for large combustion sources (Effective 06/
01/2004)
2D.1418 New electric generating units, large boilers, and large I/C
engines (Effective 06/01/2004)
2D.1419 Nitrogen oxide budget trading program (Effective 06/01/2004)
2D.1420 Periodic review and reallocations (Effective 07/18/2002)
2D.1421 Allocations for new growth of major point sources (Effective 07/
18/2002)
2D.1422 Compliance supplement pool credits (Effective 06/01/2004)
2D.1423 Large internal combustion engines (Effective 07/18/2002)
SECTION .1600--GENERAL CONFORMITY
2D.1601 Purpose, scope and applicability (Effective 04/01/1999)
2D.1602 Definitions (Effective 04/01/1995)
2D.1603 General conformity determination (Effective 07/01/1998)
SECTION .1900--OPEN BURNING
2D.1901 Open burning: Purpose: Scope (Effective 07/01/2007)
2D.1902 Definitions (Effective 07/01/2007)
2D.1903 Open burning without an air quality permit (Effective 07/01/
2007)
2D.1904 Air curtain burners (Effective 07/01/2007)
2D.1905 Regional office locations (Effective 12/01/2005)
2D.1906 Delegation to county governments (Effective 12/01/2005)
2D.1907 Multiple violations arising from a single episode (Effective 07/
01/2007)
[[Page 156]]
SECTION .2000--TRANSPORTATION CONFORMITY
2D.2001 Purpose, scope and applicability (Effective 12/01/2005)
2D.2002 Definitions (Effective 04/01/1999)
2D.2003 Transportation conformity determination (Effective 04/01/1999)
2D.2004 Determining transportation-related emissions (Effective 04/01/
1999)
2D.2005 Memorandum of agreement (Effective 04/01/1999)
SECTION .2100--RISK MANAGEMENT PROGRAM
2D.2101 Applicability (Effective 07/01/2000)
2D.2102 Definitions (Effective 07/01/2000)
2D.2103 Requirements (Effective 07/01/2000)
2D.2104 Implementation (Effective 07/01/2000)
SECTION .2200--SPECIAL ORDERS
2D.2201 Purpose (Effective 04/01/2004)
2D.2202 Definitions (Effective 04/01/2004)
2D.2203 Public notice (Effective 04/01/2004)
2D.2204 Final action on consent orders (Effective 04/01/2004)
2D.2205 Notification of right to contest special orders issued without
(Effective 04/01/2004)
SECTION .2300--BANKING EMISSION REDUCTION CREDITS
2D.2301 Purpose (Effective 12/01/2005)
2D.2302 Definitions (Effective 12/01/2005)
2D.2303 Applicability and eligibility (Effective 07/01/2007)
2D.2304 Qualification of emission reduction credits (Effective 12/01/
2005)
2D.2305 Creating and banking emission reduction credits (Effective 12/
01/2005)
2D.2306 Duration of emission reduction credits (Effective 12/01/2005)
2D.2307 Use of emission reduction credits (Effective 12/01/2005)
2D.2308 Certificates and registry (Effective 12/01/2005)
2D.2309 Transferring emission reduction credits (Effective 12/01/2005)
2D.2310 Revocation and changes of emission reduction credits (Effective
12/01/2005)
2D.2311 Monitoring (Effective 12/01/2005)
SECTION .2400--CLEAN AIR INTERSTATE RULES
2D.2401 Purpose and applicability (Effective 05/01/2008)
2D.2402 Definitions (Effective 05/01/2008)
2D.2403 Nitrogen oxide emissions (Effective 05/01/2008)
2D.2404 Sulfur dioxide (Effective 05/01/2008)
2D.2405 Nitrogen oxide emissions during ozone season (Effective 05/01/
2008)
2D.2406 Permitting (Effective 07/01/2006)
2D.2407 Monitoring, reporting, and recordkeeping (Effective 05/01/2008)
2D.2408 Trading program and banking (Effective 07/01/2006)
2D.2409 Designated representative (Effective 05/01/2008)
2D.2410 Computation of time (Effective 07/01/2006)
2D.2411 Opt-in provisions (Effective 07/01/2006)
2D.2412 New unit growth (Effective 05/01/2008)
2D.2413 Periodic review and reallocations (Effective 07/01/2006)
SECTION .2500--MERCURY RULES FOR ELECTRIC GENERATORS
2D.2501 Purpose and applicability (Effective 01/01/2007)
2D.2502 Definitions (Effective 01/01/2007)
2D.2503 Mercury emission (Effective 01/01/2007)
2D.2504 Permitting (Effective 01/01/2007)
2D.2505 Monitoring, Reporting, and Recordkeeping (Effective 01/01/2007)
2D.2506 Designated representative (Effective 01/01/2007)
2D.2507 Computation of time time periods shall be determined as
described in 40 CFR 60.4107 (Effective 01/01/2007)
2D.2508 New source growth (Effective 01/01/2007)
2D.2509 Periodic review and reallocations (Effective 01/01/2007)
2D.2510 Trading program and banking (Effective 01/01/2007)
2D.2511 Mercury emission limits (Effective 01/01/2007)
SECTION .2600--SOURCE TESTING
2D.2601 Purpose and scope (Effective 06/01/2008)
2D.2602 General provisions on test methods and procedures (Effective 07/
01/2008)
2D.2603 Testing protocol (Effective 07/01/2008)
2D.2604 Number of test points (Effective 06/01/2008)
2D.2605 Velocity and volume flow rate (Effective 06/01/2008)
2D.2606 Molecular weight (Effective 06/01/2008)
2D.2607 Determination of moisture content (Effective 06/01/2008)
2D.2608 Number of runs and compliance determination (Effective 06/01/
2008)
2D.2609 Particulate testing methods (Effective 06/01/2008)
2D.2610 Opacity (Effective 06/01/2008)
2D.2611 Sulfur dioxide testing methods (Effective 06/01/2008)
2D.2612 Nitrogen oxide testing methods (Effective 06/01/2008)
2D.2613 Volatile organic compound testing methods (Effective 06/01/2008)
2D.2614 Determination of voc emission control system efficiency
(Effective 06/01/2008)
2D.2615 Determination of leak tightness and vapor leaks (Effective 06/
01/2008)
2D.2616 Fluorides (Effective 06/01/2008)
2D.2617 Total reduced sulfur (Effective 06/01/2008)
2D.2618 Mercury (Effective 06/01/2008)
2D.2619 Arsenic, beryllium, cadmium, hexavalent chromium (Effective 06/
01/2008)
[[Page 157]]
2D.2620 Dioxins and furans (Effective 06/01/2008)
2D.2621 Determination of fuel heat content using f-factor (Effective 06/
01/2008)
SUBCHAPTER 02Q--AIR QUALITY PERMITS PROCEDURES
SECTION .0100--GENERAL PROVISIONS
2Q.0101 Required air quality permits (Effective 12/01/2005)
2Q.0102 Activities exempted from permit requirements (Effective 07/01/
2007)
2Q.0103 Definitions (Effective 12/01/2005)
2Q.0104 Where to obtain and file permit applications (Effective 08/01/
2002)
2Q.0105 Copies of referenced documents (Effective 12/01/2005)
2Q.0106 Incorporation by reference (Effective 07/01/1994)
2Q.0107 Confidential information (Effective 04/01/1999)
2Q.0108 Delegation of authority (Effective 07/01/1998)
2Q.0109 Compliance schedule for previously exempted activities
(Effective 04/01/2001)
2Q.0110 Retention of permit at permitted facility (Effective 07/01/1994)
2Q.0111 Applicability determinations (Effective 07/01/1994)
2Q.0112 Applications requiring professional engineer seal (Effective 02/
01/1995)
2Q.0113 Notification in areas without zoning (Effective 04/01/2004)
SECTION .0200--PERMIT FEES
2Q.0201 Applicability (Effective 07/01/1998)
2Q.0202 Definitions (Effective 04/01/2004)
2Q.0203 Permit and application fees (Effective 03/01/2008)
2Q.0204 Inflation adjustment (Effective 03/01/2008)
2Q.0205 Other adjustments (Effective 07/01/1994)
2Q.0206 Payment of fees (Effective 07/01/1994)
2Q.0207 Annual emissions reporting (Effective 07/01/2007)
SECTION .0300--CONSTRUCTION AND OPERATION PERMITS
2Q.0301 Applicability (Effective 12/01/2005)
2Q.0302 Facilities not likely to contravene demonstration (Effective 07/
01/1998)
2Q.0303 Definitions (Effective 07/01/1994)
2Q.0304 Applications (Effective 12/01/2005)
2Q.0305 Application submittal content (Effective 12/01/2005)
2Q.0306 Permits requiring public participation (Effective 07/01/2007)
2Q.0307 Public participation procedures (Effective 07/01/1998)
2Q.0308 Final action on permit applications (Effective 07/01/1994)
2Q.0309 Termination, modification and revocation of permits (Effective
07/01/1999)
2Q.0310 Permitting of numerous similar facilities (Effective 07/01/1994)
2Q.0311 Permitting of facilities at multiple temporary sites (Effective
07/01/1996)
2Q.0312 Application processing schedule (Effective 07/01/1998)
2Q.0313 Expedited application processing schedule (Effective 07/01/1998)
2Q.0314 General permit requirements (Effective 07/01/1999)
2Q.0315 Synthetic minor facilities (Effective 07/01/1999)
2Q.0316 Administrative permit amendments (Effective 04/01/2001)
2Q.0317 Avoidance conditions (Effective 04/01/2001)
2Q.0401 Purpose and applicability (Effective 04/01/2001)
2Q.0402 Acid rain permitting procedures (Effective 04/01/1999)
SECTION .0500--TITLE V PROCEDURES
2Q.0501 Purpose of section and requirement for a permit (Effective 07/
01/1998)
2Q.0502 Applicability (Effective 07/01/2000)
2Q.0503 Definitions (Effective 01/01/2007)
2Q.0504 Option for obtaining construction and operation permit
(Effective 07/01/1994)
2Q.0505 Application submittal content (Effective 04/01/2004)
2Q.0507 Application (Effective 04/01/2004)
2Q.0508 Permit content (Effective 08/01/2008)
2Q.0509 Permitting of numerous similar facilities (Effective 07/01/1994)
2Q.0510 Permitting of facilities at multiple temporary sites (Effective
07/01/1994)
2Q.0512 Permit shield and application shield (Effective 07/01/1997)
2Q.0513 Permit renewal and expiration (Effective 07/01/1994)
2Q.0514 Administrative permit amendments (Effective 01/01/2007)
2Q.0515 Minor permit modifications (Effective 07/01/1997)
2Q.0516 Significant permit modification (Effective 07/01/1994)
2Q.0517 Reopening for cause (Effective 07/01/1997)
2Q.0518 Final action (Effective 02/01/1995)
2Q.0519 Termination, modification, revocation of permits (Effective 07/
01/1994)
2Q.0520 Certification by responsible official (Effective 07/01/1994)
2Q.0521 Public participation (Effective 07/01/1998)
2Q.0522 Review by EPA and affected states (Effective 07/01/1994)
2Q.0523 Changes not requiring permit revisions (Effective 06/01/2008)
2Q.0524 Ownership change (Effective 07/01/1994)
2Q.0525 Application processing schedule (Effective 07/01/1998)
2Q.0526 112(j) case-by-case MACT procedures (Effective 02/01/2004)
2Q.0527 Expedited application processing schedule (Effective 07/01/1998)
2Q.0528 112(g) case-by-case MACTt procedures (Effective 07/01/1998)
[[Page 158]]
SECTION .0600--TRANSPORTATION FACILITY PROCEDURES
2Q.0601 Purpose of section and requirement for a permit (Effective 07/
01/1994)
2Q.0602 Definitions (Effective 07/01/1994)
2Q.0603 Applications (Effective 02/01/2005)
2Q.0604 Public participation (Effective 07/01/1994)
2Q.0605 Final action on permit applications (Effective 02/01/2005)
2Q.0606 Termination, modification and revocation of permits (Effective
07/01/1994)
2Q.0607 Application processing schedule (Effective 07/01/1998)
SECTION .0700--TOXIC AIR POLLUTANT PROCEDURES
2Q.0701 Applicability (Effective 02/01/2005)
2Q.0702 Exemptions (Effective 04/01/2005)
2Q.0703 Definitions (Effective 04/01/2001)
2Q.0704 New facilities (Effective 07/01/1998)
2Q.0705 Existing facilities and sic calls (Effective 07/01/1998)
2Q.0706 Modifications (Effective 12/01/2005)
2Q.0707 Previously permitted facilities (Effective 07/01/1998)
2Q.0708 Compliance schedule for previously unknown toxic air pollutant
emissions (Effective 07/01/1998)
2Q.0709 Demonstrations (Effective 02/01/2005)
2Q.0710 Public notice and opportunity for public hearing (Effective 07/
01/1998)
2Q.0711 Emission rates requiring a permit (Effective 06/01/2008)
2Q.0712 Calls by the director (Effective 07/01/1998)
2Q.0713 Pollutants with otherwise applicable federal standards or
requirements (Effective 07/01/1998)
SECTION .0800--EXCLUSIONARY RULES
2Q.0801 Purpose and scope (Effective 04/01/1999)
2Q.0802 Gasoline service stations and dispensing facilities (Effective
08/01/1995)
2Q.0803 Coating, solvent cleaning, graphic arts operations (Effective
04/01/2001)
2Q.0804 Dry cleaning facilities (Effective 08/01/1995)
2Q.0805 Grain elevators (Effective 04/01/2001)
2Q.0806 Cotton gins (Effective 06/01/2004)
2Q.0807 Emergency generators (Effective 04/01/2001)
2Q.0808 Peak shaving generators (Effective 12/01/2005)
2Q.0809 Concrete batch plants (Effective 06/01/2004)
2Q.0810 Air curtain burners (Effective 12/01/2005)
SECTION .0900--PERMIT EXEMPTIONS
2Q.0901 Purpose and scope (Effective 01/01/2005)
2Q.0902 Portable crushers (Effective 01/01/2005)
2Q.0903 Emergency generators (Effective 06/01/2008)
(b) Local requirements.
(1) [Reserved]
Virginia:
(a) State Requirements.
(1) The following Commonwealth of Virginia requirements are
applicable to OCS Sources, March 2, 2011, Commonwealth of Virginia--
Virginia Department of Environmental Quality. The following sections of
Virginia Regulations for the Control and Abatement of Air Pollution
Control (VAC), Title 9, Agency 5:
Chapter 10--General Definitions
(Effective 02/18/2010)
9VAC5-10-10. General.
9VAC5-10-20. Terms defined.
9VAC5-10-30. Abbreviations.
Chapter 20--General Provisions
(Effective 11/10/2010)
Part I--Administrative
9VAC5-20-10. Applicability.
9VAC5-20-21. Documents incorporated by reference.
9VAC5-20-50. Variances.
9VAC5-20-70. Circumvention.
9VAC5-20-80. Relationship of state regulations to federal regulations.
9VAC5-20-121. Air quality program policies and procedures.
Part II--Air Quality Programs
9VAC5-20-160. Registration.
9VAC5-20-170. Control programs.
9VAC5-20-180. Facility and control equipment maintenance or malfunction.
9VAC5-20-200. Air quality control regions.
9VAC5-20-201. Urban areas.
9VAC5-20-202. Metropolitan statistical areas.
9VAC5-20-203. Maintenance areas.
9VAC5-20-204. Nonattainment areas.
9VAC5-20-205. Prevention of significant deterioration areas.
9VAC5-20-206. Volatile organic compound and nitrogen oxides emission
control areas.
9VAC5-20-220. Shutdown of a stationary source.
9VAC5-20-230. Certification of documents.
Chapter 30--Ambient Air Quality Standards
(Effective 08/18/2010)
9VAC5-30-10. General.
9VAC5-30-15. Reference conditions.
9VAC5-30-30. Sulfur oxides (sulfur dioxide).
9VAC5-30-40. Carbon monoxide.
9VAC5-30-50. Ozone (1-hour).
9VAC5-30-55. Ozone (8-hour, 0.08 ppm).
9VAC5-30-56. Ozone (8-hour, 0.075 ppm).
9VAC5-30-60. Particulate matter (PM10).
[[Page 159]]
9VAC5-30-65. Particulate matter.
9VAC5-30-70. Oxides of nitrogen with nitrogen dioxide as the indicator.
9VAC5-30-80. Lead.
Chapter 40--Existing Stationary Sources
Part I--Special Provisions
(Effective 12/12/2007)
9VAC5-40-10. Applicability.
9VAC5-40-20. Compliance.
9VAC5-40-21. Compliance schedules.
9VAC5-40-22. Interpretation of emission standards based on process
weight-rate tables.
9VAC5-40-30. Emission testing.
9VAC5-40-40. Monitoring.
9VAC5-40-41. Emission monitoring procedures for existing sources.
9VAC5-40-50. Notification, records and reporting.
Part II--Emission Standards
Article 1--Visible Emissions and Fugitive Dust/Emissions
(Effective 02/01/2003)
9VAC5-40-60. Applicability and designation of affected facility.
9VAC5-40-70. Definitions.
9VAC5-40-80. Standard for visible emissions.
9VAC5-40-90. Standard for fugitive dust/emissions.
9VAC5-40-100. Monitoring.
9VAC5-40-110. Test methods and procedures.
9VAC5-40-120. Waivers.
Article 4--General Process Operations
(Effective 12/15/2006)
9VAC5-40-240. Applicability and designation of affected facility.
9VAC5-40-250. Definitions.
9VAC5-40-260. Standard for particulate matter (AQCR 1-6).
9VAC5-40-270. Standard for particulate matter (AQCR 7).
9VAC5-40-280. Standard for sulfur dioxide.
9VAC5-40-290. Standard for hydrogen sulfide.
9VAC5-40-320. Standard for visible emissions.
9VAC5-40-330. Standard for fugitive dust/emissions.
9VAC5-40-350. Standard for toxic pollutants.
9VAC5-40-360. Compliance.
9VAC5-40-370. Test methods and procedures.
9VAC5-40-380. Monitoring.
9VAC5-40-390. Notification, records and reporting.
9VAC5-40-400. Registration.
9VAC5-40-410. Facility and control equipment maintenance or malfunction.
9VAC5-40-420. Permits.
Article 7--Incinerators
(Effective 01/01/1985)
9VAC5-40-730. Applicability and designation of affected facility.
9VAC5-40-740. Definitions.
9VAC5-40-750. Standard for particulate matter.
9VAC5-40-760. Standard for visible emissions.
9VAC5-40-770. Standard for fugitive dust/emissions.
9VAC5-40-790. Standard for toxic pollutants.
9VAC5-40-800. Prohibition of flue-fed incinerators.
9VAC5-40-810. Compliance.
9VAC5-40-820. Test methods and procedures.
9VAC5-40-830. Monitoring.
9VAC5-40-840. Notification, records and reporting.
9VAC5-40-850. Registration.
9VAC5-40-860. Facility and control equipment maintenance or malfunction.
9VAC5-40-870. Permits.
Article 8--Fuel Burning Equipment
(Effective 01/01/2002)
9VAC5-40-880. Applicability and designation of affected facility.
9VAC5-40-890. Definitions.
9VAC5-40-900. Standard for particulate matter.
9VAC5-40-910. Emission allocation system.
9VAC5-40-920. Determination of collection equipment efficiency factor.
9VAC5-40-930. Standard for sulfur dioxide.
9VAC5-40-940. Standard for visible emissions.
9VAC5-40-950. Standard for fugitive dust/emissions.
9VAC5-40-970. Standard for toxic pollutants.
9VAC5-40-980. Compliance.
9VAC5-40-990. Test methods and procedures.
9VAC5-40-1000. Monitoring.
9VAC5-40-1010. Notification, records and reporting.
9VAC5-40-1020. Registration.
9VAC5-40-1030. Facility and control equipment maintenance or
malfunction.
9VAC5-40-1040. Permits.
Article 14--Sand-Gravel Processing; Stone Quarrying & Processing
(Effective 01/01/1985)
9VAC5-40-1820. Applicability and designation of affected facility.
9VAC5-40-1830. Definitions.
9VAC5-40-1840. Standard for particulate matter.
9VAC5-40-1850. Standard for visible emissions.
9VAC5-40-1860. Standard for fugitive dust/emissions.
9VAC5-40-1880. Standard for toxic pollutants.
9VAC5-40-1890. Compliance.
9VAC5-40-1900. Test methods and procedures.
9VAC5-40-1910. Monitoring.
9VAC5-40-1920. Notification, records and reporting.
9VAC5-40-1930. Registration.
9VAC5-40-1940. Facility and control equipment maintenance or
malfunction.
9VAC5-40-1950. Permits.
[[Page 160]]
Article 17--Woodworking Operations
(Effective 01/01/1985)
9VAC5-40-2250. Applicability and designation of affected facility.
9VAC5-40-2260. Definitions.
9VAC5-40-2270. Standard for particulate matter.
9VAC5-40-2280. Standard for visible emissions.
9VAC5-40-2290. Standard for fugitive dust/emissions.
9VAC5-40-2310. Standard for toxic pollutants.
9VAC5-40-2320. Compliance.
9VAC5-40-2330. Test methods and procedures.
9VAC5-40-2340. Monitoring.
9VAC5-40-2350. Notification, records and reporting.
9VAC5-40-2360. Registration.
9VAC5-40-2370. Facility and control equipment maintenance or
malfunction.
9VAC5-40-2380. Permits.
Article 18--Primary and Secondary Metal Operations
(Effective 01/01/1985)
9VAC5-40-2390. Applicability and designation of affected facility.
9VAC5-40-2400. Definitions.
9VAC5-40-2410. Standard for particulate matter.
9VAC5-40-2420. Standard for sulfur oxides.
9VAC5-40-2430. Standard for visible emissions.
9VAC5-40-2440. Standard for fugitive dust/emissions.
9VAC5-40-2460. Standard for toxic pollutants.
9VAC5-40-2470. Compliance.
9VAC5-40-2480. Test methods and procedures.
9VAC5-40-2490. Monitoring.
9VAC5-40-2500. Notification, records and reporting.
9VAC5-40-2510. Registration.
9VAC5-40-2520. Facility and control equipment maintenance or
malfunction.
9VAC5-40-2530. Permits.
Article 19--Lightweight Aggregate Process Operations
(Effective 01/01/1985)
9VAC5-40-2540. Applicability and designation of affected facility.
9VAC5-40-2550. Definitions.
9VAC5-40-2560. Standard for particulate matter.
9VAC5-40-2570. Standard for sulfur oxides.
9VAC5-40-2580. Standard for visible emissions.
9VAC5-40-2590. Standard for fugitive dust/emissions.
9VAC5-40-2610. Standard for toxic pollutants.
9VAC5-40-2620. Compliance.
9VAC5-40-2630. Test methods and procedures.
9VAC5-40-2640. Monitoring.
9VAC5-40-2650. Notification, records and reporting.
9VAC5-40-2660. Registration.
9VAC5-40-2670. Facility and control equipment maintenance or
malfunction.
9VAC5-40-2680. Permits.
Article 24--Solvent Metal Cleaning Operations
(Effective 03/24/2004)
9VAC5-40-3260. Applicability and designation of affected facility.
9VAC5-40-3270. Definitions.
9VAC5-40-3280. Standard for volatile organic compounds.
9VAC5-40-3290. Control technology guidelines.
9VAC5-40-3300. Standard for visible emissions.
9VAC5-40-3310. Standard for fugitive dust/emissions.
9VAC5-40-3330. Standard for toxic pollutants.
9VAC5-40-3340. Compliance.
9VAC5-40-3350. Test methods and procedures.
9VAC5-40-3360. Monitoring.
9VAC5-40-3370. Notification, records and reporting.
9VAC5-40-3380. Registration.
9VAC5-40-3390. Facility and control equipment maintenance or
malfunction.
9VAC5-40-3400. Permits.
Article 25--VOC Storage & Transfer Operations
(Effective 07/01/1991)
9VAC5-40-3410. Applicability and designation of affected facility.
9VAC5-40-3420. Definitions.
9VAC5-40-3430. Standard for volatile organic compounds.
9VAC5-40-3440. Control technology guidelines.
9VAC5-40-3450. Standard for visible emissions.
9VAC5-40-3460. Standard for fugitive dust/emissions.
9VAC5-40-3480. Standard for toxic pollutants.
9VAC5-40-3490. Compliance.
9VAC5-40-3500. Test methods and procedures.
9VAC5-40-3510. Monitoring.
9VAC5-40-3520. Notification, records and reporting.
9VAC5-40-3530. Registration.
9VAC5-40-3540. Facility and control equipment maintenance or
malfunction.
9VAC5-40-3550. Permits.
Article 34--Miscellaneous Metal Parts/Products Coating Application
(Effective 07/01/1991)
9VAC5-40-4760. Applicability and designation of affected facility.
9VAC5-40-4770. Definitions.
9VAC5-40-4780. Standard for volatile organic compounds.
9VAC5-40-4790. Control technology guidelines.
[[Page 161]]
9VAC5-40-4800. Standard for visible emissions.
9VAC5-40-4810. Standard for fugitive dust/emissions.
9VAC5-40-4830. Standard for toxic pollutants.
9VAC5-40-4840. Compliance.
9VAC5-40-4850. Test methods and procedures.
9VAC5-40-4860. Monitoring.
9VAC5-40-4870. Notification, records and reporting.
9VAC5-40-4880. Registration.
9VAC5-40-4890. Facility and control equipment maintenance or
malfunction.
9VAC5-40-4900. Permits.
Article 37--Petroleum Liquid Storage and Transfer Operations
(Effective 10/04/2006)
9VAC5-40-5200. Applicability and designation of affected facility.
9VAC5-40-5210. Definitions.
9VAC5-40-5220. Standard for volatile organic compounds.
9VAC5-40-5230. Control technology guidelines.
9VAC5-40-5240. Standard for visible emissions.
9VAC5-40-5250. Standard for fugitive dust/emissions.
9VAC5-40-5270. Standard for toxic pollutants.
9VAC5-40-5280. Compliance.
9VAC5-40-5290. Test methods and procedures.
9VAC5-40-5300. Monitoring.
9VAC5-40-5310. Notification, records and reporting.
9VAC5-40-5320. Registration.
9VAC5-40-5330. Facility and control equipment maintenance or
malfunction.
9VAC5-40-5340. Permits.
Article 41--Mobile Sources
(Effective 08/01/1991)
9VAC5-40-5650. Applicability and designation of affected facility.
9VAC5-40-5660. Definitions.
9VAC5-40-5670. Motor vehicles.
9VAC5-40-5680. Other mobile sources.
9VAC5-40-5690. Export/import of motor vehicles.
Article 42--Portable Fuel Container Spillage Control
(Effective 10/04/2006)
9VAC5-40-5700. Applicability.
9VAC5-40-5710. Definitions.
9VAC5-40-5720. Standard for volatile organic compounds.
9VAC5-40-5730. Administrative requirements.
9VAC5-40-5740. Compliance.
9VAC5-40-5750. Compliance schedule.
9VAC5-40-5760. Test methods and procedures.
9VAC5-40-5770. Notification, records and reporting.
Article 44--Hospital/medical/infectious Waste Incinerators
(Effective 07/01/2003)
9VAC5-40-6000. Applicability and designation of affected facility.
9VAC5-40-6010. Definitions.
9VAC5-40-6020. Standard for particulate matter.
9VAC5-40-6030. Standard for carbon monoxide.
9VAC5-40-6040. Standard for dioxins/furans.
9VAC5-40-6050. Standard for hydrogen chloride.
9VAC5-40-6060. Standard for sulfur dioxide.
9VAC5-40-6070. Standard for nitrogen oxides.
9VAC5-40-6080. Standard for lead.
9VAC5-40-6090. Standard for cadmium.
9VAC5-40-6100. Standard for mercury.
9VAC5-40-6110. Standard for visible emissions.
9VAC5-40-6120. Standard for fugitive dust/emissions.
9VAC5-40-6140. Standard for toxic pollutants.
9VAC5-40-6150. HMIWI operator training and qualification.
9VAC5-40-6160. Waste management plans.
9VAC5-40-6170. Inspections.
9VAC5-40-6180. Compliance, emissions testing, and monitoring.
9VAC5-40-6190. Recordkeeping and reporting.
9VAC5-40-6200. Compliance schedules.
9VAC5-40-6210. Registration.
9VAC5-40-6220. Facility and control equipment maintenance or
malfunction.
9VAC5-40-6230. Permits.
Article 45--Commercial/Industrial Solid Waste Incinerators
(Effective 09/10/2003)
9VAC5-40-6250. Applicability and designation of affected facility.
9VAC5-40-6260. Definitions.
9VAC5-40-6270. Standard for particulate matter.
9VAC5-40-6280. Standard for carbon monoxide.
9VAC5-40-6290. Standard for dioxins/furans.
9VAC5-40-6300. Standard for hydrogen chloride.
9VAC5-40-6310. Standard for sulfur dioxide.
9VAC5-40-6320. Standard for nitrogen oxides.
9VAC5-40-6330. Standard for lead.
9VAC5-40-6340. Standard for cadmium.
9VAC5-40-6350. Standard for mercury.
9VAC5-40-6360. Standard for visible emissions.
9VAC5-40-6370. Standard for fugitive dust/emissions.
9VAC5-40-6390. Standard for toxic pollutants.
9VAC5-40-6400. Operator training and qualification.
9VAC5-40-6410. Waste management plan.
9VAC5-40-6420. Compliance schedule.
9VAC5-40-6421. Compliance schedule extension.
9VAC5-40-6422. Shutdown and restart.
[[Page 162]]
9VAC5-40-6430. Operating limits.
9VAC5-40-6440. Facility and control equipment maintenance or
malfunction.
9VAC5-40-6450. Test methods and procedures.
9VAC5-40-6460. Compliance.
9VAC5-40-6470. Monitoring.
9VAC5-40-6480. Recordkeeping and reporting.
9VAC5-40-6490. Requirements for air curtain incinerators.
9VAC5-40-6500. Registration.
9VAC5-40-6510. Permits.
Article 46--Small Municipal Waste Combustors
(Effective 05/04/2005)
9VAC5-40-6550. Applicability and designation of affected facility.
9VAC5-40-6560. Definitions.
9VAC5-40-6570. Standard for particulate matter.
9VAC5-40-6580. Standard for carbon monoxide.
9VAC5-40-6590. Standard for dioxins/furans.
9VAC5-40-6600. Standard for hydrogen chloride.
9VAC5-40-6610. Standard for sulfur dioxide.
9VAC5-40-6620. Standard for nitrogen oxides.
9VAC5-40-6630. Standard for lead.
9VAC5-40-6640. Standard for cadmium.
9VAC5-40-6650. Standard for mercury.
9VAC5-40-6660. Standard for visible emissions.
9VAC5-40-6670. Standard for fugitive dust/emissions.
9VAC5-40-6690. Standard for toxic pollutants.
9VAC5-40-6700. Operator training and certification.
9VAC5-40-6710. Compliance schedule.
9VAC5-40-6720. Operating requirements.
9VAC5-40-6730. Compliance.
9VAC5-40-6740. Test methods and procedures.
9VAC5-40-6750. Monitoring.
9VAC5-40-6760. Recordkeeping.
9VAC5-40-6770. Reporting.
9VAC5-40-6780. Requirements for air curtain incinerators that burn 100
percent yard waste.
9VAC5-40-6790. Registration.
9VAC5-40-6800. Facility and control equipment maintenance or
malfunction.
9VAC5-40-6810. Permits.
Article 47--Solvent Cleaning
(Effective 03/24/2004)
9VAC5-40-6820. Applicability and designation of affected facility.
9VAC5-40-6830. Definitions.
9VAC5-40-6840. Standard for volatile organic compounds.
9VAC5-40-6850. Standard for visible emissions.
9VAC5-40-6860. Standard for fugitive dust/emissions.
9VAC5-40-6880. Standard for toxic pollutants.
9VAC5-40-6890. Compliance.
9VAC5-40-6900. Compliance schedules.
9VAC5-40-6910. Test methods and procedures.
9VAC5-40-6920. Monitoring.
9VAC5-40-6930. Notification, records and reporting.
9VAC5-40-6940. Registration.
9VAC5-40-6950. Facility and control equipment maintenance or
malfunction.
9VAC5-40-6960. Permits.
Article 48--Mobile Equipment Repair and Refinishing
(Effective 10/04/2006)
9VAC5-40-6970. Applicability and designation of affected facility.
9VAC5-40-6980. Definitions.
9VAC5-40-6990. Standard for volatile organic compounds.
9VAC5-40-7000. Standard for visible emissions.
9VAC5-40-7010. Standard for fugitive dust/emissions.
9VAC5-40-7030. Standard for toxic pollutants.
9VAC5-40-7040. Compliance.
9VAC5-40-7050. Compliance schedule.
9VAC5-40-7060. Test methods and procedures.
9VAC5-40-7070. Monitoring.
9VAC5-40-7080. Notification, records and reporting.
9VAC5-40-7090. Registration.
9VAC5-40-7100. Facility and control equipment maintenance or
malfunction.
9VAC5-40-7110. Permits.
Article 51--Stationary Sources Subject to Case-by-Case RACT
Determinations
(Effective 01/20/2010)
9VAC5-40-7370. Applicability and designation of affected facility.
9VAC5-40-7380. Definitions.
9VAC5-40-7390. Standard for volatile organic compounds (1-hour ozone
standard).
9VAC5-40-7400. Standard for volatile organic compounds (8-hour ozone
standard).
9VAC5-40-7410. Standard for nitrogen oxides (1-hour ozone standard).
9VAC5-40-7420. Standard for nitrogen oxides (8-hour ozone standard).
9VAC5-40-7430. Presumptive reasonably available control technology
guidelines for stationary sources of nitrogen oxides.
9VAC5-40-7440. Standard for visible emissions.
9VAC5-40-7450. Standard for fugitive dust/emissions.
9VAC5-40-7470. Standard for toxic pollutants.
9VAC5-40-7480. Compliance.
9VAC5-40-7490. Test methods and procedures.
9VAC5-40-7500. Monitoring.
9VAC5-40-7510. Notification, records and reporting.
9VAC5-40-7520. Registration.
9VAC5-40-7530. Facility and control equipment maintenance or
malfunction.
9VAC5-40-7540. Permits.
[[Page 163]]
Article 54--Large Municipal Waste Combustors
(Effective 07/01/2003)
9VAC5-40-7950. Applicability and designation of affected facility.
9VAC5-40-7960. Definitions.
9VAC5-40-7970. Standard for particulate matter.
9VAC5-40-7980. Standard for carbon monoxide.
9VAC5-40-7990. Standard for cadmium.
9VAC5-40-8000. Standard for lead.
9VAC5-40-8010. Standard for mercury.
9VAC5-40-8020. Standard for sulfur dioxide.
9VAC5-40-8030. Standard for hydrogen chloride.
9VAC5-40-8040. Standard for dioxin/furan.
9VAC5-40-8050. Standard for nitrogen oxides.
9VAC5-40-8060. Standard for visible emissions.
9VAC5-40-8070. Standard for fugitive dust/emissions.
9VAC5-40-8090. Standard for toxic pollutants.
9VAC5-40-8100. Compliance.
9VAC5-40-8110. Compliance schedules.
9VAC5-40-8120. Operating practices.
9VAC5-40-8130. Operator training and certification.
9VAC5-40-8150. Monitoring.
9VAC5-40-8170. Registration.
9VAC5-40-8180. Facility and control equipment maintenance or
malfunction.
9VAC5-40-8190. Permits.
Chapter 50--New and Modified Stationary Sources
Part I--Special provisions
(Effective 12/12/2007)
9VAC5-50-10. Applicability.
9VAC5-50-20. Compliance.
9VAC5-50-30. Performance testing.
9VAC5-50-40. Monitoring.
9VAC5-50-50. Notification, records and reporting.
Part II--Emission Standards
Article 1--Visible emissions and fugitive dust/emissions
(Effective 02/01/2003)
9VAC5-50-60. Applicability and designation of affected facility.
9VAC5-50-70. Definitions.
9VAC5-50-80. Standard for visible emissions.
9VAC5-50-90. Standard for fugitive dust/emissions.
9VAC5-50-100. Monitoring.
9VAC5-50-110. Test methods and procedures.
9VAC5-50-120. Waivers.
Article 4--Stationary sources
(Effective 09/01/2006)
9VAC5-50-240. Applicability and designation of affected facility.
9VAC5-50-250. Definitions.
9VAC5-50-260. Standard for stationary sources.
9VAC5-50-270. Standard for major stationary sources (nonattainment
areas).
9VAC5-50-280. Standard for major stationary sources (prevention of
significant deterioration areas).
9VAC5-50-290. Standard for visible emissions.
9VAC5-50-300. Standard for fugitive dust/emissions.
9VAC5-50-320. Standard for toxic pollutants.
9VAC5-50-330. Compliance.
9VAC5-50-340. Test methods and procedures.
9VAC5-50-350. Monitoring.
9VAC5-50-360. Notification, records and reporting.
9VAC5-50-370. Registration.
9VAC5-50-380. Facility and control equipment maintenance or malfunction.
9VAC5-50-390. Permits.
Article 5--EPA New Source Performance Standards
(Effective 03/02/2011)
9VAC5-50-400. General.
9VAC5-50-405. Authority to implement and enforce standards as authorized
by EPA.
9VAC5-50-410. Designated standards of performance.
9VAC5-50-420. Word or phrase substitutions.
Article 6--Medical waste incinerators
(Effective 06/01/1995)
9VAC5-50-430. Applicability and designation of affected facility.
9VAC5-50-440. Definitions.
9VAC5-50-450. Standard for particulate matter.
9VAC5-50-460. Standard for carbon monoxide.
9VAC5-50-470. Standard for hydrogen chloride.
9VAC5-50-480. Standard for dioxins and furans.
9VAC5-50-490. Standard for visible emissions.
9VAC5-50-500. Standard for fugitive dust/emissions.
9VAC5-50-520. Standard for toxic pollutants.
9VAC5-50-530. Standard for radioactive materials.
9VAC5-50-540. Compliance.
9VAC5-50-550. Test methods and procedures.
9VAC5-50-560. Monitoring.
9VAC5-50-570. Notification, records and reporting.
9VAC5-50-580. Registration.
9VAC5-50-590. Facility and control equipment maintenance or malfunction.
9VAC5-50-600. Permits.
Chapter 60--Hazardous Air Pollutant Sources
Part I--Special provisions
(Effective 08/01/2002)
9VAC5-60-10. Applicability.
9VAC5-60-20. Compliance.
[[Page 164]]
9VAC5-60-30. Emission testing.
9VAC5-60-40. Monitoring.
9VAC5-60-50. Notification, records and reporting.
Part II--Emission Standards
Article 1--EPA National Emissions Standards for Hazardous Air Pollutants
(Effective 03/02/2011)
9VAC5-60-60. General.
9VAC5-60-65. Authority to implement and enforce standards as authorized
by EPA.
9VAC5-60-70. Designated emission standards.
9VAC5-60-80. Word or phrase substitutions.
Article 2--EPA Maximum Achievable Control Technology Standards
(Effective 03/02/2011)
9VAC5-60-90. General.
9VAC5-60-92. Federal Hazardous Air Pollutant Program.
9VAC5-60-95. Authority to implement and enforce standards as authorized
by EPA.
9VAC5-60-100. Designated emission standards.
9VAC5-60-110. Word or phrase substitutions.
Article 3--Control Technology Determinations for Major Sources of
Hazardous Air Pollutants
(Effective 07/01/2004)
9VAC5-60-120. Applicability.
9VAC5-60-130. Definitions.
9VAC5-60-140. Approval process for new and existing affected sources.
9VAC5-60-150. Application content for case-by-case MACT determinations.
9VAC5-60-160. Preconstruction review procedures for new affected sources
subject to 9VAC5-60-140C1.
9VAC5-60-170. Maximum achievable control technology (MACT)
determinations for affected sources subject to case-by-case
determination of equivalent emission limitations.
9VAC5-60-180. Requirements for case-by-case determination of equivalent
emission limitations after promulgation of a subsequent MACT standard.
Article 4--Toxic Pollutants from Existing Sources
(Effective 05/01/2002)
9VAC5-60-200. Applicability and designation of affected facility.
9VAC5-60-210. Definitions.
9VAC5-60-220. Standard for toxic pollutants.
9VAC5-60-230. Significant ambient air concentration guidelines.
9VAC5-60-240. Submittal of information.
9VAC5-60-250. Determination of ambient air concentrations.
9VAC5-60-260. Compliance.
9VAC5-60-270. Public participation.
Article 5--Toxic Pollutants from New and Modified Sources
(Effective 05/01/2002)
9VAC5-60-300. Applicability and designation of affected facility.
9VAC5-60-310. Definitions.
9VAC5-60-320. Standard for toxic pollutants.
9VAC5-60-330. Significant ambient air concentration guidelines.
9VAC5-60-340. Submittal of information.
9VAC5-60-350. Determination of ambient air concentrations.
9VAC5-60-360. Compliance.
9VAC5-60-370. Public participation.
Chapter 70--Air Pollution Episode Prevention
(Effective 04/01/1999)
9VAC5-70-10. Applicability.
9VAC5-70-20. Definitions.
9VAC5-70-30. General.
9VAC5-70-40. Episode determination.
9VAC5-70-50. Standby emission reduction plans.
9VAC5-70-60. Control requirements.
9VAC5-70-70. Local air pollution control agency participation.
Chapter 80--Permits for Stationary Sources
Part I--Permit Actions and Public Hearings Before the Board
(Effective 11/12/2009)
9VAC5-80-5. Definitions.
9VAC5-80-15. Applicability.
9VAC5-80-25. Direct consideration of permit actions by the board.
9VAC5-80-35. Public hearings to contest permit actions.
Part II--Permit Procedures
Article 1--Federal (Title V) Operating Permits for Stationary Sources
(Effective 03/02/2011)
9VAC5-80-50. Applicability.
9VAC5-80-60. Definitions.
9VAC5-80-70. General.
9VAC5-80-80. Applications.
9VAC5-80-90. Application information required.
9VAC5-80-100. Emission caps.
9VAC5-80-110. Permit content.
9VAC5-80-120. General permits.
9VAC5-80-130. Temporary sources.
9VAC5-80-140. Permit shield.
9VAC5-80-150. Action on permit application.
9VAC5-80-160. Transfer of permits.
9VAC5-80-170. Permit renewal and expiration.
9VAC5-80-180. Permanent shutdown for emissions trading.
9VAC5-80-190. Changes to permits.
9VAC5-80-200. Administrative permit amendments.
9VAC5-80-210. Minor permit modifications.
[[Page 165]]
9VAC5-80-220. Group processing of minor permit modifications.
9VAC5-80-230. Significant modification procedures.
9VAC5-80-240. Reopening for cause.
9VAC5-80-250. Malfunction.
9VAC5-80-260. Enforcement.
9VAC5-80-270. Public participation.
9VAC5-80-280. Operational flexibility.
9VAC5-80-290. Permit review by EPA and affected states.
9VAC5-80-300. Voluntary inclusions of additional state-only requirements
as applicable state requirements in the permit.
Article 2--Permit Program (Title V) Fees for Stationary Sources
(Effective 07/18/2001)
9VAC5-80-310. Applicability.
9VAC5-80-320. Definitions.
9VAC5-80-330. General.
9VAC5-80-340. Annual permit program fee calculation.
9VAC5-80-350. Annual permit program fee payment.
Article 4--Insignificant Activities
(Effective 01/01/2001)
9VAC5-80-710. General.
9VAC5-80-720. Insignificant activities.
Article 5--State Operating Permits
(Effective 12/31/2008)
9VAC5-80-800. Applicability.
9VAC5-80-810. Definitions.
9VAC5-80-820. General.
9VAC5-80-830. Applications.
9VAC5-80-840. Application information required.
9VAC5-80-850. Standards and conditions for granting permits.
9VAC5-80-860. Action on permit application.
9VAC5-80-870. Application review and analysis.
9VAC5-80-880. Compliance determination and verification by testing.
9VAC5-80-890. Monitoring requirements.
9VAC5-80-900. Reporting requirements.
9VAC5-80-910. Existence of permit no defense.
9VAC5-80-920. Circumvention.
9VAC5-80-930. Compliance with local zoning requirements.
9VAC5-80-940. Transfer of permits.
9VAC5-80-950. Termination of permits.
9VAC5-80-960. Changes to permits.
9VAC5-80-970. Administrative permit amendments.
9VAC5-80-980. Minor permit amendments.
9VAC5-80-990. Significant amendment procedures.
9VAC5-80-1000. Reopening for cause.
9VAC5-80-1010. Enforcement.
9VAC5-80-1020. Public participation.
9VAC5-80-1030. General permits.
9VAC5-80-1040. Review and evaluation of article.
Article 6--Permits for New and Modified Stationary Sources
(Effective 06/24/2009)
9VAC5-80-1100. Applicability.
9VAC5-80-1110. Definitions.
9VAC5-80-1120. General.
9VAC5-80-1140. Applications.
9VAC5-80-1150. Application information required.
9VAC5-80-1160. Action on permit application.
9VAC5-80-1170. Public participation.
9VAC5-80-1180. Standards and conditions for granting permits.
9VAC5-80-1190. Application review and analysis.
9VAC5-80-1200. Compliance determination and verification by performance
testing.
9VAC5-80-1210. Permit invalidation, suspension, revocation and
enforcement.
9VAC5-80-1220. Existence of permit no defense.
9VAC5-80-1230. Compliance with local zoning requirements.
9VAC5-80-1240. Transfer of permits.
9VAC5-80-1250. General permits.
9VAC5-80-1260. Changes to permits.
9VAC5-80-1270. Administrative permit amendments.
9VAC5-80-1280. Minor permit amendments.
9VAC5-80-1290. Significant amendment procedures.
9VAC5-80-1300. Reopening for cause.
9VAC5-80-1320. Permit exemption levels.
Article 7--Permits for New and Reconstructed Major Sources of HAPs
(Effective 12/31/2008)
9VAC5-80-1400. Applicability.
9VAC5-80-1410. Definitions.
9VAC5-80-1420. General.
9VAC5-80-1430. Applications.
9VAC5-80-1440. Application information required.
9VAC5-80-1450. Action on permit application.
9VAC5-80-1460. Public participation.
9VAC5-80-1470. Standards and conditions for granting permits.
9VAC5-80-1480. Application review and analysis.
9VAC5-80-1490. Compliance determination and verification by performance
testing.
9VAC5-80-1500. Permit invalidation, rescission, revocation and
enforcement.
9VAC5-80-1510. Existence of permit no defense.
9VAC5-80-1520. Compliance with local zoning requirements.
9VAC5-80-1530. Transfer of permits.
9VAC5-80-1540. Changes to permits.
9VAC5-80-1550. Administrative permit amendments.
9VAC5-80-1560. Minor permit amendments.
[[Page 166]]
9VAC5-80-1570. Significant amendment procedures.
9VAC5-80-1580. Reopening for cause.
9VAC5-80-1590. Requirements for constructed or reconstructed major
sources subject to a subsequently promulgated MACT standard or MACT
requirements.
Article 8--Permits for Major Stationary Sources and Modifications--PSD
Areas
(Effective 03/02/2011)
9VAC5-80-1605. Applicability.
9VAC5-80-1615. Definitions.
9VAC5-80-1625. General.
9VAC5-80-1635. Ambient air increments.
9VAC5-80-1645. Ambient air ceilings.
9VAC5-80-1655. Applications.
9VAC5-80-1665. Compliance with local zoning requirements.
9VAC5-80-1675. Compliance determination and verification by performance
testing.
9VAC5-80-1685. Stack heights.
9VAC5-80-1695. Exemptions.
9VAC5-80-1705. Control technology review.
9VAC5-80-1715. Source impact analysis.
9VAC5-80-1725. Air quality models.
9VAC5-80-1735. Air quality analysis.
9VAC5-80-1745. Source information.
9VAC5-80-1755. Additional impact analyses.
9VAC5-80-1765. Sources affecting federal class I areas--additional
requirements.
9VAC5-80-1773. Action on permit application.
9VAC5-80-1775. Public participation.
9VAC5-80-1785. Source obligation.
9VAC5-80-1795. Environmental impact statements.
9VAC5-80-1805. Disputed permits.
9VAC5-80-1815. Interstate pollution abatement.
9VAC5-80-1825. Innovative control technology.
9VAC5-80-1865. Actuals plantwide applicability limits (PALs).
9VAC5-80-1915. Actions to combine permit terms and conditions.
9VAC5-80-1925. Actions to change permits.
9VAC5-80-1935. Administrative permit amendments.
9VAC5-80-1945. Minor permit amendments.
9VAC5-80-1955. Significant amendment procedures.
9VAC5-80-1965. Reopening for cause.
9VAC5-80-1975. Transfer of permits.
9VAC5-80-1985. Permit invalidation, suspension, revocation, and
enforcement.
9VAC5-80-1995. Existence of permit no defense.
Article 9--Permits for Major Stationary Sources and Modifications--
Nonattainment Areas
(Effective 03/02/2011)
9VAC5-80-2000. Applicability.
9VAC5-80-2010. Definitions.
9VAC5-80-2020. General.
9VAC5-80-2030. Applications.
9VAC5-80-2040. Application information required.
9VAC5-80-2050. Standards and conditions for granting permits.
9VAC5-80-2060. Action on permit application.
9VAC5-80-2070. Public participation.
9VAC5-80-2080. Compliance determination and verification by performance
testing.
9VAC5-80-2090. Application review and analysis.
9VAC5-80-2091. Source obligation.
9VAC5-80-2110. Interstate pollution abatement.
9VAC5-80-2120. Offsets.
9VAC5-80-2130. De minimis increases and stationary source modification
alternatives for ozone nonattainment areas classified as serious or
severe in 9VAC5-20-204.
9VAC5-80-2140. Exemptions.
9VAC5-80-2144. Actuals plantwide applicability limits (PALs).
9VAC5-80-2150. Compliance with local zoning requirements.
9VAC5-80-2170. Transfer of permits.
9VAC5-80-2180. Permit invalidation, suspension, revocation and
enforcement.
9VAC5-80-2190. Existence of permit no defense.
9VAC5-80-2195. Actions to combine permit terms and conditions.
9VAC5-80-2200. Actions to change permits.
9VAC5-80-2210. Administrative permit amendments.
9VAC5-80-2220. Minor permit amendments.
9VAC5-80-2230. Significant amendment procedures.
9VAC5-80-2240. Reopening for cause.
Article 10--Permit Application Fees for Stationary Sources
(Effective 12/01/2004)
9VAC5-80-2250. Applicability.
9VAC5-80-2260. Definitions.
9VAC5-80-2270. General.
9VAC5-80-2280. Permit application fee calculation.
9VAC5-80-2290. Permit application fee payment.
9VAC5-80-2300. Credit for payment of permit application fees.
Chapter 85--Permits for Stationary Sources of Pollutants Subject to
Regulation (Greenhouse Gas Tailoring)
(Effective 01/02/2011)
Part I--Applicability
9VAC5-85-10. Applicability.
Part II--Federal (Title V) operating permit actions
9VAC5-85-20. Federal (Title V) operating permit actions.
9VAC5-85-30. Definitions.
[[Page 167]]
Part III--Prevention of Significant Deterioration Area permit actions
9VAC5-85-40. Prevention of significant deterioration area permit
actions.
9VAC5-85-50. Definitions.
Part IV--State operating permit actions
9VAC5-85-60. State operating permit actions.
9VAC5-85-70. Definitions.
Chapter 130--Open Burning
(Effective 03/18/2009)
Part I--General Provisions
9VAC5-130-10. Applicability.
9VAC5-130-20. Definitions.
9VAC5-130-30. Open burning prohibitions.
9VAC5-130-40. Permissible open burning.
9VAC5-130-50. Forest management and agricultural practices.
9VAC5-130-60. Waivers.
Part II--Local Ordinances
9VAC5-130-100. Local ordinances on open burning.
Chapter 150--Transportation Conformity
(Effective 01/01/1998)
Part I--General Definitions
9VAC5-150-10. General.
9VAC5-150-20. Terms defined.
Part II--General Provisions
9VAC5-150-30. Applicability.
9VAC5-150-40. Authority of board and DEQ.
9VAC5-150-80. Relationship of state regulations to federal regulations.
Part III--Criteria and Procedures for Making Conformity Determinations
9VAC5-150-110. Priority.
9VAC5-150-120. Frequency of conformity determinations.
9VAC5-150-130. Consultation.
9VAC5-150-140. Content of transportation plans.
9VAC5-150-150. Relationship of transportation plan and TIP conformity
with the NEPA process.
9VAC5-150-160. Fiscal constraints for transportation plans and TIPs.
9VAC5-150-170. Criteria and procedures for determining conformity of
transportation plans, programs, and projects: General.
9VAC5-150-180. Criteria and procedures: latest planning assumptions.
9VAC5-150-190. Criteria and procedures: latest emissions model.
9VAC5-150-200. Criteria and procedures: consultation.
9VAC5-150-210. Criteria and procedures: timely implementation of TCMs.
9VAC5-150-220. Criteria and procedures: currently conforming
transportation plan and TIP.
9VAC5-150-230. Criteria and procedures: projects from a plan and TIP.
9VAC5-150-240. Criteria and procedures: localized CO and PM
10 violations (hot spots).
9VAC5-150-250. Criteria and procedures: compliance with PM 10
control measures.
9VAC5-150-260. Criteria and procedures: motor vehicle emissions budget
(transportation plan).
9VAC5-150-270. Criteria and procedures: motor vehicle emissions budget
(TIP).
9VAC5-150-280. Criteria and procedures: motor vehicle emissions budget
(project not from a plan and TIP).
9VAC5-150-290. Criteria and procedures: localized CO violations (hot
spots) in the interim period.
9VAC5-150-300. Criteria and procedures: interim period reductions in
ozone and CO areas (transportation plan).
9VAC5-150-310. Criteria and procedures: interim period reductions in
ozone and CO areas (TIP).
9VAC5-150-320. Criteria and procedures: interim period reductions for
ozone and CO areas (project not from a plan and TIP).
9VAC5-150-330. Criteria and procedures: interim period reductions for PM
10 and NO2 areas (transportation plan).
9VAC5-150-340. Criteria and procedures: interim period reductions for PM
10 and NO2 areas (TIP).
9VAC5-150-350. Criteria and procedures: interim period reductions for PM
10 and NO2 areas (project not from a plan and
TIP).
9VAC5-150-360. Transition from the interim period to the control
strategy period.
9VAC5-150-370. Requirements for adoption or approval of projects by
recipients of funds designated under Title 23 USC or the Federal Transit
Act.
9VAC5-150-380. Procedures for determining regional transportation-
related emissions.
9VAC5-150-390. Procedures for determining localized CO and PM
10 concentrations (hot-spot analysis).
9VAC5-150-400. Using the motor vehicle emissions budget in the
applicable implementation plan (or implementation plan submission).
9VAC5-150-410. Enforceability of design concept and scope and project-
level mitigation and control measures.
9VAC5-150-420. Exempt projects.
9VAC5-150-430. Projects exempt from regional emissions analyses.
9VAC5-150-440. Special provisions for nonattainment areas which are not
required to demonstrate reasonable further progress and attainment.
9VAC5-150-450. Review and confirmation of this chapter by board.
[[Page 168]]
Chapter 151--Transportation Conformity
(Effective 03/02/2011)
Part I--General Definitions
9VAC5-151-10. Definitions.
Part II--General Provisions
9VAC5-151-20. Applicability.
9VAC5-151-30. Authority of board and DEQ.
Part III--Criteria and Procedures for Making Conformity Determinations
9VAC5-151-40. General.
9VAC5-151-50. Designated provisions.
9VAC5-151-60. Word or phrase substitutions.
9VAC5-151-70. Consultation.
Chapter 160--General Conformity
(Effective 03/02/2011)
Part I--General Definitions
9VAC5-160-10. General.
9VAC5-160-20. Terms defined.
Part II--General Provisions
9VAC5-160-30. Applicability.
9VAC5-160-40. Authority of board and department.
9VAC5-160-80. Relationship of state regulations to federal regulations.
Part III--Criteria and procedures for making conformity determinations
9VAC5-160-110. General.
9VAC5-160-120. Conformity analysis.
9VAC5-160-130. Reporting requirements.
9VAC5-160-140. Public participation.
9VAC5-160-150. Frequency of conformity determinations.
9VAC5-160-160. Criteria for determining conformity.
9VAC5-160-170. Procedures for conformity determinations.
9VAC5-160-180. Mitigation of air quality impacts.
9VAC5-160-190. Savings provision.
9VAC5-160-200. Review and confirmation of this chapter by board.
Chapter 500--Exclusionary General Permit for Title V Permit
(Effective 07/01/1997)
Part I--Definitions
9VAC5-500-10. General.
9VAC5-500-20. Terms defined.
Part II--General Provisions
9VAC5-500-30. Purpose.
9VAC5-500-40. Applicability.
9VAC5-500-50. General.
9VAC5-500-60. Existence of permit no defense.
9VAC5-500-70. Circumvention.
9VAC5-500-80. Enforcement of a general permit.
Part III--General permit administrative procedures
9VAC5-500-90. Requirements for department issuance of authority to
operate under the general permit.
9VAC5-500-100. Applications for coverage under the general permit.
9VAC5-500-110. Required application information.
9VAC5-500-120. General permit content.
9VAC5-500-130. Issuance of an authorization to operate under the general
permit.
9VAC5-500-140. Transfer of authorizations to operate under the general
permit.
Part IV--General permit terms and conditions
9VAC5-500-150. Emissions levels and requirements.
9VAC5-500-160. Emissions levels.
9VAC5-500-170. Compliance determination and verification by emission
testing.
9VAC5-500-180. Compliance determination and verification by emission
monitoring.
9VAC5-500-190. Recordkeeping requirements.
9VAC5-500-200. Reporting requirements.
9VAC5-500-210. Compliance certifications.
9VAC5-500-220. Consequences of failure to remain below emissions levels.
9VAC5-500-230. Enforcement.
9VAC5-500-240. Review and evaluation of regulation.
(2) [Reserved]
[57 FR 40806, Sept. 4, 1992]
Editorial Note: For Federal Register citations affecting appendix A
to Part 55, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
Effective Date Note: At 83 FR 30052, June 27, 2018, appendix A to
part 55 was amended by revising paragraph (a)(1) under the heading ``New
Jersey,'' effective July 27, 2018. For the convenience of the user, the
revised text is set forth as follows:
Sec. Appendix A to Part 55--Listing of State and Local Requirements
Incorporated by Reference Into Part 55, by State
* * * * *
NEW JERSEY
(a) * * *
(1) The following State of New Jersey requirements are applicable to
OCS Sources, as of January 16, 2018. New Jersey State Department of
Environmental Protection--New Jersey Administrative Code. The following
sections of Title 7:
[[Page 169]]
Chapter 27 Subchapter 2--Control and Prohibition of Open Burning
(Effective 6/20/1994)
N.J.A.C. 7:27-2.1. Definitions
N.J.A.C. 7:27-2.2. Open burning for salvage operations
N.J.A.C. 7:27-2.3. Open burning of refuse
N.J.A.C. 7:27-2.4. General provisions
N.J.A.C. 7:27-2.6. Prescribed burning
N.J.A.C. 7:27-2.7. Emergencies
N.J.A.C. 7:27-2.8. Dangerous material
N.J.A.C. 7:27-2.12. Special permit
N.J.A.C. 7:27-2.13. Fees
Chapter 27 Subchapter 3--Control and Prohibition of Smoke From
Combustion of Fuel (Effective 2/4/2002)
N.J.A.C. 7:27-3.1. Definitions
N.J.A.C. 7:27-3.2. Smoke emissions from stationary indirect heat
exchangers
N.J.A.C. 7:27-3.3. Smoke emissions from marine installations
N.J.A.C. 7:27-3.4. Smoke emissions from the combustion of fuel in mobile
sources
N.J.A.C. 7:27-3.5. Smoke emissions from stationary internal combustion
engines and stationary turbine engines
N.J.A.C. 7:27-3.6. Stack test
N.J.A.C. 7:27-3.7. Exceptions
Chapter 27 Subchapter 4--Control and Prohibition of Particles From
Combustion of Fuel (Effective 4/20/2009)
N.J.A.C. 7:27-4.1. Definitions
N.J.A.C. 7:27-4.2. Standards for the emission of particles
N.J.A.C. 7:27-4.3. Performance test principle
N.J.A.C. 7:27-4.4. Emissions tests
N.J.A.C. 7:27-4.6. Exceptions
Chapter 27 Subchapter 5--Prohibition of Air Pollution (Effective 10/12/
1977)
N.J.A.C. 7:27-5.1. Definitions
N.J.A.C. 7:27-5.2. General provisions
Chapter 27 Subchapter 6--Control and Prohibition of Particles From
Manufacturing Processes (Effective 6/12/1998)
N.J.A.C. 7:27-6.1. Definitions
N.J.A.C. 7:27-6.2. Standards for the emission of particles
N.J.A.C. 7:27-6.3. Performance test principles
N.J.A.C. 7:27-6.4. Emissions tests
N.J.A.C. 7:27-6.5. Variances
N.J.A.C. 7:27-6.7. Exceptions
Chapter 27 Subchapter 7--Sulfur (Effective 11/6/2017)
N.J.A.C. 7:27-7.1. Definitions
N.J.A.C. 7:27-7.2. Control and prohibition of air pollution from sulfur
compounds
Chapter 27 Subchapter 8--Permits and Certificates for Minor Facilities
(and Major Facilities Without an Operating Permit) (Effective 1/16/2018)
N.J.A.C. 7:27-8.1. Definitions
N.J.A.C. 7:27-8.2. Applicability
N.J.A.C. 7:27-8.3. General provisions
N.J.A.C. 7:27-8.4. How to apply, register, submit a notice, or renew
N.J.A.C. 7:27-8.5. Air quality impact analysis
N.J.A.C. 7:27-8.6. Service fees
N.J.A.C. 7:27-8.7. Operating certificates
N.J.A.C. 7:27-8.8. General permits
N.J.A.C. 7:27-8.9. Environmental improvement pilot tests
N.J.A.C. 7:27-8.11. Standards for issuing a permit
N.J.A.C. 7:27-8.12. State of the art
N.J.A.C. 7:27-8.13. Conditions of approval
N.J.A.C. 7:27-8.14. Denials
N.J.A.C. 7:27-8.15. Reporting requirements
N.J.A.C. 7:27-8.16. Revocation
N.J.A.C. 7:27-8.17. Changes to existing permits and certificates
N.J.A.C. 7:27-8.18. Permit revisions
N.J.A.C. 7:27-8.19. Compliance plan changes
N.J.A.C. 7:27-8.20. Seven-day notice changes
N.J.A.C. 7:27-8.21. Amendments
N.J.A.C. 7:27-8.23. Reconstruction
N.J.A.C. 7:27-8.24. Special provisions for construction but not
operation
N.J.A.C. 7:27-8.25. Special provisions for pollution control equipment
or pollution prevention process modifications
N.J.A.C. 7:27-8.27. Special facility-wide permit provisions
Appendix 1
Chapter 27 Subchapter 9--Sulfur in Fuels (Effective 9/20/2010)
N.J.A.C. 7:27-9.1. Definitions
N.J.A.C. 7:27-9.2. Sulfur content standards
N.J.A.C. 7:27-9.3. Exemptions
N.J.A.C. 7:27-9.4. Waiver of air quality modeling
Chapter 27 Subchapter 10--Sulfur in Solid Fuels (Effective 9/6/2011)
N.J.A.C. 7:27-10.1. Definitions
N.J.A.C. 7:27-10.2. Sulfur contents standards
N.J.A.C. 7:27-10.3. Expansion, reconstruction or construction of solid
fuel burning units
N.J.A.C. 7:27-10.4. Exemptions
N.J.A.C. 7:27-10.5. SO2 emission rate determinations
Chapter 27 Subchapter 11--Incinerators (Effective 5/4/1998)
N.J.A.C. 7:27-11.1. Definitions
N.J.A.C. 7:27-11.2. Construction standards
N.J.A.C. 7:27-11.3. Emission standards
N.J.A.C. 7:27-11.4. Permit to construct; certificate to operate
N.J.A.C. 7:27-11.5. Operation
N.J.A.C. 7:27-11.6. Exceptions
[[Page 170]]
Chapter 27 Subchapter 12--Prevention and Control of Air Pollution
Emergencies (Effective 5/20/1974)
N.J.A.C. 7:27-12.1. Definitions
N.J.A.C. 7:27-12.2. Emergency criteria
N.J.A.C. 7:27-12.3. Criteria for emergency termination
N.J.A.C. 7:27-12.4. Standby plans
N.J.A.C. 7:27-12.5. Standby orders
Table I Emission Reduction Objectives
Table II Emission Reduction Objectives
Table III Emission Reduction Objectives
Chapter 27 Subchapter 16--Control and Prohibition of Air Pollution by
Volatile Organic Compounds (Effective 1/16/2018)
N.J.A.C. 7:27-16.1. Definitions
N.J.A.C. 7:27-16.1A. Purpose, scope, applicability, and severability
N.J.A.C. 7:27-16.2. VOC stationary storage tanks
N.J.A.C. 7:27-16.3. Gasoline transfer operations
N.J.A.C. 7:27-16.4. VOC transfer operations, other than gasoline
N.J.A.C. 7:27-16.5. Marine tank vessel loading and ballasting operations
N.J.A.C. 7:27-16.6. Open top tanks and solvent cleaning operations
N.J.A.C. 7:27-16.7. Surface coating and graphic arts operations
N.J.A.C. 7:27-16.8. Boilers
N.J.A.C. 7:27-16.9. Stationary combustion turbines
N.J.A.C. 7:27-16.10. Stationary reciprocating engines
N.J.A.C. 7:27-16.12. Surface coating operations at mobile equipment
repair and refinishing facilities
N.J.A.C. 7:27-16.13. Flares
N.J.A.C. 7:27-16.16. Other source operations
N.J.A.C. 7:27-16.17. Alternative and facility-specific VOC control
requirements
N.J.A.C. 7:27-16.18. Leak detection and repair
N.J.A.C. 7:27-16.19. Application of cutback and emulsified asphalts
N.J.A.C. 7:27-16.21. Natural gas pipelines
N.J.A.C. 7:27-16.22. Emission information, record keeping and testing
N.J.A.C. 7:27-16.23. Procedures for demonstrating compliance
N.J.A.C. 7:27-16.27. Exceptions
Appendix I
Appendix II
Chapter 27 Subchapter 18--Control and Prohibition of Air Pollution From
New or Altered Sources Affecting Ambient Air Quality (Emission Offset
Rules) (Effective 11/6/2017)
N.J.A.C. 7:27-18.1. Definitions
N.J.A.C. 7:27-18.2. Facilities subject to this subchapter
N.J.A.C. 7:27-18.3. Standards for issuance of permits
N.J.A.C. 7:27-18.4. Air quality impact analysis
N.J.A.C. 7:27-18.5. Standards for use of emission reductions as emission
offsets
N.J.A.C. 7:27-18.6. Emission offset postponement
N.J.A.C. 7:27-18.7. Determination of a net emission increase or a
significant net emission increase
N.J.A.C. 7:27-18.8. Banking of emission reductions
N.J.A.C. 7:27-18.9. Secondary emissions
N.J.A.C. 7:27-18.10. Exemptions
N.J.A.C. 7:27-18.12. Civil or criminal penalties for failure to comply
Chapter 27 Subchapter 19--Control and Prohibition of Air Pollution From
Oxides of Nitrogen (Effective 1/16/2018)
N.J.A.C. 7:27-19.1. Definitions
N.J.A.C. 7:27-19.2. Purpose, scope and applicability
N.J.A.C. 7:27-19.3. General provisions
N.J.A.C. 7:27-19.4. Boilers serving electric generating units
N.J.A.C. 7:27-19.5. Stationary combustion turbines
N.J.A.C. 7:27-19.6. Emissions averaging
N.J.A.C. 7:27-19.7. Industrial/commercial/institutional boilers and
other indirect heat exchangers
N.J.A.C. 7:27-19.8. Stationary reciprocating engines
N.J.A.C. 7:27-19.11. Emergency generators--recordkeeping
N.J.A.C. 7:27-19.13. Alternative and facility-specific NOX
emission limits
N.J.A.C. 7:27-19.14. Procedures for obtaining approvals under this
subchapter
N.J.A.C. 7:27-19.15. Procedures and deadlines for demonstrating
compliance
N.J.A.C. 7:27-19.16. Adjusting combustion processes
N.J.A.C. 7:27-19.17. Source emissions testing
N.J.A.C. 7:27-19.18. Continuous emissions monitoring
N.J.A.C. 7:27-19.19. Recordkeeping and recording
N.J.A.C. 7:27-19.20. Fuel switching
N.J.A.C. 7:27-19.21. Phased compliance--repowering
N.J.A.C. 7:27-19.23. Phased compliance--use of innovative control
technology
N.J.A.C. 7:27-19.25. Exemption for emergency use of fuel oil
N.J.A.C. 7:27-19.26. Penalties
Chapter 27 Subchapter 20--Used Oil Combustion (Effective 9/6/2011)
N.J.A.C. 7:27-20.1. Definitions
N.J.A.C. 7:27-20.2. General provisions
N.J.A.C. 7:27-20.3. Burning of on-specification used oil in space
heaters covered by a registration
N.J.A.C. 7:27-20.4. Burning of on-specification used oil in space
heaters covered by a permit
[[Page 171]]
N.J.A.C. 7:27-20.5. Demonstration that used oil is on-specification
N.J.A.C. 7:27-20.6. Burning of on-specification oil in other combustion
units
N.J.A.C. 7:27-20.7. Burning of off-specification used oil
N.J.A.C. 7:27-20.8. Ash standard
N.J.A.C. 7:27-20.9. Exception
Chapter 27 Subchapter 21--Emission Statements (Effective 1/16/2018)
N.J.A.C. 7:27-21.1. Definitions
N.J.A.C. 7:27-21.2. Applicability
N.J.A.C. 7:27-21.3. General provisions
N.J.A.C. 7:27-21.4. Procedures for submitting an emission statement
N.J.A.C. 7:27-21.5. Required contents of an emission statement
N.J.A.C. 7:27-21.6. Methods to be used for quantifying actual emissions
N.J.A.C. 7:27-21.7. Recordkeeping requirements
N.J.A.C. 7:27-21.8. Certification of information
N.J.A.C. 7:27-21.9. Request for extensions
N.J.A.C. 7:27-21.10. Determination of non-applicability
N.J.A.C. 7:27-21.11. Severability
Appendix 1
Chapter 27 Subchapter 22--Operating Permits (Effective 1/16/2018)
N.J.A.C. 7:27-22.1. Definitions
N.J.A.C. 7:27-22.2. Applicability
N.J.A.C. 7:27-22.3. General provisions
N.J.A.C. 7:27-22.4. General application procedures
N.J.A.C. 7:27-22.5. Application procedures for initial operating permits
N.J.A.C. 7:27-22.6. Operating permit application contents
N.J.A.C. 7:27-22.7. Application shield
N.J.A.C. 7:27-22.8. Air quality simulation modeling and risk assessment
N.J.A.C. 7:27-22.9. Compliance plans
N.J.A.C. 7:27-22.10. Completeness reviews
N.J.A.C. 7:27-22.11. Public comment
N.J.A.C. 7:27-22.12. EPA comment
N.J.A.C. 7:27-22.13. Final action on an application
N.J.A.C. 7:27-22.14. General operating permits
N.J.A.C. 7:27-22.15. Temporary facility operating permits
N.J.A.C. 7:27-22.16. Operating permit contents
N.J.A.C. 7:27-22.17. Permit shield
N.J.A.C. 7:27-22.18. Source emissions testing and monitoring
N.J.A.C. 7:27-22.19. Recordkeeping, reporting and compliance
certification
N.J.A.C. 7:27-22.20. Administrative amendments
N.J.A.C. 7:27-22.21. Changes to insignificant source operations
N.J.A.C. 7:27-22.22. Seven-day-notice changes
N.J.A.C. 7:27-22.23. Minor modifications
N.J.A.C. 7:27-22.24. Significant modifications
N.J.A.C. 7:27-22.24A. Reconstruction
N.J.A.C. 7:27-22.25. Department initiated operating permit modifications
N.J.A.C. 7:27-22.26. MACT and GACT standards
N.J.A.C. 7:27-22.27. Operating scenarios
N.J.A.C. 7:27-22.28A. Emissions trading
N.J.A.C. 7:27-22.28B. Facility-specific emissions averaging programs
N.J.A.C. 7:27-22.29. Facilities subject to acid deposition control
N.J.A.C. 7:27-22.30. Renewals
N.J.A.C. 7:27-22.31. Fees
N.J.A.C. 7:27-22.32. Hearings and appeals
N.J.A.C. 7:27-22.33. Preconstruction review
N.J.A.C. 7:27-22.34. Early reduction of HAP emissions
N.J.A.C. 7:27-22.35. Advances in the art of air pollution
Appendix
Table A
Chapter 27B Subchapter 1--Sampling and Analytical Procedures for
Determining Emissions of Particles From Manufacturing Processes and From
Combustion of Fuels (Effective 6/21/1976)
N.J.A.C. 7:27B-1.1. Definitions
N.J.A.C. 7:27B-1.2. Acceptable test methods
N.J.A.C. 7:27B-1.3. Operating conditions during the test
N.J.A.C. 7:27B-1.4. Sampling facilities to be provided by the person
responsible for emissions
N.J.A.C. 7:27B-1.5. Sampling train
N.J.A.C. 7:27B-1.6. Performance test principle
N.J.A.C. 7:27B-1.7. General testing requirements
N.J.A.C. 7:27B-1.8. Required test data
N.J.A.C. 7:27B-1.9. Preparation for sampling
N.J.A.C. 7:27B-1.10. Sampling
N.J.A.C. 7:27B-1.11. Sample recovery
N.J.A.C. 7:27B-1.12. Analysis
N.J.A.C. 7:27B-1.13. Calculations
N.J.A.C. 7:27B-1.14. Validation of test
Chapter 27B Subchapter 2--Procedures for Visual Determination of the
Opacity (Percent) and Shade or Appearance (Ringelmann Number) of
Emissions From Sources (Effective 6/21/1976)
N.J.A.C. 7:27B-2.1. Definitions
N.J.A.C. 7:27B-2.2. Acceptable observation methods
N.J.A.C. 7:27B-2.3. Observation principle
N.J.A.C. 7:27B-2.4. General observation requirements
N.J.A.C. 7:27B-2.5. Required observation data
N.J.A.C. 7:27B-2.6. Certification
References
Appendix
[[Page 172]]
Chapter 27B Subchapter 3--Air Test Method 3: Sampling and Analytical
Procedures for the Determination of Volatile Organic Compounds From
Source Operations (Effective 12/1/2008)
N.J.A.C. 7:27B-3.1. Definitions
N.J.A.C. 7:27B-3.2. Sampling and analytical protocol: Acceptable test
methods
N.J.A.C. 7:27B-3.3. Operating conditions during the test
N.J.A.C. 7:27B-3.4. Sampling facilities
N.J.A.C. 7:27B-3.5. Source operations and applicable test methods
N.J.A.C. 7:27B-3.6. Procedures for the determinations of vapor pressures
of a single known VOC or mixtures of known and/or unknown VOC
N.J.A.C. 7:27B-3.7. Procedures for the direct measurement of volatile
organic compounds using a flame ionization detector (FID), a
photoionization detector (PID) or a non-dispersive infrared
analyzer (NDIR)
N.J.A.C. 7:27B-3.8. Procedures for the direct measurement of volatile
organic compounds using a gas chromatograph (GC) with a flame
ionization detector (FID) or other suitable detector
N.J.A.C. 7:27B-3.9. Procedures for the sampling and remote analysis of
known volatile organic compounds using a gas chromatograph
(GC) with a flame ionization detector (FID) or other suitable
detector
N.J.A.C. 7:27B-3.10. Procedures for the determination of volatile
organic compounds in surface coating formulations
N.J.A.C. 7:27B-3.11. Procedures for the determination of volatile
organic compounds emitted from transfer operations using a
flame ionization detector (FID) or non-dispersive infrared
analyzer (NDIR)
N.J.A.C. 7:27B-3.12. Procedures for the determination of volatile
organic compounds in cutback and emulsified asphalts
N.J.A.C. 7:27B-3.13. Procedures for the determination of leak tightness
of gasoline delivery vessels
N.J.A.C. 7:27B-3.14. Procedures for the direct detection of fugitive
volatile organic compound leaks
N.J.A.C. 7:27B-3.15. Procedures for the direct detection of fugitive
volatile organic compound leaks from gasoline tank trucks and
vapor collection systems using a combustible gas detector
N.J.A.C. 7:27B-3.18. Test methods and sources incorporated by reference
* * * * *
PART 56_REGIONAL CONSISTENCY--Table of Contents
Sec.
56.1 Definitions.
56.2 Scope.
56.3 Policy.
56.4 Mechanisms for fairness and uniformity--Responsibilities of
Headquarters employees.
56.5 Mechanisms for fairness and uniformity--Responsibilities of
Regional Office employees.
56.6 Dissemination of policy and guidance.
56.7 State agency performance audits.
Authority: Sec. 301(a)(2) of the Clean Air Act as amended (42 U.S.C.
7601).
Source: 45 FR 85405, Dec. 24, 1980, unless otherwise noted.
Sec. 56.1 Definitions.
As used in this part, all terms not defined herein have the meaning
given them in the Clean Air Act.
Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq.).
Administrator, Deputy Administrator, Assistant Administrator,
General Counsel, Associate General Counsel, Deputy Assistant
Administrator, Regional Administrator, Headquarters, Staff Office,
Operational Office, and Regional Office are described in part 1 of this
title.
Mechanism means an administrative procedure, guideline, manual, or
written statement.
Program directive means any formal written statement by the
Administrator, the Deputy Administrator, the Assistant Administrator, a
Staff Office Director, the General Counsel, a Deputy Assistant
Administrator, an Associate General Counsel, or a division Director of
an Operational Office that is intended to guide or direct Regional
Offices in the implementation or enforcement of the provisions of the
act.
Responsible official means the EPA Administrator or any EPA employee
who is accountable to the Administrator for carrying out a power or duty
delegated under section 301(a)(1) of the act, or is accountable in
accordance with EPA's formal organization for a particular program or
function as described in part 1 of this title.
Sec. 56.2 Scope.
This part covers actions taken by:
(a) Employees in EPA Regional Offices, including Regional
Administrators, in carrying out powers and duties delegated by the
Administrator under section 301(a)(1) of the act; and
[[Page 173]]
(b) EPA employees in Headquarters to the extent that they are
responsible for developing the procedures to be employed or policies to
be followed by Regional Offices in implementing and enforcing the act.
Sec. 56.3 Policy.
It is EPA's policy to:
(a) Assure fair and uniform application by all Regional Offices of
the criteria, procedures, and policies employed in implementing and
enforcing the act;
(b) Provide mechanisms for identifying and correcting
inconsistencies by standardizing criteria, procedures, and policies
being employed by Regional Office employees in implementing and
enforcing the act; and
(c) Insure an adequate quality audit for each State's performance in
implementing and enforcing the act.
(d) Recognize that only the decisions of the U.S. Supreme Court and
decisions of the U.S. Court of Appeals for the D.C. Circuit Court that
arise from challenges to ``nationally applicable regulations . . . or
final action,'' as discussed in Clean Air Act section 307(b) (42 U.S.C.
7607(b)), shall apply uniformly, and to provide for exceptions to the
general policy stated in paragraphs (a) and (b) of this section with
regard to decisions of the federal courts that arise from challenges to
``locally or regionally applicable'' actions, as provided in Clean Air
Act section 307(b) (42 U.S.C. 7607(b)).
[45 FR 85405, Dec. 24, 1980, as amended at 81 FR 51113, Aug. 3, 2016]
Sec. 56.4 Mechanisms for fairness and uniformity--Responsibilities of
Headquarters employees.
(a) The Administrator shall include, as necessary, with any rule or
regulation proposed or promulgated under parts 51 and 58 of this chapter
\1\ mechanisms to assure that the rule or regulation is implemented and
enforced fairly and uniformly by the Regional Offices.
---------------------------------------------------------------------------
\1\ Part 51 is entitled, ``Requirements for Preparation, Adoption,
and Submittal of Implementation Plans.'' Part 58 is entitled, ``Ambient
Air Quality Surveillance.''
---------------------------------------------------------------------------
(b) The determination that a mechanism required under paragraph (a)
of this section is unnecessary for a rule or regulation shall be
explained in writing by the responsible EPA official and included in the
supporting documentation or the relevant docket.
(c) The Administrator shall not be required to issue new mechanisms
or revise existing mechanisms developed under paragraphs (a) of this
section to address the inconsistent application of any rule, regulation,
or policy that may arise in response to the limited jurisdiction of
either a federal circuit court decision arising from challenges to
``locally or regionally applicable'' actions, as provided in Clean Air
Act section 307(b) (42 U.S.C. 7607(b)), or a federal district court
decision.
[45 FR 85405, Dec. 24, 1980, as amended at 81 FR 51113, Aug. 3, 2016]
Sec. 56.5 Mechanisms for fairness and uniformity--Responsibilities of
Regional Office employees.
(a) Each responsible official in a Regional Office, including the
Regional Administrator, shall assure that actions taken under the act:
(1) Are carried out fairly and in a manner that is consistent with
the Act and Agency policy as set forth in the Agency rules and program
directives,
(2) Are as consistent as reasonably possible with the activities of
other Regional Offices, and
(3) Comply with the mechanisms developed under Sec. 56.4 of this
part.
(b) A responsible official in a Regional office shall seek
concurrence from the appropriate EPA Headquarters office on any
interpretation of the Act, or rule, regulation, or program directive
when such interpretation may result in application of the act or rule,
regulation, or program directive that is inconsistent with Agency
policy. However, the responsible official in a Regional office will not
be required to seek such concurrence from the appropriate EPA
Headquarters office for actions that may result in inconsistent
application if such inconsistent application is required in order to act
in accordance with a federal court decision:
(1) Issued by a Circuit Court in challenges to ``locally or
regionally applicable'' actions, as provided in Clean Air Act section
307(b) (42 U.S.C. 7607(b)), if
[[Page 174]]
that circuit court has direct jurisdiction over the geographic areas
that the Regional office official is addressing, or (2) Issued by a
district court in a specific case if the party the Regional office
official is addressing was also a party in the case that resulted in the
decision.
(c) In reviewing State Implementation Plans, the Regional Office
shall follow the provisions of the guideline, revisions to State
Implementation Plans--Procedures for Approval/Disapproval Actions, OAQPS
No. 1.2-005A, or revision thereof. Where regulatory actions may involve
inconsistent application of the requirements of the act, the Regional
Offices shall classify such actions as special actions.
[45 FR 85405, Dec. 24, 1980, as amended at 81 FR 51114, Aug. 3, 2016]
Sec. 56.6 Dissemination of policy and guidance.
The Assistant Administrators of the Offices of Air, Noise and
Radiation, and of Enforcement, and the General Counsel shall establish
as expeditiously as practicable, but no later than one year after
promulgation of this part, systems to disseminate policy and guidance.
They shall distribute material under foregoing systems to the Regional
Offices and State and local agencies, and shall make the material
available to the public. Air programs policy and guideline systems shall
contain the following:
(a) Compilations of relevant EPA program directives and guidance,
except for rules and regulations, concerning the requirements under the
Act.
(b) Procedures whereby each Headquarters program office and staff
office will enter new and revised guidance into the compilations and
cause superseded guidance to be removed.
(c) Additional guidance aids such as videotape presentations,
workshops, manuals, or combinations of these where the responsible
Headquarters official determines they are necessary to inform Regional
Offices, State and local agencies, or the public about EPA actions.
Sec. 56.7 State agency performance audits.
(a) EPA will utilize the provisions of subpart B, Program Grants, of
part 35 of this chapter, which require yearly evaluations of the manner
in which grantees use Federal monies, to assure that an adequate
evaluation of each State's performance in implementing and enforcing the
act is performed.
(b) Within 60 days after comment is due from each State grantee on
the evaluation report required by Sec. 35.538 of this chapter, the
Regional Administrator shall incorporate or include any comments, as
appropriate, and publish notice of availability of the evaluation report
in the Federal Register.
PART 57_PRIMARY NONFERROUS SMELTER ORDERS--Table of Contents
Subpart A_General
Sec.
57.101 Purpose and scope.
57.102 Eligibility.
57.103 Definitions.
57.104 Amendment of the NSO.
57.105 Submittal of required plans, proposals, and reports.
57.106 Expiration date.
57.107 The State or local agency's transmittal to EPA.
57.108 Comparable existing SIP provisions.
57.109 Maintenance of pay.
57.110 Reimbursement of State or local agency.
57.111 Severability of provisions.
Subpart B_The Application and the NSO Process
57.201 Where to apply.
57.202 How to apply.
57.203 Contents of the application.
57.204 EPA action on second period NSOs which have already been issued.
57.205 Submission of supplementary information upon relaxation of an
SO2 SIP emission limitation.
Subpart C_Constant Controls and Related Requirements
57.301 General requirements.
57.302 Performance level of interim constant controls.
57.303 Total plantwide emission limitation.
57.304 Bypass, excess emissions and malfunctions.
57.305 Compliance monitoring and reporting.
[[Page 175]]
Subpart D_Supplementary Control System Requirements
57.401 General requirements.
57.402 Elements of the supplementary control system.
57.403 Written consent.
57.404 Measurements, records, and reports.
57.405 Formulation, approval, and implementation of requirements.
Subpart E_Fugitive Emission Evaluation and Control
57.501 General requirements.
57.502 Evaluation.
57.503 Control measures.
57.504 Continuing evaluation of fugitive emission control measures.
57.505 Amendments of the NSO.
Subpart F_Research and Development Requirements
57.601 General requirements.
57.602 Approval of proposal.
57.603 Criteria for approval.
57.604 Evaluation of projects.
57.605 Consent.
57.606 Confidentiality.
Subpart G_Compliance Schedule Requirements
57.701 General requirements.
57.702 Compliance with constant control emission limitation.
57.703 Compliance with the supplementary control system requirements.
57.704 Compliance with fugitive emission evaluation and control
requirements.
57.705 Contents of SIP Compliance Schedule required by Sec. 57.201(d)
(2) and (3).
Subpart H_Waiver of Interim Requirement for Use of Continuous Emission
Reduction Technology
57.801 Purpose and scope.
57.802 Request for waiver.
57.803 Issuance of tentative determination; notice.
57.804 Request for hearing; request to participate in hearing.
57.805 Submission of written comments on tentative determination.
57.806 Presiding Officer.
57.807 Hearing.
57.808 Opportunity for cross-examination.
57.809 Ex parte communications.
57.810 Filing of briefs, proposed findings, and proposed
recommendations.
57.811 Recommended decision.
57.812 Appeal from or review of recommended decision.
57.813 Final decision.
57.814 Administrative record.
57.815 State notification.
57.816 Effect of negative recommendation.
Appendix A to Part 57--Primary Nonferrous Smelter Order (NSO)
Application
Authority: Secs. 110, 114, 119, 301, Clean Air Act, as amended (42
U.S.C. 7410, 7414, 7419, and 7601); sec. 406 of Pub. L. 95-95.
Source: 50 FR 6448, Feb. 15, 1985, unless otherwise noted.
Subpart A_General
Sec. 57.101 Purpose and scope.
(a) Applicability of the regulations. The regulations in subparts A
through H govern:
(1) The eligibility of smelters for a Primary Nonferrous Smelter
Order (NSO) under section 119 of the Clean Air Act;
(2) The procedures through which an NSO can be approved or issued by
EPA; and
(3) The minimum contents of each NSO required for EPA issuance or
approval under section 119. Subpart I et seq., will contain NSOs in
effect for individual smelters.
(b) State authority to adopt more stringent requirements. Nothing in
this part shall preclude a State from imposing more stringent
requirements, as provided by section 116 of the Clean Air Act.
Sec. 57.102 Eligibility.
(a) A primary copper, lead, zinc, molybdenum, or other nonferrous
smelter is eligible for an NSO if it meets the following conditions:
(1) The smelter was in existence and operating on August 7, 1977;
(2) The smelter is subject to an approved or promulgated sulfur
dioxide (SO2) State Implementation Plan (SIP) emission
limitation which is adequate to ensure that National Ambient Air Quality
Standards (NAAQS) for SO2 are achieved without the use of any
unauthorized dispersion techniques; and
(3) The Administrator determines, based on a showing by the smelter
owner, that no means of emission limitation applicable to the smelter
which would enable it to comply with its SIP stack emission limitation
for SO2 has been adequately demonstrated to be
[[Page 176]]
reasonably available (taking into account the cost of compliance, nonair
quality health and environmental impact, and energy considerations) in
accordance with Sec. 57.201(d)(1).
(b) For the purposes of these regulations:
(1) The following means of emission limitation shall be considered
adequately demonstrated for nonferrous smelters. (Taking into account
nonair quality health and environmental impact and energy
considerations, but not the cost of compliance).
(i) Retrofit control technologies. (A) Sulfuric acid plant in
conjunction with an adequately demonstrated replacement technology or
process modification;
(B) Magnesium oxide (concentration) scrubbing;
(C) Lime/limestone scrubbing; and
(D) Ammonia scrubbing.
(ii) Replacement or process modifications. (A) Flash smelting;
(B) Oxygen enrichment;
(C) Supplemental sulfur burning in conjunction with acid plant;
(D) Electric Furnace;
(E) Noranda process;
(F) Fluid bed roaster;
(G) Continuous smelting (Mitsubishi) process; and
(H) Strong stream/weak stream gas blending.
(2) Each adequately demonstrated means of emission limitation which
would enable a smelter to comply with its SIP emission limitation for
SO2 shall be considered applicable to the smelter unless the
smelter operator demonstrates that the use of a particular system at
that smelter is technically unreasonable, for reasons specific to that
site.
(3) An applicable means of emission limitation which would enable a
smelter to comply with its SIP emission limitation for SO2
shall be considered adequately demonstrated to be reasonably available
to the smelter (taking into account the cost of compliance) if the
information submitted under Secs. 57.107(a) and 57.203(b) (plus any
necessary supplemental information) shows, according to the criteria,
procedures, and tests contained in appendix A to this part and in
accordance with Sec. 57.201(d)(1), that both of the following two tests
are met.
(i) The rate of return test. The present value of the smelter's
future net cash flow (during and after investment in constant control
technology) is more than book value of the smelter's net investment in
constant dollars.
(ii) The profit protection test. The constant control technology
expenditure reduces the present value of the smelter's forecast pretax
profits by less than 50%.
(c) When applying for an NSO, a smelter must establish, for purposes
of applying the financial eligibility tests, which adequately
demonstrated constant control technology applicable to that smelter is
the most economically feasible for use at that smelter.
[50 FR 6448, Feb. 15, 1985, as amended at 51 FR 10211, Mar. 25, 1986]
Sec. 57.103 Definitions.
(a) The Act means the Clean Air Act, as amended.
(b) Active use refers to an SO2 constant control system
installed at a smelter before August 7, 1977 and not totally removed
from regular service by that date.
(c) Adequate SO2 emission limitation means a SIP emission
limitation which was approved or promulgated by EPA as adequate to
attain and maintain the NAAQS in the areas affected by the stack
emissions without the use of any unauthorized dispersion technique.
(d) Administrative Law Judge means an administrative law judge
appointed under 5 U.S.C. 3105 (see also 5 CFR part 930, as amended by 37
FR 16787), and is synonymous with the term ``Hearing Examiner'' as
formerly used in Title 5 of the U.S. Code.
(e) The Administrator means the Administrator of the U.S.
Environmental Protection Agency, or the Administrator's authorized
representative.
(f) Ambient air shall have the meaning given by 40 CFR 50.1(e), as
that definition appears upon promulgation of this subpart, or as
hereafter amended.
(g) Ambient air quality refers only to concentrations of sulfur
dioxide in the ambient air, unless otherwise specified.
(h) An approved measure refers to one contained in an NSO which is
in effect.
[[Page 177]]
(i) Assistant Administrator for Air and Radiation means the
Assistant Administrator for Air and Radiation of the U.S. Environmental
Protection Agency.
(j) Constant controls, control technology, and continuous emission
reduction technology mean systems which limit the quantity, rate, or
concentration, excluding the use of dilution, and emissions of air
pollutants on a continuous basis.
(k) Effective date of an NSO means the effective date listed in the
Federal Register publication of EPA's issuance or approval of an NSO.
(l) EPA and the Agency means the Administrator of the U.S.
Environmental Protection Agency, or the Administrator's authorized
representative.
(m) Fugitive emissions means any air pollutants emitted to the
atmosphere other than from a stack.
(n) Issuance of an NSO means the final transmittal of the NSO
pursuant to Sec. 57.107(a) by an issuing agency (other than EPA) to EPA
for approval, or the publication of an NSO issued by EPA in the Federal
Register.
(o) Issuing agency, unless otherwise specifically indicated, means
the State or local air pollution control agency to which a smelter's
owner has applied for an NSO, or which has issued the NSO, or EPA, when
the NSO application has been made to EPA. Any showings or demonstrations
required to be made under this part to the issuing agency, when not EPA,
are subject to independent determinations by EPA.
(p) Malfunction means any unanticipated and unavoidable failure of
air pollution control equipment or process equipment or of a process to
operate in a normal or usual manner. Failures that are caused entirely
or in part by poor design, poor maintenance, careless operation, or any
other preventable upset condition or preventable equipment breakdown
shall not be considered malfunctions. A malfunction exists only for the
minimum time necessary to implement corrective measures.
(q) Maximum production capacity means either the maximum
demonstrated rate at which a smelter has produced its principal metallic
final product under the process equipment configuration and operating
procedures prevailing on or before August 7, 1977, or a rate which the
smelter is able to demonstrate by calculation is attainable with process
equipment existing on August 7, 1977. The rate may be expressed as a
concentrate feed rate to the smelter.
(r) NAAQS and National Ambient Air Quality Standards, unless
otherwise specified, refer only to the National Primary and Secondary
Ambient Air Quality Standards for sulfur dioxide.
(s) Scheduled maintenance means any periodic procedure, necessary to
maintain the integrity or reliability of emissions control performance,
which can be anticipated and scheduled in advance. In sulfuric acid
plants, it includes among other items the screening or replacement of
catalyst, the re-tubing of heat exchangers, and the routine repair and
cleaning of gas handling/cleaning equipment.
(t) Smelter owner and operator means the owner or operator of the
smelter, without distinction.
(u) Supplementary control system (SCS) means any technique for
limiting the concentration of a pollutant in the ambient air by varying
the emissions of that pollutant according to atmospheric conditions. For
the purposes of this part, the term supplementary control system does
not include any dispersion technique based solely on the use of a stack
the height of which exceeds good engineering practice (as determined
under regulations implementing section 123 of the Act).
(v) Unauthorized dispersion technique refers to any dispersion
technique which, under section 123 of the Act and the regulations
promulgated pursuant to that section, may not be used to reduce the
degree of emission limitation otherwise required in the applicable SIP.
(w) Unless otherwise specified in this part, all terms shall have
the same meaning given them by the Act.
[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]
Sec. 57.104 Amendment of the NSO.
An NSO shall be amended whenever necessary for compliance with the
requirements and purposes of this part.
[[Page 178]]
(a)(1) Issuance of amendment. A State or local issuing agency may
issue an amendment of any NSO it has issued. Any amendment issued by a
State or local issuing agency shall be subject to approval by EPA to the
same extent as was the original NSO. Any smelter owner may apply to the
agency which originally issued its NSO for an amendment of the NSO at
any time. Such an application shall be accompanied by whatever
documentation is required by that agency (or EPA) to support the
requested amendment.
(2)(i) Notwithstanding the requirements of paragraph (a)(1) of this
section, amendments to SIP compliance schedule interim compliance dates
in State-issued NSO's need not be submitted for EPA approval if the
amendment does not delay the interim date by more than three months from
the date as approved by the Administrator and if the final compliance
date is unchanged. Delays longer than 3 months shall be handled
according to the provisions of Sec. 57.104(a)(1).
(ii) Changes made in accordance with this subparagraph may be
effective immediately but must be submitted to EPA within seven days.
EPA will give public notice of receipt of such changes by publication of
a Notice in the Federal Register.
(3) In any case in which the issuing agency fails to issue an
amendment necessary for compliance with the requirements and purposes of
this part, EPA may, after first giving the issuing Agency notice, issue
such amendment.
(b) Revision of SCS Manual. Operation in accordance with the revised
provisions of an SCS operational manual (see Sec. 57.402(e)) shall not
be considered a violation of an NSO while the application for approval
of those revisions as NSO amendments is pending before the issuing
agency (or EPA) for approval: Provided, that:
(1) No violations of NAAQS occur in the smelter's Designated
Liability Area during that time; and
(2) The smelter operator has not been informed by the issuing agency
or EPA that its application is not adequately documented, unless such
deficiency has been remedied promptly.
(c) Notice and opportunity for hearing. Notice and opportunity for
public hearing shall be provided before issuance of all major
amendments.
Sec. 57.105 Submittal of required plans, proposals, and reports.
(a) The failure of a smelter owner to submit any plan, report,
document or proposal as required by its NSO or by this part shall
constitute a violation of its NSO.
(b) If the Administrator determines that a nonferrous smelter is in
violation of a requirement contained in an NSO approved under these
regulations, the Administrator shall, as provided by section 119(f) of
the Act:
(1) Enforce such requirement under section 113 (a), (b), or (c) of
the Act;
(2) Revoke the order after notice and opportunity for hearing;
(3) Give notice of noncompliance and commence action under section
120 of the act; or
(4) Take any appropriate combinations of these actions.
(c) Under section 304 of the Act, any person may commence a civil
action against an owner or operator of a smelter which is alleged to be
in violation or any order approved under this part.
Sec. 57.106 Expiration date.
Each NSO shall state its expiration date. No NSO issued under this
regulation shall expire later than January 1, 1988.
Sec. 57.107 The State or local agency's transmittal to EPA.
(a) Content and bases of the State or local agency's NSO. Issuance
of an NSO by a State or local agency shall be completed by the issuing
agency's transmittal to the appropriate EPA Regional Office of:
(1) The text of the NSO;
(2) The application submitted by the smelter owner, except for
appendix A to this part, all correspondence between the issuing agency
and the applicant relating to the NSO, and any material submitted in
support of the application;
(3) A concise statement of the State or local agency's findings and
their bases; and
[[Page 179]]
(4) All documentation or analyses prepared by or for the issuing
agency in support of the NSO.
(b) The State or local agency's enforcement plan. The transmittal
under paragraph (a) of this section shall be accompanied by a
description of the issuing agency's plans for monitoring compliance with
and enforcement of the NSO. The transmittal shall also include a
description of the resources which will be used to implement those
plans. If the enforcement plans appear inadequate, EPA may require that
the NSO be modified such that the NSO will be adequately enforced.
Sec. 57.108 Comparable existing SIP provisions.
Notwithstanding any other provision of this part, an NSO may contain
provisions to which the affected smelter is subject under the applicable
EPA-approved State Implementation Plan (SIP) for sulfur dioxide in lieu
of the corresponding provisions which would otherwise be required under
this part if the Administrator determines that those SIP provisions are
substantially equivalent to the corresponding NSO provisions which would
otherwise be required, and if the Administrator determines that the
smelter is in substantial compliance with those SIP provisions. For the
purposes of this section, provisions to which the affected smelter is
subject under the applicable EPA-approved State Implementation Plan are
those which became effective before the smelter owner applied for the
NSO.
Sec. 57.109 Maintenance of pay.
The Administrator will not approve or issue an NSO for any smelter
unless he has approved or promulgated SIP provisions which are
applicable to the smelter and which satisfy the requirements of section
110(a)(6) of the Clean Air Act.
Sec. 57.110 Reimbursement of State or local agency.
As a condition of issuing an NSO, any issuing agency may require the
smelter operator to pay a fee to the State or local agency sufficient to
defray the issuing agency's expenses in issuing and enforcing the NSO.
Sec. 57.111 Severability of provisions.
The provisions promulgated in this part and the various applications
thereof are distinct and severable. If any provision of this part or the
application thereof to any person or circumstances is held invalid, such
invalidity shall not affect other provisions, or the application of such
provisions to other persons or circumstances, which can be given effect
without the invalid provision of application.
Subpart B_The Application and the NSO Process
Sec. 57.201 Where to apply.
Any eligible smelter may apply for an NSO to the appropriate EPA
Regional Office or to the appropriate State or local air pollution
control agency.
(a) When application is made to EPA, all parts of the application
required to be submitted under this subpart shall be sent directly to
the Director, Stationary Source Compliance Division (EN-341), U.S.
Environmental Protection Agency, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460, Attention: Confidential Information Unit. In
addition, the smelter owner shall send a copy of the application, except
that part required to be submitted under Sec. 57.203(b) (eligibility),
directly to the appropriate EPA Regional Office.
(b) When application is made to the appropriate State or local
agency, the smelter owner shall submit one complete copy of all parts of
the application required to be submitted under this subpart to that
agency, in addition to the application requirements contained in
paragraph (a) of this section. If the smelter owner is requesting an
advance eligibility determination pursuant to Sec. 57.203(b), such
request must be made in writing and shall accompany the copy of the
application being sent to the Director of the Stationary Source
Compliance Division of the Environmental Protection Agency.
(c) If the smelter owner is requesting a waiver of the interim
constant control requirement of Sec. 57.301, such request must be sent
directly to the Director, Stationary Source Compliance
[[Page 180]]
Division, at the time of application, in accordance with Sec. 57.802.
(d) The NSO Process. (1) A smelter desiring an NSO shall apply for
an NSO by submitting an application under subpart B including the
financial information required in appendix A and including the
information necessary to make the determinations required by this
subparagraph and Sec. 57.201(d)(2). The issuing agency shall analyze the
financial information according to the financial eligibility test
prescribed by subpart A and described in appendix A. The issuing Agency
shall then determine whether the smelter is able to comply with its SIP
on or before the date required in the SIP by installing adequately
demonstrated technology which is reasonably available. See also
Sec. 57.102(a)(3). If the test demonstrates that adequately demonstrated
technology is not reasonably available to the smelter to allow it to
comply with the SIP by the required compliance date, the smelter is
eligible for an NSO.
(2)(i) If the smelter is determined to be eligible for an NSO under
paragraph (d)(1) of this section, the issuing Agency shall apply the
appendix A financial eligibility tests again before issuing an NSO in
order to determine if the smelter can comply with its SIP requirements
on or before January 1, 1988 by installing adequately demonstrated
technology which is reasonably available.
(ii) If application of the tests shows that the smelter could comply
by or before January 1, 1988, the issuing agency shall notify the
smelter of this determination, and shall not issue an NSO to the smelter
unless the NSO contains a SIP compliance schedule meeting the
requirements of Sec. 57.705. Such a compliance schedule must provide for
compliance with the smelter's SO2 SIP as expeditiously as
practicable and in no case later than January 1, 1988. A smelter must
submit to the issuing agency information necessary to determine a
compliance schedule meeting the requirements of Sec. 57.705. This
information shall be submitted by a smelter within thirty days after the
smelter is notified by the issuing agency that a SIP compliance schedule
is required. The Administrator may consider an NSO application to be
withdrawn for SIP enforcement purposes if a smelter fails to submit such
information within the time required under this paragraph.
(iii) If no adequately demonstrated technology is found to be
reasonably available to enable a smelter to comply by January 1, 1988,
it would be excused from the compliance schedule requirement in
Sec. 57.201(d)(2)(ii), but it would be subject to reevaluation of its
ability to comply by that date at any time during the term of the NSO.
(See Sec. 57.201(d)(3)).
(3) At any time during the term of an NSO which does not contain a
SIP compliance schedule, EPA or the issuing agency may reevaluate the
availability of technology to the smelter. If EPA or the issuing agency
determines that adequately demonstrated technology is reasonably
available to permit the smelter to comply with its SIP by or before
January 1, 1988, the NSO shall be amended within 3 months time after
such determination. The amendment shall require compliance with all SIP
requirements by or before January 1, 1988, and shall include a
compliance schedule meeting the requirements of Sec. 57.705. The
determination that adequately demonstrated technology is reasonably
available shall be made by reapplying the same appendix A financial
eligibility tests required by subpart B, updated by economic data
reflecting current operating conditions and currently demonstrated
control technology. Any such determination and amendment shall be
governed by the provisions of this part and section 119 of the Clean Air
Act.
(4) Notice and opportunity for public hearing in accordance with
section 119 of the Clean Air Act must be provided before issuance of any
NSO.
(e) A smelter that does not have any constant SO2
controls or whose existing constant SO2 controls when in full
operation and optimally maintained are not sufficient to treat all
strong SO2 streams may apply for a waiver of the requirements
of subpart C to install interim constant controls by submitting an
application under subpart H. A waiver may be granted only with respect
to the requirement to eliminate bypass of constant controls
[[Page 181]]
through the installation of new constant control equipment, not with
respect to the requirements for optimum maintenance and operation of
existing equipment. EPA shall then determine the smelter's ability to
afford installation of the required additional interim constant
SO2 control equipment at the smelter based on financial
eligibility information analyzed according to the financial test
prescribed in appendix A. A waiver of the requirement for additional
interim constant controls will be granted if EPA determines in
accordance with the procedures of subpart H that imposition of this
requirement would necessitate closure of the smelter for at least one
year.
Sec. 57.202 How to apply.
(a) Letter of intent. To initiate an application for an NSO, the
owner or operator of a smelter shall send a letter of intent to an
appropriate air pollution control agency. The letter of intent shall
contain a statement of the owner's intent to apply for an NSO, and an
agreement to provide any information required under this part. The
letter of intent shall be signed by a corporate official authorized to
make such commitments. Upon receipt of any letter of intent by the
issuing agency, the SIP emission limitation for sulfur dioxide, as to
that applicant, shall be deemed suspended for 60 days. The 60 day
suspension may be extended for good cause at the discretion of the
Administrator.
(b) Complete application. (1) Within the period referred to in
paragraph (a) of this section, the smelter owner shall submit its
completed application pursuant to Sec. 57.201. Receipt of all parts of a
substantially complete application postmarked within the original or
extended application period shall be deemed to continue the suspension
of the SIP emission limitation for SO2 until the issuing
agency issues or declines to issue an NSO. This suspension shall in all
cases terminate, however, 90 days after receipt of the substantially
completed application, unless extended for good cause at the discretion
of the Administrator. If, in the Administrator's judgment, good faith
effort has been made to submit a complete application, additional time
may be granted to allow for correction of minor deficiencies.
(2) If an issuing agency transmits an NSO to EPA for approval before
the expiration of the suspension of the Federal SIP emission limitation,
the suspension shall continue until EPA approves or disapproves the NSO.
Sec. 57.203 Contents of the application.
(a) Claim of confidentiality. The smelter owner may make a business
confidentiality claim covering all or part of the information in the NSO
application in accordance with 40 CFR part 2, subpart B (41 FR 36906 et
seq., Sept. 1, 1976 as amended by 43 FR 39997 et seq., Sept. 8, 1978). A
claim is effective only if it is made at the time the material is
submitted to the issuing agency or EPA. A claim shall be made by
attaching to the information a notice of confidentiality. Information
claimed as confidential will be handled by EPA under the provisions of
40 CFR part 2, subpart B. If no claim accompanies the information, it
may be made available to the public without further notice.
(b) Each smelter owner shall make the showing required by
Sec. 57.102(a)(3) by completing and submitting appendix A to this part
and any necessary supplemental information to the issuing agency as a
part of its application. Each smelter shall also submit as part of its
application the information which, in conjunction with the information
required by appendix A, is necessary for the issuing agency to make the
determination required by Sec. 57.201(d)(2). Any smelter owner or State
may, at its option, simultaneously submit this material to EPA for an
advance eligibility determination.
(c) Current operating information. A complete NSO application shall
also contain the following information:
(1) A process flow diagram of the smelter, including current process
and instrumentation diagrams for all processes or equipment which may
emit or affect the emission of sulfur dioxide; the characteristics of
all gas streams emitted from the smelter's process equipment (flow
rates, temperature, volumes, compositions, and variations over time);
and a list of all monitoring data and strip charts, including all
[[Page 182]]
data, charts, logs or sheets kept with respect to the operation of any
process equipment which may emit or affect the emission of sulfur
dioxide;
(2) The smelter's maximum daily production capacity (as defined in
Sec. 57.103(r)), the operational rate (in pounds of concentrate charged
to the smelting furnace per hour) of each major piece of process
equipment when the smelter is operating at that capacity; and the
smelter's average and maximum daily production rate for each product,
co-product, or by-product, by year, for the past four years;
(3) The optimal conversion efficiency (defined in terms of percent
of total SO2 removed from the input flow stream) of any acid
plant or other sulfur dioxide control system under the normal process
operating conditions (excluding malfunctions) most conducive to optimal
conversion efficiency;
(4) The average conversion efficiency of any acid plant or other
sulfur dioxide control system during normal process operations
(excluding malfunctions), by month, during the past four years.
(5) The percent of the time the acid plant or other control system
was available for service during each month for the past four years,
excluding downtime for scheduled maintenance, and a full explanation of
any major or recurring problems with the system during that time;
(6) The frequency and duration of times during the past four years
when the SO2 system was unavailable because of scheduled
maintenance of the system;
(7) A description of all scheduled, periodic, shutdowns of the
smelter during the past four years, including their purpose, frequency
and duration; and the same information with respect to unscheduled
shutdowns;
(8) The gas volume, rates, and SO2 concentration which
the control system was actually designed to accommodate, taking into
account any modifications made after its installation;
(9) The average monthly sulfur balance across the process and
control equipment, including fugitive emissions, for the past 4 years;
and
(10) A description of engineering techniques now in use at the
smelter to prevent the release of fugitive emissions into the atmosphere
at low elevations.
(d) The smelter owner's proposals. The smelter owner shall submit as
part of its application, draft NSO provisions which would implement the
requirements of subparts C through G of this part. The issuing agency
may use these proposals as the basis for any NSO that may be granted, or
may modify these proposals in any way it deems necessary in order to
comply with the requirements of this part.
(e) A smelter may submit as part of its application, information
necessary to determine any SIP compliance schedule which might be
required under Sec. 57.201(d)(2).
(f) Additional information. The smelter owner shall designate in its
application a corporate officer responsible and authorized to supply
supplemental technical and economic information and explanations as
required by the issuing agency during the formulation of the NSO.
Failure to supply such information and explanations shall constitute a
failure to submit a complete application.
(g) Request for a waiver of constant controls. Any request for a
waiver of the requirement interim constant control of all strpmg streams
of Sec. 57.301 shall be made in accordance with Sec. 57.802. The
criteria and procedures for granting the waiver are governed by subpart
H of this part.
(h) Unless a smelter applies for a waiver in accordance with subpart
H, a smelter shall submit as part of its application a proposed schedule
for compliance with the interim constant control requirements of subpart
C which satisfies the requirements of Sec. 57.702.
Sec. 57.204 EPA action on second period NSOs which have already been
issued.
(a) EPA may approve a second period NSO issued by a State before the
date of publication of these regulations in the Federal Register,
without requiring a complete reapplication under this subpart and new
State proceedings, provided:
[[Page 183]]
(1) The second period NSO was issued by the State consistent with
the procedural requirements of section 119 of the Clean Air Act;
(2) EPA can make a determination that the smelter is eligible for a
second period NSO and whether the smelter can comply with its
SO2 SIP limits on or before January 1, 1988 under the
financial eligibility tests in these regulations on the basis of
available information and such supplementary information as the Agency
may request the smelter to submit; and
(3) The provisions of the NSO are consistent with the requirements
of these regulations.
(b) Should EPA require a smelter to submit information before taking
final action on an NSO referred to in paragraph (a), of this section, it
shall specify a reasonable period for submission of such information in
light of the nature of the information being required. The duration of
such period shall not exceed the period allowed for submission of a
complete application under Sec. 57.202 (a) and (b).
(c) The Agency shall consider the SIP emission limitation for
SO2 to be suspended with respect to a smelter which received
an NSO described in subpart A until EPA takes final action on such NSO.
Such suspension shall terminate if the smelter does not submit
supplementary information within the time specified under paragraph (b).
Sec. 57.205 Submission of supplementary information upon relaxation
of an SO2 SIP emission limitation.
(a) In the event an SO2 SIP limit is relaxed subsequent
to EPA approval or issuance of a second period NSO, the smelter issued
the NSO shall submit to the issuing agency and EPA such supplementary
information that EPA considers appropriate for purposes of determining
whether the means of compliance with the new SIP limit are adequately
demonstrated to be reasonably available under the financial eligibility
tests specified in Sec. 57.102(b)(3). The smelter shall submit such
information within sixty days of notification by EPA. This time limit
may be extended by EPA for good cause.
(b) Upon receipt of any supplementary information required under
paragraph (a), the issuing agency shall promptly reevaluate the
availability of the means of compliance with the new SIP limit under the
NSO eligibility tests specified in Sec. 57.102(b)(3). If the issuing
agency determines that the demonstrated control technology necessary to
attain the new SO2 SIP limit is adequately demonstrated to be
reasonably available under the eligibility tests, so as to permit the
smelter to comply with the new SIP limit on or before January 1, 1988,
the NSO shall be amended within the time contemplated by Sec. 57.202(a)
after receipt of the supplementary information. Such amendment shall
require compliance with the new SO2 SIP limit as
expeditiously as practicable in accordance with Sec. 57.201(d)(3). The
issuing agency, if not EPA, shall promptly submit its determination and
any necessary NSO amendments to EPA.
(c) EPA shall take action to approve or disapprove the issuing
agency's determination and NSO amendment, if any, within a reasonable
time after receipt of such determination and amendment.
(d) If EPA disapproves the issuing agency's determination or NSO
amendment, or if a smelter fails to submit any supplementary information
as required under paragraph (a), EPA and/or the issuing agency shall
take appropriate remedial action. EPA shall take appropriate remedial
action if the issuing agency does not make any determination and
amendment required by this section within the time contemplated by
Sec. 57.202(a).
Subpart C_Constant Controls and Related Requirements
Sec. 57.301 General requirements.
Each NSO shall require an interim level of sulfur dioxide constant
controls to be operated at the smelter, unless a waiver of this
requirement has been granted to the owner under subpart H of this part.
Except as otherwise provided in Sec. 57.304, the interim constant
controls shall be properly operated and maintained at all times. The NSO
shall require the following gas streams to be treated by interim
constant controls:
[[Page 184]]
(a) In copper smelters, off-gases from fluidized bed roasters, flash
furnaces, NORANDA reactors, electric furnaces and copper converters;
(b) In lead smelters, off-gases from the front end of the sintering
machine and any other sinter gases which are recirculated;
(c) In zinc smelters, off-gases from mult-hearth roasters, flash
roasters and fluidized bed roasters; and
(d) In all primary nonferrous smelters, all other strong
SO2 streams.
(e) In all primary nonferrous smelters, any other process streams
which were regularly or intermittently treated by constant controls at
the smelter as of August 7, 1977.
Sec. 57.302 Performance level of interim constant controls.
(a) Maximum feasible efficiency. Each NSO shall require: that the
smelter operate its interim constant control systems at their maximum
feasible efficiency, including the making of any improvements necessary
to correct the effects of any serious deficiencies; that the process and
control equipment be maintained in the way best designed to ensure such
operation; and that process operations be scheduled and coordinated to
facilitate treatment of process gas streams to the maximum possible
extent. Maximum feasible efficiency shall be expressed in the NSO in the
form of a limitation on the concentration of SO2 in the tail
gas of each individual control system in combination with an appropriate
averaging period, as provided below in paragraphs (b) and (c) of this
section.
(b) The limitation level for SO2 concentration in the
control system tail gas. The level at which the concentration limitation
is set shall take into account fluctuations in the strength and volume
of process off-gases to the extent that those fluctuations affect the
SO2 content of the tail gas and cannot be avoided by improved
scheduling and coordination of process operations. The limitation shall
exclude the effect of any increase in emissions caused by process or
control equipment malfunction. The limitation shall take into account
unavoidable catalyst deterioration in sulfuric acid plants, but may
prescribe the frequency of catalyst screening or replacement. The NSO
shall also prohibit the smelter owner from using dilution air to meet
the limitation.
(c) Averaging period. (1) The averaging period shall be derived in
combination with the concentration limitation and shall take into
account the same factors described in paragraph (b). The averaging
period established under this paragraph should generally not exceed the
following:
(i) For sulfuric acid plants on copper smelters, 12-hour running
average;
(ii) For sulfuric acid plants on lead smelters, 6-hour running
average;
(iii) For sulfuric acid plants on zinc smelters, 2-hour running
average;
(iv) For dimethylaniline (DMA) scrubbing units on copper smelters,
2-hour running average.
(2) A different averaging period may be established if the applicant
demonstrates that such a period is necessary in order to account for the
factors described in paragraph (b) of this section: Provided, that the
period is enforceable and satisfies the criteria of paragraph (a) of
this section.
(d) Improved performance. (1) The performance level representing
maximum feasible efficiency for any existing control system (e.g., a
sulfuric acid plant or a DMA scrubber) shall require the correction of
the effects of any serious deficiencies in the system. For the purpose
of this paragraph, at least the following problems shall constitute
serious deficiencies in acid plants:
(i) Heat exchangers and associated equipment inadequate to sustain
efficient, autothermal operation at the average gas strengths and
volumes received by the acid plant during routine process equipment
operation;
(ii) Failure to completely fill all available catalyst bed stages
with sufficient catalyst;
(iii) Inability of the gas pre-treatment system to prevent unduly
frequent plugging or fouling (deterioration) of catalyst or other
components of the acid plant; or
(iv) Blower capacity inadequate to permit the treatment of the full
volume of gas which the plant could otherwise accommodate, or in-leakage
of air into the flues leading to the plant,
[[Page 185]]
to the extent that this inadequacy results in bypassing of gas around
the plant.
(2) Notwithstanding any contrary provisions of Sec. 57.304(c)
(malfunction demonstration), no excess emissions (as defined in
Sec. 57.304(a)) shall be considered to have resulted from a malfunction
in the constant control system if the smelter owner has not upgraded
serious deficiencies in the constant control system in compliance with
the requirements of Sec. 57.302(d)(1), unless the smelter owner
demonstrates under Sec. 57.304(c) that compliance with those
requirements would not have affected the magnitude of the emission.
(e) Multiple control devices. (1) At any smelter where off-gas
streams are treated by various existing control systems (e.g., multiple
acid plants or a DMA scrubber and an acid plant), the NSO shall require
the use of those systems in the combination that will result in the
maximum feasible net SO2 removal.
(2) To the extent that compliance with this requirement is
demonstrated by the smelter operator to result in excess emissions
during unavoidable start up and shut down of the control systems, those
excess emissions shall not constitute violations of the NSO.
Sec. 57.303 Total plantwide emission limitation.
(a) Calculation of the emission limitation. Each NSO shall contain a
requirement limiting the total allowable emissions from the smelter to
the level which would have been associated with production at the
smelter's maximum production capacity (as defined in Sec. 57.103(r)) as
of August 7, 1977. This limitation shall be expressed in units of mass
per time and shall be calculated as the sum of uncontrolled process and
fugitive emissions, and emissions from any control systems (operating at
the efficiency prescribed under Sec. 57.302). These emission rates may
be derived from either direct measurements or appropriately documented
mass balance calculations.
(b) Compliance with the emission limitation. Each NSO shall require
the use of specific, enforceable testing methods and measurement periods
for determining compliance with the limitation established under
paragraph (a) of this section.
Sec. 57.304 Bypass, excess emissions and malfunctions.
(a) Definition of excess emissions. For the purposes of this
subpart, any emissions greater than those permitted by the NSO
provisions established under Sec. 57.302 (performance level of interim
constant controls) or Sec. 57.303 (plantwide emission limitation) of
this subpart shall constitute excess emissions. Emission of any gas
stream identified under Sec. 57.301 (a), (b), (c), (d) or (e) of this
subpart that is not treated by a sulfur dioxide constant control system
shall also constitute an excess emission under this subpart.
(b) The excess emission report. Each NSO shall require the smelter
to report all excess emissions to the issuing agency, as provided in
Sec. 57.305(b). The report shall include the following:
(1) Identity of the stack or other emission points where the excess
emissions occurred;
(2) Magnitude of the excess emissions expressed in the units of each
applicable emission limitation, as well as the operating data,
documents, and calculations used in determining the magnitude of the
excess emissions;
(3) Time and duration of the excess emissions;
(4) Identity of the equipment causing the excess emissions;
(5) Nature and cause of such excess emissions;
(6) Steps taken to limit the excess emissions, and when those steps
were commenced;
(7) If the excess emissions were the result of a malfunction, the
steps taken to remedy the malfunction and to prevent the recurrence of
such malfunction; and
(8) At the smelter owner's election, the demonstration specified in
paragraph (c) of this section.
(c) Malfunction demonstration. Except as provided in
Sec. 57.302(e)(2) or in paragraph (d) or (e) of this section, any excess
emission shall be a violation of the NSO unless the owner demonstrates
in the excess emissions report required under paragraph (b) of this
section that the excess emission resulted from a malfunction (or an
unavoidable start
[[Page 186]]
up and shut down resulting from a malfunction) and that:
(1) The air pollution control systems, process equipment, or
processes were at all times maintained and operated, to the maximum
extent practicable, in a manner consistent with good practice for
minimizing emissions;
(2) Repairs were made as expeditiously as practicable, including the
use of off-shift labor and overtime;
(3) The amount and duration of the excess emissions were minimized
to the maximum extent practicable during periods of such emissions; and
(4) The excess emissions were not part of a recurring pattern
indicative of serious deficiencies in, or inadequate operation, design,
or maintenance of, the process or control equipment.
(d) Scheduled maintenance exception. Excess emissions occurring
during scheduled maintenance shall not constitute violations of the NSO
to the extent that:
(1) The expected additional annual sulfur dioxide removal by any
control system (including associated process changes) for which
construction had not commenced (as defined in 40 CFR 60.2 (g) and (i))
as of August 7, 1977 and which the smelter owner agrees to install and
operate under subpart F, would have offset such excess emissions if the
system had been in operation throughout the year in which the
maintenance was performed;
(2) The system is installed and operated as provided in the NSO
provisions established under subpart F; and
(3) The system performs at substantially the expected efficiency and
reliability subsequent to its initial break-in period.
(e) An NSO may provide that excess emissions which occur during acid
plant start-up as the result of the cooling of acid plant catalyst due
to the unavailability of process gas to an acid plant during a prolonged
SCS curtailment or scheduled maintenance are not excess emissions. If
the NSO does so provide, it shall also require the use of techniques or
practices designed to minimize these excess emissions, such as the
sealing of the acid plant during prolonged curtailments, the use of
auxiliary heat or SO2 injected during the curtailment, or the
preheating of the acid plant before start-up of the process equipment it
serves.
(f) Requirements for a smelter with constant controls that applies
for a waiver.
(1) If a smelter that has some interim constant controls applies for
a waiver in accordance with subpart H, the following requirements shall
apply pending action on the waiver application and following final
action granting or approving a waiver:
(i) The NSO shall require the smelter to implement maintenance and
operation measures designed to reduce to the maximum extent feasible the
potential for bypass of existing interim constant controls.
(ii) Upon application for a waiver under subpart H, the smelter
shall submit to the issuing agency for its approval and to EPA proposed
maintenance and operation measures for compliance with the requirements
of paragraph (i).
(iii) The remainder of this subpart shall apply except that: (A) The
emission limitations required under this subpart shall be based only on
existing constant control equipment as upgraded through the improved
maintenance and operation required by this paragraph, and (B) bypass of
existing controls shall not constitute excess emissions, provided the
maintenance and operation requirements and emission limitations
prescribed by the NSO are satisfied.
(2) After any denial of a waiver by the issuing Agency, or any
disapproval by EPA of a waiver granted by the issuing agency, the NSO
shall be amended consistent with the requirements of this subpart and
Sec. 57.702.
Sec. 57.305 Compliance monitoring and reporting.
(a) Monitoring. (1) Each NSO shall require compliance with the
control system performance requirements established pursuant to this
subpart to be determined through the use of continuous monitors for
measuring SO2 concentration.
(i) Such monitors must be installed, operated and maintained in
accordance with the performance specifications and other requirements
contained in appendix D to 40 CFR part 52 or part 60.
[[Page 187]]
The monitors must take and record at least one measurement of
SO2 concentration from the effluent of each control system in
each 15-minute period. Failure of the monitors to record at least 95% of
the 15-minute periods in any 30-day period shall constitute a violation
of the NSO.
(ii) The sampling point shall be located at least 8 stack diameters
(diameter measured at sampling point) downstream and 2 diameters
upstream from any flow disturbance such as a bend, expansion,
constriction, or flame, unless another location is approved by the
Administrator.
(iii) The sampling point for monitoring emissions shall be in the
duct at the centroid of the cross section if the cross sectional area is
less than 4.645m\2\ (50 ft\2\) or at a point no closer to the wall than
0.914m (3 ft) if the cross sectional area is 4.645m\2\ (50 ft\2\) or
more. The monitor sample point shall be in an area of small spatial
concentration gradient and shall be representative of the concentration
in the duct.
(iv) The measurement system(s) installed and used pursuant to this
paragraph shall be subject to the manufacturer's recommended zero
adjustment and calibration procedures at least once per 24-hour
operating period unless the manufacturer specifies or recommends
calibration at shorter intervals, in which case such specifications or
recommendations shall be followed. Records of these procedures shall be
made which clearly show instrument readings before and after zero
adjustment and calibration.
(2) Each NSO shall require the monitoring of any ducts or flues used
to bypass gases, required under this subpart to be treated by constant
controls, around the smelter's sulfur dioxide constant control system(s)
for ultimate discharge to the atmosphere. Such monitoring shall be
adequate to disclose the time of the bypass, its duration, and the
approximate volume and SO2 concentration of gas bypassed.
(b) Reporting. (1) Each NSO shall require that the smelter maintain
a record of all measurements required under paragraph (a) of this
section. Results shall be summarized monthly and shall be submitted to
the issuing agency within 15 days after the end of each month. The
smelter owner shall retain a record of such measurements for one year
after the NSO period terminates.
(2) Each NSO shall require that the smelter maintain a record of all
measurements and calculations required under Sec. 57.303(b). Results
shall be summarized on a monthly basis and shall be submitted to the
issuing agency at 6-month intervals. The smelter owner shall retain a
record of such measurements and calculations for at least one year after
the NSO terminates.
(3) The report required under Sec. 57.304(b) shall accompany the
report required under paragraph (b)(1) of this section.
(c) Quality assurance and continuous data--(1) Quality assurance.
Each NSO shall require that the smelter submit a plan for quality
assurance to the issuing agency for approval and that all monitoring
performed by continuous monitors shall be verified for quality assurance
by the smelter. Such plans must follow current EPA guidelines for
quality assurance, in order to be approvable.
(2) Continuous data. Manual source testing methods equivalent to 40
CFR part 60, appendix A shall be used to determine compliance if the
continuous monitoring system malfunctions.
Subpart D_Supplementary Control System Requirements
Sec. 57.401 General requirements.
Except as provided in subpart E, each NSO shall require the smelter
owner to prevent all violations of the NAAQS in the smelter's designated
liability area (DLA) through the operation of an approved supplementary
control system (SCS).
Sec. 57.402 Elements of the supplementary control system.
Each supplementary control system shall contain the following
elements:
(a) Air quality monitoring network. An approvable SCS shall include
the use of appropriate ambient air quality monitors to continuously
measure the concentration of sulfur dioxide in the air in the smelter's
DLA.
[[Page 188]]
(1) The monitors shall be located at all points of expected
SO2 concentrations necessary to anticipate and prevent
possible violations of NAAQS anywhere in the smelter's DLA. The
determination of the locations where such concentrations may occur shall
take into account all recorded or probable meteorological and operating
conditions (including bypassing of control equipment), as well as the
presence of other sources of SO2 significantly affecting
SO2 concentrations in the DLA.
(2) The number and location of sites shall be based on dispersion
modeling, measured ambient air quality data, meteorological information,
and the results of the continuing review required by paragraph (f) of
this section. The system shall include the use of at least 7 fixed
monitors unless the issuing agency determines, on the basis of a
demonstration by the smelter owner, that the use of fewer monitors would
not limit coverage of points of high SO2 concentration or
otherwise reduce the capability of the smelter owner to prevent any
violations of the NAAQS in the smelter's DLA.
(3) All monitors shall be continuously operated and maintained and
shall meet the performance specifications contained in 40 CFR part 53.
The monitors shall be capable of routine real time measurement of
maximum expected SO2 concentrations for the averaging times
of SO2 NAAQS.
(b) Meteorological network. The SCS must have a meteorological
assessment capability adequate to predict and identify local conditions
requiring emission curtailment to prevent possible violations of the
NAAQS. The meteorological assessment capability shall provide all
forecast and current information necessary for successful use of the SCS
operational manual required by paragraph (e) of this section.
(c) Designated liability area. The system shall be required to
prevent all violations of the NAAQS within the smelter's DLA. The DLA of
any smelter is the area within which the smelter's emissions may cause
or significantly contribute to violations of the NAAQS for
SO2 when the smelter is operating at its maximum production
capacity under any recorded or probable meterological conditions. The
boundaries of that area shall be specified in the NSO.
(1) Unless an acceptable demonstration is made under paragraph
(c)(2) of this section, the DLA shall be a circle with a center point at
the smelter's tallest stack and a minimum radius as given in the
following table:
Radius for SO2 Emissions at Maximum Production Capacity \1\
------------------------------------------------------------------------
Emission rate in Radius in
Emissions rate in tons per hour grains per sec. kilometers
------------------------------------------------------------------------
16 or less.......................... 4,000 or less......... 11
24.................................. 6,000................. 16
32.................................. 8,000................. 24
40.................................. 10,000................ 32
48 or more.......................... 12,000 or more........ 40
------------------------------------------------------------------------
\1\ Maximum emission rates for periods not to exceed 24 hours. Minimum
radii may be determined from the table by linear interpolation.
(2) The NSO may provide for a DLA with different boundaries if the
smelter owner can demonstrate through the use of appropriate dispersion
modeling and ambient air quality monitoring data that the smelter's
controlled emissions could not cause or significantly contribute to a
violation of the NAAQS beyond the boundaries of such a different area
under any recorded or probable meteorological conditions.
(3) A violation of the NAAQS in the DLA of any smelter shall
constitute a violation of that smelter's NSO, unless the issuing agency
determines on the basis of a showing by the smelter owner that the
smelter owner had taken all emission curtailment action indicated by the
SCS operational manual and that the violation was caused in significant
part by:
(i) Emissions of another source(s) which were in excess of the
maximum permissible emissions applicable to such source(s),
(ii) Fugitive emissions of another source(s), or
(iii) The smelter's own fugitive emissions: Provided, that the
smelter is in compliance with all requirements of or under subpart E of
this part.
(4) For the purposes of this section, maximum permissible emissions
for other sources are the highest of:
(i) SIP emission limitation;
(ii) Orders in effect under section 113(d) of the Clean Air Act; or
[[Page 189]]
(d) Overlapping designated liability areas. Notwithstanding any
other provisions of this subpart, the following requirements shall apply
whenever the designated liability areas of 2 or more smelters do, or
may, overlap:
(1) In the case of any NSO applicant that would have a DLA which
would overlap with the DLA of any other smelter that has applied for an
NSO or has an NSO in effect, the NSO applicant shall include in its
application an enforceable joint plan, agreed to by such other
smelter(s). In determining whether a joint plan is required, the NSO
applicant shall calculate its DLA according to the table in paragraph
(c)(1) of this section. The DLA of the other smelter shall be calculated
according to the table in paragraph (c)(1) unless the other smelter has
an NSO in effect, in which case the boundaries in that NSO shall be
used. The enforceable joint plan shall provide for:
(i) Emission curtailment adequate to ensure that the NAAQS will not
be violated in any areas of overlapping DLAs; and
(ii) Conclusive prospective allocation of legal liability in the
event that the NAAQS are violated in the area of overlapping DLAs.
Such plans may, but need not, include the operation of a joint SCS
system. Each NSO shall require adherence by the NSO applicant owner to
the joint plan for emission curtailment and allocation of liability,
unless the issuing agency determines, pursuant to the provisions of
paragraph (c)(2) of this section, that the NSO applicant's DLA does not
overlap with that of any other smelter.
(2) In the case of any NSO applicant that would have a DLA which
would overlap with the DLA of any other smelter whose owner has not
applied for an NSO (and does not have an NSO in effect), the NSO
applicant's submittal shall contain a written consent, signed by a
corporate official empowered to do so. The consent shall state that if,
at any time thereafter, the owner of the other smelter applies for an
NSO, and the other smelter's DLA would overlap with the NSO applicant's
DLA, the NSO applicant will negotiate and submit an enforceable joint
plan for emission curtailment and allocation of liability (as described
in paragraph (d)(1) of this section). In determining whether it is
necessary to submit such a consent, each smelter's DLA shall be
calculated according to the table set forth in paragraph (c)(1) of this
section. The consent shall state that a joint plan shall be submitted
within 90 days of the issuing agency's notification to the NSO applicant
of receipt of the other smelter's letter of intent, unless the issuing
agency determines that the DLAs do not overlap. Failure of the NSO
applicant to submit such a plan shall constitute grounds for denial of
its NSO application or a violation of an effective NSO, as applicable.
(e) The SCS operational manual. Each NSO shall require the smelter
to be operated in accordance with the provisions of an SCS operational
manual approved by the issuing agency. The SCS operational manual shall
describe the circumstances under which, the extent to which, and the
procedures through which emissions shall be curtailed to prevent
violations of the NAAQS in the smelter's DLA. Failure to curtail
emissions when and as much as indicated by the manual or to follow the
provisions of the manual implementing the requirements of paragraph
(e)(3) of this section shall constitute a violation of the NSO.
(1) The operational manual shall prescribe emission curtailment
decisions based on the use of real time information from the air quality
monitoring network dispersion model estimates of the effect of emissions
on air quality, and meteorological observations and predictions.
(2) The operational manual shall also provide for emission
curtailment to prevent violation of the NAAQS within the smelter's DLA
which may be caused in part by stack emissions, and to the extent
practicable fugitive emissions, from any other source (unless that other
source is a smelter subject to an NSO).
(3) The SCS operational manual shall include (but not be limited
to):
(i) A clear delineation of the authority of the SCS operator to
require all other smelter personnel to implement the operator's
curtailment decisions;
[[Page 190]]
(ii) The maintenance and calibration procedures and schedules for
all SCS equipment;
(iii) A description of the procedures to be followed for the regular
acquisition of all meteorological information necessary to operate the
system;
(iv) The ambient concentrations and meteorological conditions that
will be used as criteria for determining the need for various degrees of
emission curtailment;
(v) The meteorological variables as to which judgments may be made
in applying the criteria stated pursuant to paragraph (e)(3)(iv) of this
section;
(vi) The procedures through which and the maximum time period within
which a curtailment decision will be made and implemented by the SCS
operator;
(vii) The method for immediately evaluating the adequacy of a
particular curtailment decision, including the factors to be considered
in that evaluation;
(viii) The procedures through which and the time within which
additional necessary curtailment will immediately be effected; and
(ix) The procedures to be followed to protect the NAAQS in the event
of a mechanical failure in any element of the SCS.
(f) Continuing review and improvement of the SCS. Each NSO shall
require the smelter owner to conduct an active program to continuously
review the design and operation of the SCS to determine what measures
may be available for improving the performance of the system. Among the
elements of this program shall be measures to locate and examine
possible places both inside and outside the DLA where unmonitored NAAQS
violations may be occurring. Such measures shall include the use of
modeling as appropriate and mobile ambient air quality monitors,
following up on information and complaints from members of the public,
and other appropriate activities. The NSO shall also require the
submission of a semi-annual report to the issuing agency detailing the
results of this review and specifying measures implemented to prevent
the recurrence of any violations of NAAQS.
Sec. 57.403 Written consent.
(a) The consent. The NSO shall include a written consent, signed by
a corporate official empowered to do so, in the following form:
As a condition of receiving a Primary Nonferrous Smelter Order (NSO)
under Section 119 of the Clean Air Act, for the smelter operated by
(name of company) at (location), the undersigned official, being
empowered to do so, consents for the company as follows:
(1) In any civil proceeding (judicial or administrative) to enforce
the NSO, the company will not contest:
(a) Liability for any violation of the National Ambient Air Quality
Standards for sulfur dioxide in the smelter's designated liability area
(DLA), except on the ground that a determination under 40 CFR
57.402(c)(3) was clearly wrong; or
(b) The conclusive allocation of liability under NSO provisions
satisfying 40 CFR 57.402(d)(1) between the company's smelter and any
other smelter(s) for any violation of the National Ambient Air Quality
Standards for sulfur dioxide in an area of overlapping DLAs.
(2) The issuing agency (as defined in 40 CFR 57.103) will be allowed
unrestricted access at reasonable times to inspect, verify calibration
of, and obtain data from ambient air quality monitors operated by the
company under the requirements of the NSO.
(b) Rights not waived by the consent. This consent shall not be
deemed to waive any right(s) to judicial review of any provisions of an
NSO that are otherwise available to the smelter owner or operator under
section 307(b) of the Clean Air Act.
Sec. 57.404 Measurements, records, and reports.
(a) Measurements. Each NSO shall require the smelter owner to
install, operate, and maintain a measurement system(s) for continuously
monitoring sulfur dioxide emissions and stack gas volumetric flow rates
in each stack (except a stack used exclusively for bypassing control
equipment) which could emit 5 percent or more of the smelter's total
potential (uncontrolled) hourly sulfur dioxide emissions.
(1) Such monitors shall be installed, operated, and maintained in
accordance with the performance specifications and other requirements
contained in appendices D and E to 40 CFR part 52. The monitors must
take and record
[[Page 191]]
at least one measurement of sulfur dioxide concentration and stack gas
flow rate from the effluent of each affected stack in each fifteen-
minute period. (The NSO shall require the smelter operator to devise and
implement any procedures necessary for compliance with these performance
specifications.)
(2) The sampling point shall be located at least eight stack
diameters (diameter measured at sampling point) downstream and two
diameters upstream from any flow disturbance such as a bend, expansion,
constriction, or flame, unless another location is approved by the
Administrator.
(3) The sampling point for monitoring emissions shall be in the duct
at the centroid of the cross section if the cross sectional area is less
than 4.645 m\2\ (50 ft \2\) or at a point no closer to the wall than
0.914m (3 ft) if the cross sectional area is 4.645 m\2\ (50 ft\2\) or
more. The monitor sample point shall be in an area of small spatial
concentration gradient and shall provide a sample which is
representative of the concentration in the duct.
(4) The measurement system(s) installed and used pursuant to this
paragraph shall be subject to the manufacturer's recommended zero
adjustment and calibration procedures at least once per 24-hour
operating period unless the manufacturer specifies or recommends
calibration at shorter intervals, in which case such specifications or
recommendations shall be followed. Records of these procedures shall be
made which clearly show instrument readings before and after zero
adjustment and calibration.
(5) The results of such monitoring, calibration, and maintenance
shall be submitted in the form and with the frequency specified in the
NSO.
(b) Records. Each NSO shall require the smelter owner to maintain
records of the air quality measurements made, meteorological information
acquired, emission curtailment ordered (including the identity of the
persons making such decisions), and calibration and maintenance
performed on SCS monitors during the operation of the SCS. These records
shall be maintained for the duration of the NSO.
(c) Reports. Each NSO shall require the smelter owner to:
(1) Submit a monthly summary indicating all places and times at
which the NAAQS for SO2 were violated in the smelter's DLA,
and stating the SO2 concentrations at such times;
(2) Immediately notify EPA and the State agency any time
concentrations of SO2 in the ambient air in the smelter's DLA
reaches 0.3 part per million (800 micrograms/cubic meter), 24-hour
average, or exceed the warning stage in any more stringent emergency
plan in the applicable State Implementation Plan; and
(3) Make such other reports as may be specified in the NSO.
Sec. 57.405 Formulation, approval, and implementation of requirements.
(a) SCS content of the application. The requirements of
Sec. 57.203(d) shall be satisfied with respect to this subpart as
follows:
(1) Each NSO application shall include a complete description of any
supplementary control system in operation at the smelter at the time of
application and a copy of any SCS operational manual in use with that
system.
(2) Each NSO application shall contain proposed NSO provisions for
compliance with the requirements of Secs. 57.401, 57.402 (c), (d), and
(f), 57.403, 57.404, and 57.405 (b)(2).
(3) Each NSO application shall include a specific plan for the
development of a system fulfilling the requirements of Sec. 57.402(a),
(b), and (e) (covering air quality monitoring network, meteorological
network, and the SCS operational manual).
(b) SCS content of the order. (1) Each NSO shall include an approved
version of the plan described in paragraph (a)(3) of this section and
shall provide increments of progress towards its completion. Each NSO
shall require, upon completion of the measures specified in the approved
plan, submission of a report which describes each element of the SCS and
explains why the elements satisfy the requirements of the plan and
submission of a copy of the SCS operational manual developed under the
plan.
(2) Each NSO shall require the submission of a final report, within
6
[[Page 192]]
months of the required date for completion of the measures specified in
the approved plan evaluating the performance and adequacy of the SCS
developed pursuant to the approved plan. The report shall include:
(i) A detailed description of how the criteria that form the basis
for particular curtailment decisions were derived;
(ii) A complete description of each SCS element listed in
Sec. 57.402 (a) through (d) (covering monitoring, meteorology, and the
DLA), and an explanation of why the elements fulfill the requirements of
those sections;
(iii) A reliability study demonstrating that the SCS will prevent
violations of the NAAQS in the smelter's DLA at all times. The
reliability study shall include a comprehensive analysis of the system's
operation during one or more three-month seasonal periods when
meteorological conditions creating the most serious risk of NAAQS
violations are likely to occur. Where it is impossible, because of time
restraints, to include in such a study and analysis of the three month
seasonal period with meteorological conditions creating the most serious
risk of NAAQS violations, the study shall analyze the system's operation
on the basis of all available information. The NSO shall provide that in
such case, a supplemental reliability study shall be submitted after the
end of the worst case three-month period as a part of the next semi-
annual report required under Sec. 57.402(f).
(iv) A copy of the current SCS operational manual.
(c) Amendment of the NSO. Each NSO shall be amended, if necessary,
within 3 months of completion of the measures required under the SCS
development plan and also, if necessary, within three months of
submission of the final report or any supplement to the final report
required under paragraph (b)(2) of this section, to reflect the most
current approved elements of the SCS and, as appropriate, to fulfill all
other requirements of this subpart. Each NSO shall also be subsequently
amended (as provided in Sec. 57.104) whenever necessary as a result of
the program required by Sec. 57.402(f) or to reflect improved SCS
operating procedures or other system requirements.
Subpart E_Fugitive Emission Evaluation and Control
Sec. 57.501 General requirements.
(a) Each NSO shall require the smelter owner to use such control
measures as may be necessary to ensure that the smelter's fugitive
emissions do not result in violations of the NAAQS for SO2 in
the smelter's DLA.
(b) A smelter which is operating under an NSO containing a SIP
compliance schedule established in accordance with Sec. 57.705 is
required to be making progress toward compliance with any fugitive
control requirements contained in its respective SIP and need not meet
the other requirements contained in this subpart.
(c) A smelter which is subject to an NSO which does not contain a
SIP compliance schedule must meet the provisions of Secs. 57.502 and
57.503.
Sec. 57.502 Evaluation.
(a) Evaluation at the time of application. Any smelter owner may
demonstrate at the time of application for an NSO that the smelter's
SO2 fugitive emissions will not cause or significant
contribute to violations of the NAAQS in the smelter's DLA. If such
demonstration is not made, the smelter owner shall submit the design and
workplan for a study adequate to assess the sources of significant
fugitive emissions from the smelter and their effects upon ambient air
quality.
(b) Evaluation during the first 6 months of the NSO. The design and
workplan of the study shall be approved, if adequate, by the issuing
agency and included in the NSO. The study shall commence no later than
the date when the NSO becomes effective and an analysis of its results
shall be submitted to the issuing agency within 6 months of the
effective date of the NSO. The study shall include an appropriate period
during which the ambient air shall be monitored to determine the impact
of fugitive emissions of sulfur dioxide, arsenic (at copper smelters
only), lead (at lead and
[[Page 193]]
zinc smelters only), and total suspended particulates on the ambient air
quality in the smelter's DLA.
Sec. 57.503 Control measures.
The NSO of any smelter subject to the requirements of Sec. 57.502(b)
shall be amended, if necessary, within 6 months of EPA's receipt of the
analysis specified in Sec. 57.502(b), as provided in Sec. 57.704(c) to
implement the requirement of Sec. 57.501. Measures required to be
implemented may include:
(a) Additional supplementary control. The use of the supplementary
control system, if the additional use of the system does not interfere
with the smelter owner's ability to meet the requirements of subpart D;
and
(b) Engineering and maintenance techniques. The use of engineering
and maintenance techniques to detect and prevent leaks and capture and
vent fugitive emissions through appropriate stacks. These techniques
include but are not limited to:
(1) For reactors, installation and proper operation of primary
hoods;
(2) For roasters, installation and proper operation of primary hoods
on all hot calcine transfer points;
(3) For furnaces, installation and proper operation of primary hoods
on all active matte tap holes, matte launders, slag skim bays, and
transfer points;
(4) For converters, installation and proper operation of primary
hoods for blowing operations, and where appropriate, secondary hoods for
charging and pouring operations;
(5) For sintering machines, installation and proper operation of
primary hoods on the sinter bed, all hot sinter ignition points, all
concentrate laydown points, and all hot sinter transfer points;
(6) For blast furnaces, installation and proper operation of primary
hoods on all active slag and lead bullion furnace tap holes and transfer
points;
(7) For dross reverberatory furnaces, installation and proper
operation of primary hoods on all active charging and discharging
points;
(8) Maintenance of all ducts, flues and stacks in a leak-free
condition to the maximum extent possible;
(9) Maintenance of all process equipment under normal operating
conditions in such a fashion that out-leakage of fugitive gases will be
prevented to the maximum extent possible;
(10) Secondary or tertiary hooding on process equipment where
necessary; and
(11) Partial or complete building evacuation as appropriate.
Sec. 57.504 Continuing evaluation of fugitive emission control measures.
Each NSO shall require the smelter owner to conduct an active
program to continuously review the effectiveness of the fugitive
emission control measures implemented pursuant to Sec. 57.503 in
maintaining the NAAQS and, if such measures are not sufficiently
effective, to evaluate what additional measures should be taken to
assure that the NAAQS will be maintained with a reasonably degree of
reliability. The NSO shall also require submission of a semi-annual
report to the issuing Agency detailing the results of this review and
evaluation. Such a report may be submitted as part of the report
required under Sec. 57.402(f).
Sec. 57.505 Amendments of the NSO.
An NSO shall be amended within three months of submission of any
report required under Sec. 57.504 so as to require additional fugitive
emission control measures if such report establishes that such
additional measures are necessary to assure that the NAAQS will be
maintained with a reasonable degree of reliability.
Subpart F_Research and Development Requirements
Sec. 57.601 General requirements.
(a) This subpart is not applicable to NSOs which contain a SIP
compliance schedule in accordance with Sec. 57.705.
(b) The requirements of this subpart may be waived with respect to a
smelter if the owner of that smelter submits with its NSO application a
written certification by a corporate official authorized to make such a
certification that the smelter will either comply with its
SO2 SIP limits by January 2, 1988 or close after January 1,
1988 until it can comply with such limits.
[[Page 194]]
(c) Except as provided in paragraphs (a) and (b), each NSO shall
require the smelter to conduct or participate in a specific research and
development program designed to develop more effective means of
compliance with the sulfur dioxide control requirements of the
applicable State Implementation Plan than presently exist.
Sec. 57.602 Approval of proposal.
(a) The smelter owner's proposal. The smelter owner's NSO
application shall include a proposed NSO provision for implementing the
requirement of Sec. 57.601, a fully documented supporting analysis of
the proposed program, and an evaluation of the consistency of the
proposed program with the criteria listed in Sec. 57.603. The
application shall also specify:
(1) The design and substantive elements of the research and
development program, including the expected amount of time required for
their implementation;
(2) The annual expected capital, operating, and other costs of each
element in the program;
(3) The smelter's current production processes, pollution control
equipment, and emissions which are likely to be affected by the program;
(4) Potential or expected benefits of the program;
(5) The basis upon which the results of the program will be
evaluated; and
(6) The names, positions, and qualifications of the individuals
responsible for conducting and supervising the project.
(b) EPA approval. (1) If the issuing agency will not be EPA, the
smelter owner or the issuing agency may also submit to EPA the
information specified in paragraph (a) of this section at the same time
the information is submitted to the issuing agency. As soon as possible
after the receipt of the information described in paragraph (a) of this
section, EPA shall certify to the issuing agency and to the applicant
whether or not in the judgment of the Administrator the smelter owner's
final proposals are approvable. If EPA does not receive an advance copy
of the proposal, the ultimate approval will occur when the NSO is
approved rather than in advance of receipt of the NSO.
(2) A prerequisite for approval of an R&D proposal by EPA and any
issuing agency is that the planned work must yield the most cost
effective technology possible.
(c) Optional preproposal. The smelter owner may, at its option,
submit to EPA for its approval and comment a preproposal generally
describing the project the owner intends to propose under paragraph (a)
of this section. A preproposal may be submitted to EPA any time prior to
the submission of a proposal under paragraph (a) of this section. As
soon as possible after the receipt of a preproposal, EPA shall certify
to the applicant (and to any other issuing agency, as applicable)
whether or not the project would be approvable. This certification may
include comments indicating necessary modifications which would make the
project approvable.
Sec. 57.603 Criteria for approval.
The approvability of any proposed research and development program
shall be judged primarily according to the following criteria:
(a) The likelihood that the project will result in the use of more
effective means of emission limitation by the smelter within a
reasonable period of time and that the technology can be implemented at
the smelter in question, should the smelter be placed on a SIP
compliance schedule at some future date when adequately demonstrated
technology is reasonably available;
(b) Whether the proposed funding and staffing of the project appear
adequate for its successful completion;
(c) Whether the proposed level of funding for the project is
consistent with the research and development expenditure levels for
pollution control found in other industries;
(d) The potential that the project may yield industrywide pollution
control benefits;
(e) Whether the project may also improve control of other pollutants
of both occupational and environmental significance;
(f) The potential effects of the project on energy conservation; and
(g) Other non-air quality health and environmental considerations.
[[Page 195]]
Sec. 57.604 Evaluation of projects.
The research and development proposal shall include a provision for
the employment of a qualified independent engineering firm to prepare
written reports at least annually which evaluate each completed
significant stage of the research and development program, including all
relevant information and data generated by the program. All reports
required by this paragraph shall be submitted to EPA and also to the
issuing agency if it is not EPA.
Sec. 57.605 Consent.
Each NSO shall incorporate by reference a binding written consent,
signed by a corporate official empowered to do so, requiring the smelter
owner to:
(a) Carry out the approved research and development program;
(b) Grant each issuing agency and EPA and their contractors access
to any information or data employed or generated in the research and
development program, including any process, emissions, or financial
records which such agency determines are needed to evaluate the
technical or economic merits of the program;
(c) Grant physical access to representatives and contractors of each
issuing agency to each facility at which such research is conducted;
(d) Grant the representatives and contractors of EPA and the issuing
agency reasonable access to the persons conducting the program on behalf
of the smelter owner for discussions of progress, interpretation of data
and results, and any other similar purposes as deemed necessary by EPA
or any issuing agency.
Sec. 57.606 Confidentiality.
The provisions of section 114 of the Act and 40 CFR part 2 shall
govern the confidentiality of any data or information provided to EPA
under this subpart.
Subpart G_Compliance Schedule Requirements
Sec. 57.701 General requirements.
This section applies to all smelters applying for an NSO. Each NSO
shall require the smelter owner to meet all of the requirements within
the NSO as expeditiously as practicable but in no case later than the
deadlines contained in this subpart or any other section of these
regulations. For requirements not immediately effective, the NSO shall
provide increments of progress and a schedule for compliance. Each
schedule must reflect the extent to which any required equipment or
systems are already in place and the extent to which any required
reports or studies have already been completed. Requirements for
smelters to submit compliance schedules and the procedures which they
must follow are outlined below.
Sec. 57.702 Compliance with constant control emission limitation.
(a) This section applies to all smelters which receive an NSO, but
only to the extent this section is compatible with any SIP compliance
schedule required by Secs. 57.201(d)(2) and 57.705.
(b) Any NSO issued to a smelter not required to immediately comply
with the requirements of subpart G under Sec. 57.701 shall contain a
schedule for compliance with those requirements as expeditiously as
practicable but in no case later than 6 months from the effective date
of the NSO, except as follows: Where a waiver is requested in accordance
with subpart H, an NSO may be issued without a schedule for compliance
with the requirements for which a waiver is being considered consistent
with subpart H, pending a final decision on the request under subpart H.
If a waiver is requested in accordance with subpart H, compliance with
the requirements of subpart C which were deferred as a result of such
request shall be achieved as expeditiously as practicable after, but in
no case later than 6 months from a final decision by the issuing agency
to deny a waiver under subpart H or disapproval by EPA of a waiver
granted by the issuing agency. The time limits specified herein may be
extended only if a smelter operator demonstrates that special
circumstances warrant more time, in which case the compliance schedule
shall require compliance as expeditiously as practicable. An NSO which
does not contain a schedule
[[Page 196]]
for compliance with all the requirements of subpart C because a waiver
has been requested in accordance with subpart H shall be amended in
accordance with Sec. 57.104 within three months after a final decision
under subpart H so as to either grant a waiver of any remaining
requirements of subpart C, or deny such a waiver and place the smelter
on a compliance schedule for meeting those requirements. If the issuing
agency grants a waiver and such waiver is disapproved by EPA, the
issuing agency shall promptly amend the NSO so as to place the smelter
on a compliance schedule meeting any remaining requirements of subpart
C.
(c) Any schedule required under this section shall contain the
following information and increments of progress to the extent
applicable:
(1) Description of the overall design of the SO2 control
system(s) to be installed;
(2) Descriptions of specific process hardware to be used in
achieving compliance with interim SO2 constant controls
including gas capacity values;
(3) The date by which contracts will be let or purchase orders
issued to accomplish any necessary performance improvements;
(4) The date for initiating on-site construction or installation of
necessary equipment;
(5) The date by which on-site construction or installation of
equipment is to be completed; and
(6) The date for achievement of final compliance with interim
emission limitations.
Sec. 57.703 Compliance with the supplementary control system
requirements.
This section applies to all nonferrous smelters applying for an NSO.
(a) Schedules for smelters with existing SCS. Each NSO shall require
immediately upon issuance of the NSO operation of any existing
supplementary control system and immediately upon the effective date of
the NSO the assumption of liability for all violations of the NAAQS
detected by any monitor in the SCS system. Each NSO shall require that
within six months of the effective date of the NSO the smelter complete
any measures specified in the smelter's approved SCS development plan
not implemented at the time the NSO is issued, and assume liability for
all violations of the NAAQS detected anywhere in the DLA (except as
provided in subpart D of these regulations). Other requirements of
subpart D such as the requirements for submission of reports records,
and for ongoing evaluation of the SCS shall be complied with at the
times specified in subpart D and Sec. 57.701.
(b) Compliance schedule for smelters with no existing SCS system.
Where a smelter has no SCS at the time of issuance of the NSO, the NSO
shall require compliance with the requirements of subpart D according to
the following schedule:
(1) Within six months after the effective date of the NSO the
smelter shall install all operating elements of the SCS system, begin
operating the system, complete all other measures specified in its
approved SCS development plan, begin compliance with the requirements of
Sec. 57.404, and assume liability for any violations of the NAAQS within
its designated liability area (except as provided by subpart D),
detected by the SCS monitors in place.
(2) Within nine months thereafter the smelter shall submit the SCS
Report, assume liability for all violations of the NAAQS detected
anywhere within its designated liability area, and comply with all other
requirements of subpart D, except for those which subpart D specifies
are to be satisfied at or after the close of such nine-month period,
including requirements for submission of studies, reports, and records,
and the requirements for continued review and evaluation of the SCS.
Sec. 57.704 Compliance with fugitive emission evaluation and control
requirements.
This section applies only to smelters not required to submit SIP
Compliance Schedules under Sec. 57.705. Each NSO shall require that
smelters satisfy each of the requirements of subpart E as expeditiously
as practicable, taking into account the extent to which those
requirements have already been satisfied, and in any event, within any
deadlines specified below.
[[Page 197]]
(a) Plan for fugitive emission control. The NSO shall provide that
within a reasonable period after the submission of the report on the
fugitive emission control study required by Sec. 57.502, but within a
period allowing sufficient time for compliance with the requirement of
Sec. 57.503 for amendment of the NSO, the smelter owner shall submit to
the issuing agency for its approval a proposed fugitive emission control
plan, including increments of progress, for compliance with the
requirements of Secs. 57.501 and 57.503.
(b) SCS Report. If the fugitive emission control plan submitted
under paragraph (a) of this section proposes to meet the requirements of
Secs. 57.501 and 57.503 through the additional use of a supplementary
control system, the plan shall demonstrate that the use of supplementary
controls at that smelter to prevent violations of the NAAQS resulting
from fugitive emissions is practicable, adequate, reliable, and
enforceable. The plan shall contain increments of progress providing for
completion of the implementation of each additional measure, and for
corresponding compliance with the requirements of paragraphs (b) and (c)
of Sec. 57.404, within four months of approval of the plan by the
issuing agency. The plan shall also provide that within three months
after completion of implementation of those additional measures, the
smelter shall fully comply with the requirements of Secs. 57.401 and
57.501 (including the assumption of liability for violations of NAAQS
within its designated liability area), and shall submit and additional
SCS report for the approval of the issuing agency. This additional final
report shall correspond to that submitted under Sec. 57.405(b)(2),
except that it need not contain the 3-month study described in
Sec. 57.405(b)(2)(iii).
(c) NSO amendment. The amendments of the NSO required under
Sec. 57.503 shall be affected by the issuing agency as follows:
(1) With respect to the additional use of SCS, upon approval or
promulgation of the plan submitted under paragraph (a) of this section
and upon approval or promulgation of the requirements for the system
described in the additional SCS Report under paragraph (b) of this
section;
(2) With respect to the additional use of engineering techniques,
upon approval or promulgation of the compliance schedule required by
paragraph (a) of this section.
Sec. 57.705 Contents of SIP Compliance Schedule required by
Sec. 57.201(d) (2) and (3).
This section applies to smelters which are required to submit a SIP
Compliance Schedule as discussed below.
(a) Each SIP Compliance Schedule required by Sec. 57.201(d) (2) and
(3) must contain the following elements:
(1) Description of the overall design of the SO2 control
system(s) to be installed;
(2) Descriptions of specific process hardware to be used in
achieving compliance with the SIP emission limitation including gas
capacity values;
(3) The date by which contracts will be let or purchase orders
issued to accomplish any necessary performance improvements;
(4) The date for initiating on-site construction or installation of
necessary equipment;
(5) The date by which on-site construction or installation of
equipment is to be completed;
(6) The date for achievement of final compliance with SIP emission
limitations; and
(7) Any other measures necessary to assure compliance with all SIP
requirements as expeditiously as practicable.
(b) Operations of SCS. Smelters to which Sec. 57.705 is applicable
must comply with all elements of Sec. 57.703.
Subpart H_Waiver of Interim Requirement for Use of Continuous Emission
Reduction Technology
Sec. 57.801 Purpose and scope.
(a) This subpart shall govern all proceedings for the waiver of the
interim requirement that each NSO provide for the use of constant
controls.
(b) In the absence of specific provisions in this subpart, and where
appropriate, questions arising at any stage of the proceeding shall be
resolved at the discretion of the Presiding Officer or the
Administrator, as appropriate.
[[Page 198]]
Sec. 57.802 Request for waiver.
(a) General. (1) Each smelter owner requesting a waiver shall
complete, sign, and submit appendix A (Test for Eligibility for Interim
Waiver). Copies of appendix A may be obtained from any EPA Regional
Administrator, or from the Director, Stationary Source Compliance
Division (EN-341), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460. Claims of confidentiality
shall be made as provided in Sec. 57.203.
(2) The smelter owner shall append to the completed and signed
appendix A full copies of all documents, test results, studies, reports,
scientific literature and assessments required by appendix A. To the
extent that the material consists of generally available published
material, the smelter owner may cite to the material in lieu of
appending it to appendix A. The smelter owner shall specifically
designate those portions of any documents relied upon and the facts or
conclusions in appendix A to which they relate.
(b) Effect of submitting incomplete application. (1) The
Administrator, or a person designated by him to review applications for
waivers, may advise the smelter owner in writing whenever he determines
that additional information is needed in order to make the waiver
eligibility determinations required by section 119(d)(2) of the Act. The
smelter owner shall promptly supply such information. All additional
information requested under this paragraph and filed in the manner
required by paragraph (d) shall be deemed part of appendix A.
(2) Failure to comply with the requirements of paragraphs (a) and
(b)(1) of this section shall be grounds for denial of the requested
waiver.
(c) Time for requesting waivers. Any request for a waiver must be
submitted to the Administrator by the smelter owner at the time of the
application for an NSO from the State or the Administrator, as the case
may be. Where a smelter was issued a second period NSO by a State before
these regulations went into effect, a request for a waiver shall be made
and a completed appendix A shall be submitted, within sixty days of the
effective date of these regulations, unless an extension is granted by
the Administrator, or his designee, for good cause.
(d) Submission of request. A copy of appendix A (plus attachments)
which has been completed for the purpose of requesting a waiver of
constant control requirements shall be filed with the Administrator,
addressed as follows: Director, Stationary Source Compliance Division
(EN-341), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave.,
NW., Washington, DC 20460, Attn: Confidential Information Unit.
(e) Eligibility. A smelter shall be eligible for consideration under
this subpart only if it establishes that (1) its existing strong stream
controls, if any, lack the capacity while in full operation to treat all
strong stream sulfur dioxide emissions and (2) bypass of strong stream
controls due to excess strong stream sulfur dioxide emissions cannot be
avoided with improved operation and maintenance of existing strong
stream controls and process equipment.
(f) Criteria for decision. The Administrator shall grant or approve
a waiver, whichever is appropriate, for any eligible smelter as to which
he finds, in accordance with the methods and procedures specified in
appendix A, that:
(1) The higher of the two net present values of future cash flows
completed under the two alternative sets of assumptions set forth in the
instructions to schedule D.6 in appendix A in less than liquidation
(salvage) value; or
(2) The smelter's average variable costs at all relevant levels of
production (after installation of interim constant control equipment)
would exceed the weighted average price of smelter output for one year
or more.
Sec. 57.803 Issuance of tentative determination; notice.
(a) Tentative determination. (1) The EPA staff shall formulate and
prepare:
(i) A ``Staff Computational Analysis,'' using the financial
information submitted by the smelter owner under Sec. 57.802 to evaluate
the economic circumstances of the smelter for which the waiver is
sought;
(ii) A tentative determination as to whether an interim requirement
for the use of constant controls would be
[[Page 199]]
so costly as to necessitate permanent or prolonged temporary cessation
of operations at the smelter for which the waiver is requested. The
tentative determination shall contain a ``Proposed Report and Findings''
summarizing the conclusions reached in the Staff Computational Analysis,
discussing the estimated cost of interim controls, and assessing the
effect upon the smelter of requiring those controls. The tentative
determination shall also contain a proposed recommendation that the
waiver be granted or denied, based upon the Proposed Report and
Findings, and stating any additional considerations supporting the
proposed recommendation. This tentative determination shall be a public
document.
(2) In preparing the Proposed Report and Findings, the EPA staff
shall attempt to the maximum extent feasible to avoid revealing
confidential information which, if revealed, might damage the legitimate
business interests of the applicant. The preceding sentence
notwithstanding, the tentative determination shall be accompanied by a
listing of all materials considered by EPA staff in developing the
tentative determination. Subject to the provisions of Sec. 57.814(a),
full copies of all such materials shall be included in the
administrative record under Sec. 57.814, except that, to the extent the
material consists of published material which is generally available,
full citations to that material may be given instead.
(b) Public notice. Public notice of EPA's tentative determination to
grant or deny an application for a waiver shall be given by:
(1) Publication at least once in a daily newspaper of general
circulation in the area in which the smelter is located; and
(2) Posting in the principal office of the municipality in which the
smelter is located.
(c) Individual notice. Individual notice of EPA's tentative
determination to grant or deny an application for a waiver shall be
mailed to the smelter owner by certified mail, return receipt requested,
and to the air pollution control agency for the State in which the
smelter is located.
(d) Request for individual notice. EPA shall mail notice of its
tentative determination to grant or deny an application for waiver to
any person upon request. Each such request shall be submitted to the
Administrator in writing, shall state that the request is for individual
notice of tentative determination to grant or deny any application for a
waiver under section 119(d) of the Clean Air Act, and shall describe the
notice or types of notices desired (e.g., all notices, notices for a
particular Region, notices for a particular State, notice for a
particular city).
(e) Form of notice. The notice of tentative determination required
to be distributed under paragraphs (b), (c), and (d) of this section
shall include, in addition to any other materials, the following:
(1) A summary of the information contained in appendix A;
(2) The tentative determination prepared under paragraph (a) of this
section: Provided, that except in the case of the smelter owner, a
summary of the basis for the grant or denial of the waiver may be
provided in lieu of the formal determinations required by paragraph
(a)(1) of this section;
(3) A brief description of the procedures set forth in Sec. 57.804
for requesting a public hearing on the waiver request, including a
statement that such request must be filed within 30 days of the date of
the notice;
(4) A statement that written comments on the tentative determination
submitted to EPA within 60 days of the date of the notice will be
considered by EPA in making a final decision on the application; and
(5) The location of the administrative record and the location at
which interested persons may obtain further information on the tentative
determination, including a copy of the index to the record, the
tentative determination prepared under paragraph (a) of this section,
and any other nonconfidential record materials.
Sec. 57.804 Request for hearing; request to participate in hearing.
(a) Request for hearing. Within 30 days of the date of publication
or receipt of the notice required by Sec. 57.803, any person may request
the Administrator to
[[Page 200]]
hold a hearing on the tentative determination by submitting a written
request containing the following:
(1) Identification of the person requesting the hearing and his
interest in the proceeding;
(2) A statement of any objections to the tentative determination;
and
(3) A statement of the issues which such person proposes to raise
for consideration at such hearing.
(b) Grant or denial of hearing; notification. Whenever (1) the
Administrator has received a written request satisfying the requirements
of paragraph (a) of this section which presents genuine issues as to the
effect on the smelter of the requirement for use of constant controls,
or (2) the Administrator determines in his discretion that a hearing is
necessary or appropriate the Administrator shall give written notice of
his determination to each person requesting such hearing and the smelter
owner, and shall provide public notice of his determination in
accordance with Sec. 57.803(b). If the Administrator determines that a
request filed under paragraph (a) of this section does not comply with
the requirements of paragraph (a) or does not present genuine issues, he
shall be given written notice of his decision to deny a hearing to the
person requesting the hearing.
(c) Form of notice of hearing. Each notice of hearing disseminated
under paragraph (b) of this section shall contain:
(1) A statement of the time and place of the hearing;
(2) A statement identifying the place at which the official record
on the application for waiver is located, the hours during which it will
be open for public inspection, and the documents contained in the record
as of the date of the notice of hearing;
(3) The due date for filing a written request to participate in the
hearing under paragraph (d) of this section;
(4) The due date for making written submissions under 57.805; and
(5) The name, address, and office telephone number of the hearing
Clerk for the hearing.
(d) Request to participate in hearing. Each person desiring to
participate in any hearing granted under this section, including any
person requesting such a hearing, shall file a written request to
participate with the Hearing Clerk by the deadline set forth in the
notice of hearing. The request shall include:
(1) A brief statement of the interest of the person in the
proceeding;
(2) A brief outline of the points to be addressed;
(3) An estimate of the time required; and
(4) If the request is submitted by an organization, a nonbinding
list of the persons to take part in the presentation. As soon as
practicable, but in no event later than two weeks before the scheduled
date of the hearing, the Hearing Clerk shall make available to the
public and shall mail to each person who asked to participate in the
hearing a hearing schedule.
(e) Effect of denial of or absence of request for hearing. If no
request for a hearing is made under this section, or if all such
requests are denied under paragraph (b) of this section, the tentative
determination issued under Sec. 57.803 shall be treated procedurally as
if it were a recommended decision issued under Sec. 57.811(b)(2), except
that for purposes of Secs. 57.812 and 57.813 the term ``hearing
participant'' shall be construed to mean the smelter owner and any
person who submitted comments under Sec. 57.803(e)(4).
Sec. 57.805 Submission of written comments on tentative determination.
(a) Main comments. Each person who has filed a request to
participate in the hearing shall file with the Hearing Clerk no later
than 30 days before the scheduled start of the hearing (or such other
date as may be set forth in the notice of hearing) any comments which he
has on the request for waiver and EPA's tentative determination, based
on information which is or reasonably could have been available to that
person at the time.
(b) Reply comments. Not later than two weeks after a full transcript
of the hearing becomes available (or such other date as may be set forth
in the notice of hearing), each person who has filed a request to
participate in the hearing shall file with the Hearing Clerk any
comments he may have on:
[[Page 201]]
(1) Written comments submitted by other participants pursuant to
paragraph (a) of this section;
(2) Written comments submitted in response to the notice of hearing;
(3) Material in the hearing record; and
(4) Material which was not and could not reasonably have been
available prior to the deadline for submission of main comments under
paragraph (a) of this section.
(c) Form of comments. All comments should be submitted in
quadruplicate and shall include any affidavits, studies, tests or other
materials relied upon for making any factual statements in the comments.
(d) Use of comments. (1) Written comments filed under this section
shall constitute the bulk of the evidence submitted at the hearing. Oral
statements at the hearing should be brief, and restricted either to
points that could not have been made in written comments, or to
emphasizing points which are made in the comments, but which the
participant believes can be more forcefully urged in the hearing
context.
(2) Notwithstanding the foregoing, within two weeks prior to either
deadline specified by paragraph (a) of this section for the filing of
main comments, any person who has filed a request to participate in the
hearing may file a request with the Presiding Officer to submit all or
part of his main comments orally at the hearing in lieu of submitting
written comments. The Presiding Officer shall, within one week, grant
such request if he finds that such person will be prejudiced if he is
required to submit such comments in written form.
Sec. 57.806 Presiding Officer.
(a) Assignment of Presiding Officer. (1) The Administrator shall, as
soon as practicable after the granting of a request for hearing under
Sec. 57.803, request that the Chief Administrative Law Judge assign an
Administrative Law Judge as Presiding Officer. The Chief Administrative
Law Judge shall thereupon make the assignment.
(2) If the parties to the hearing waive their right to have the
Agency or an Administrative Law Judge preside at the hearing, the
Administrator shall appoint an EPA employee who is an attorney to serve
as presiding officer.
(b) Powers and duties of Presiding Officer. It shall be the duty of
the Presiding Officer to conduct a fair and impartial hearing, assure
that the facts are fully elicited, and avoid delay. The Presiding
Officer shall have authority to:
(1) Chair and conduct administrative hearings held under this
subpart;
(2) Administer oaths and affirmations;
(3) Receive relevant evidence: Provided, that the administrative
record, as defined in Sec. 57.814, shall be received in evidence;
(4) Consider and rule upon motions, dispose of procedural requests,
and issue all necessary orders;
(5) Hold conferences for the settlement or simplification of the
issues or the expediting of the proceedings; and
(6) Do all other acts and take all measures necessary for the
maintenance of order and for the efficient, fair and impartial conduct
of proceedings under this subpart.
[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]
Sec. 57.807 Hearing.
(a) Composition of hearing panel. The Presiding Officer shall
preside at the hearing held under this subpart. An EPA panel shall also
take part in the hearing. In general, the membership of the panel shall
consist of EPA employees having special expertise in areas related to
the issues to be addressed at the hearing, including economists and
engineers. For this reason, the membership of the panel may change as
different issues are presented for discussion.
(b) Additional hearing participants. Either before or during the
hearing, the Presiding Officer, after consultation with the panel, may
request that a person not then scheduled to participate in the hearing
(including an EPA employee or a person identified by any scheduled
hearing participant as having knowledge concerning the issues raised for
discussion at the hearing) make a presentation or make himself available
for cross-examination at the hearing.
[[Page 202]]
(c) Questioning of hearing participants. The panel members may
question any person participating in the hearing. Cross-examination by
persons other than panel members shall not be permitted at this stage of
the proceeding except where the Presiding Officer determines, after
consultation with the panel, that circumstances compel such cross-
examination. However, persons in the hearing audience, including other
hearing participants, may submit written questions to the Presiding
Officer for the Presiding Officer to ask the participants, and the
Presiding Officer may, after consultation with the panel, and in his
sole discretion, ask these questions.
(d) Submission of additional material. Participants in the hearing
shall submit for the hearing record such additional material as the
hearing panel may request within 10 days following the close of the
hearing, or such other period of time as is ordered by the Presiding
Officer. Participants may also submit additional information for the
hearing record on their own accord within 10 days after the close of the
hearing.
(e) Transcript. A verbatim transcript shall be made of the hearing.
Sec. 57.808 Opportunity for cross-examination.
(a) Request for cross-examination. After the close of the panel
hearing conducted under this part, any participant in that hearing may
submit a written request for cross-examination. The request shall be
received by EPA within one week after a full transcript of the hearing
becomes available and shall specify:
(1) The disputed issue(s) of material fact as to which cross-
examination is requested. This shall include an explanation of why the
questions at issue are factual, rather than of an analytical or policy
nature; the extent to which they are in dispute in the light of the
record made thus far, and the extent to which and why they can
reasonably be considered material to the decision on the application for
a waiver; and
(2) The person(s) the participant desires to cross-examine, and an
estimate of the time necessary. This shall include a statement as to why
the cross-examination requested can be expected to result in full and
true disclosure resolving the issue of material fact involved.
(b) Order granting or denying request for cross-examination. As
expeditiously as practicable after receipt of all requests for cross-
examination under paragraph (a) of this section, the Presiding Officer,
after consultation with the hearing panel, shall issue an order either
granting or denying each such request, which shall be disseminated to
all persons requesting cross-examination and all persons to be cross-
examined. If any request for cross-examination is granted, the order
shall specify:
(1) The issues as to which cross-examination is granted;
(2) The persons to be cross-examined on each issue;
(3) The persons allowed to conduct cross-examination;
(4) Time limits for the examination of witnesses; and
(5) The date, time and place of the supplementary hearing at which
cross-examination shall take place. In issuing this ruling, the
Presiding Officer may determine that one or more participants have the
same or similar interests and that to prevent unduly repetitious cross-
examination, they should be required to choose a single representative
for purposes of cross-examination. In such a case, the order shall
simply assign time for cross-examination by that single representative
without identifying the representative further.
(c) Supplementary hearing. The Presiding Officer and at least one
member of the original hearing panel shall preside at the supplementary
hearing. During the course of the hearing, the Presiding Officer shall
have authority to modify any order issued under paragraph (b) of this
section. A verbatim transcript shall be made of this hearing.
(d) Alternatives to cross-examination. (1) No later than the time
set for requesting cross-examination, a hearing participant may request
that alternative methods of clarifying the record (such as the submittal
of additional written information) be used in lieu of or in addition to
cross-examination.
[[Page 203]]
The Presiding Officer shall issue an order granting or denying such
request at the time he issues (or would have issued) an order under
paragraph (b) of this section. If the request is granted, the order
shall specify the alternative provided and any other relevant
information (e.g., the due date for submitting written information).
(2) In passing on any request for cross-examination submitted under
paragraph (a) of this section, the Presiding Officer may, as a
precondition to ruling on the merits of such request, require that
alternative means of clarifying the record be used whether or not a
request to do so has been made under the preceding paragraph. The person
requesting cross-examination shall have one week to comment on the
results of utilizing such alternative means, following which the
Presiding Officer, as soon as practicable, shall issue an order granting
or denying such person's request for cross-examination.
Sec. 57.809 Ex parte communications.
(a) General. (1) No interested person outside the Agency or member
of the Agency trial staff shall make or knowingly cause to be made to
any member of the decisional body an ex parte communication relevant to
the merits of the proceedings.
(2) No member of the decisional body shall make or knowingly cause
to be made to any interested person outside the Agency or member of the
Agency trial staff an ex parte communication relevant to the merits of
the proceedings.
(b) Effect of receipt of ex parte communication. (1) A member of the
decisional body who receives or who makes or knowingly causes to be made
a communication prohibited by this subsection shall place in the record
all written communications or memoranda stating the substance of all
oral communications together with all written responses and memoranda
stating the substance of all responses.
(2) Upon receipt by any member of the decisionmaking body of an ex
parte communication knowingly made or knowingly caused to be made by a
party or representative of a party in violation of this section, the
person presiding at the stage of the hearing then in progress may, to
the extent consistent with justice and the policy of the Clean Air Act,
require the party to show cause why its claim or interest in the
proceedings should not be dismissed, denied, disregarded, or otherwise
adversely affected on account of such violation.
(c) Definitions. For purposes of this section, the following
definitions shall apply:
(1) Agency trial staff means those Agency employees, whether
temporary or permanent, who have been designated by the Agency as
available to investigate, litigate, and present the evidence arguments
and position of the Agency in the evidentiary hearing or non-adversary
panel hearing. Appearance as a witness does not necessarily require a
person to be designated as a member of the Agency trial staff;
(2) Decisional body means any Agency employee who is or may be
reasonably expected to be involved in the decisional process of the
proceeding including the Administrator, Presiding Officer, the Regional
Administrator (if he does not designate himself as a member of the
Agency trial staff), and any of their staff participating in the
decisional process. In the case of a non-adversary panel hearing, the
decisional body shall also include the panel members whether or not
permanently employed by the Agency;
(3) Ex parte communication means any communication, written or oral,
relating to the merits of the proceeding between the decisional body and
an interested person outside the Agency or the Agency trial staff which
was not originally filed or stated in the administrative record or in
the hearing. Ex parte communications do not include:
(i) Communications between Agency employees other than between the
Agency trial staff and the member of the decisional body;
(ii) Discussions between the decisional body and either:
(A) Interested persons outside the Agency, or;
(B) The Agency trial staff if all parties have received prior
written notice of such proposed communications and have been given the
opportunity to be present and participate therein.
[[Page 204]]
(4) Interested person outside the Agency includes the smelter owner,
any person who filed written comments in the proceeding, any person who
requested the hearing, any person who requested to participate or
intervene in the hearing, any participant or party in the hearing and
any other interested person not employed by the Agency at the time of
the communications, and the attorney of record for such persons.
[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]
Sec. 57.810 Filing of briefs, proposed findings, and proposed
recommendations.
Unless otherwise ordered by the Presiding Officer, each hearing
participant may, within 20 days after reply comments are submitted under
Sec. 57.805(b), or if a supplementary hearing for the purpose of cross-
examination has been held under Sec. 57.808(c), within 20 days after the
transcript of such supplemental hearing becomes available or if
alternative methods of clarifying the record have been used under
Sec. 57.808(d), within 20 days after the alternative methods have been
employed, file with the Hearing Clerk and serve upon all other hearing
participants proposed findings and proposed recommendations to replace
in whole or in part the findings and recommendations contained in the
tentative determination. Any such person may also file, at the same
time, a brief in support of his proposals, together with references to
relevant pages of transcript and to relevant exhibits. Within 10 days
thereafter each participant may file a reply brief concerning
alternative proposals. Oral argument may be held at the discretion of
the Presiding Officer on motion of any hearing participant or sua
sponte.
Sec. 57.811 Recommended decision.
As soon as practicable after the conclusion of the hearing, one or
more responsible employees of the Agency shall evaluate the record for
preparation of a recommended decision and shall prepare and file a
recommended decision with the Hearing Clerk. The employee(s) preparing
the decision will generally be members of the hearing panel and may
include the Presiding Officer. Such employee(s) may consult with and
receive assistance from any member of the hearing panel in drafting a
recommended decision and may also delegate the preparation of the
recommended decision to the panel or to any member or members of it.
This decision shall contain the same elements as the tentative
determination. After the recommended decision has been filed, the
Hearing Clerk shall serve a copy of such decision on each hearing
participant and upon the Administrator.
Sec. 57.812 Appeal from or review of recommended decision.
(a) Exceptions. (1) Within 20 days after service of the recommended
decision, any hearing participant may take exception to any matter set
forth in such decision or to any adverse order or ruling of the
Presiding Officer prior to or during the hearing to which such
participant objected, and may appeal such exceptions to the
Administrator by filing them in writing with the Hearing Clerk. Such
exceptions shall contain alternative findings and recommendations,
together with references to the relevant pages of the record and
recommended decision. A copy of each document taking exception to the
recommended decision shall be served upon every other hearing
participant. Within the same period of time each party filing exceptions
shall file with the Administrator and shall serve upon all hearing
participants a brief concerning each of the exceptions being appealed.
Each brief shall include page references to the relevant portions of the
record and to the recommended decision.
(2) Within 10 days of the service of exceptions and briefs under
paragraph (a)(1) of this section, any hearing participant may file and
serve a reply brief responding to exceptions or arguments raised by any
other hearing participant together with references to the relevant
portions of the record, recommended decision, or opposing brief. Reply
briefs shall not, however, raise additional exceptions.
[[Page 205]]
(b) Sua sponte review by the Administrator. Whenever the
Administrator determines sua sponte to review a recommended decision,
notice of such intention shall be served upon the parties by the Hearing
Clerk within 30 days after the date of service of the recommended
decision. Such notice shall include a statement of issues to be briefed
by the hearing participants and a time schedule for the service and
filing of briefs.
(c) Scope of appeal or review. The appeal of the recommended
decision shall be limited to the issues raised by the appellant, except
when the Administrator determines that additional issues should be
briefed or argued. If the Administrator determines that briefing or
argument of additional issues is warranted, all hearing participants
shall be given reasonable written notice of such determination to permit
preparation of adequate argument.
(d) Argument before the Administrator. The Administrator may, upon
request by a party or sua sponte, set a matter for oral argument. The
time and place for such oral argument shall be assigned after giving
consideration to the convenience of the parties.
Sec. 57.813 Final decision.
(a) After review. As soon as practicable after all appeal or other
review proceedings have been completed, the Administrator shall issue
his final decision. Such a final decision shall include the same
elements as the recommended decision, as well as any additional reasons
supporting his decisions on exceptions filed by hearing participants.
The final decision may accept or reject all or part of the recommended
decision. The Administrator may consult with the Presiding Officer,
members of the hearing panel or any other EPA employee in preparing his
final decision. The Hearing Clerk shall file a copy of the decision on
all hearing participants.
(b) In the absence of review. If no party appeals a recommended
decision to the Administrator and if the Administrator does not review
it sua sponte, he shall be deemed to have adopted the recommended
decision as the final decision of the Agency upon the expiration of the
time for filing any exceptions under Sec. 57.812(a).
(c) Timing of judicial review. For purposes of judicial review,
final Agency action on a request for a waiver of the interim requirement
that each NSO provide for the use of constant controls shall not occur
until EPA approves or disapproves the issuance of an NSO to the source
requesting such a waiver.
Sec. 57.814 Administrative record.
(a) Establishment of record. (1) Upon receipt of request for a
waiver, an administrative record for that request shall be established,
and a Record and Hearing Clerk appointed to supervise the filing of
documents in the record and to carry out all other duties assigned to
him under this subpart.
(2) All material required to be included in the record shall be
added to the record as soon as feasible after its receipt by EPA. All
material in the record shall be appropriately indexed. The Hearing Clerk
shall make appropriate arrangements to allow members of the public to
copy all nonconfidential record materials during normal EPA business
hours.
(3) Confidential record material shall be indexed under paragraph
(a)(2). Confidential record material shall, however, be physically
maintained in a separate location from public record material.
(4) Confidential record material shall consist of the following:
(i) Any material submitted pursuant to Sec. 57.802 for which a
proper claim of confidentiality has been made under section 114(c) of
the Act and 40 CFR part 2; and
(ii) The Staff Computational Anaylsis prepared under Sec. 57.803
(b) Record for issuing tentative determination. The administrative
record for issuing the tentative determination required by Sec. 57.803
shall consist of the material submitted under Sec. 57.802 and any
additional materials supporting the tentative determination.
(c) Record for acting on requests for cross-examination. The
administrative record for acting on requests for cross-examination under
Sec. 57.808 shall consist of the record for issuing the tentative
determination, all comments timely submitted under Secs. 57.803(e)(4)
and
[[Page 206]]
57.805, the transcript of the hearing, and any additional material
timely submitted under Sec. 57.807(d).
(d) Record for preparation of recommended decision. The
administrative record for preparation of the recommended decision
required by Sec. 57.811 shall consist of the record for acting on
request for cross-examination, the transcript of any supplementary
hearing held under Sec. 57.808(c), any materials timely submitted in
lieu of or in addition to cross-examination under Sec. 57.808(d), and
all briefs, proposed findings of fact and proposed recommendations
timely submitted under Sec. 57.810.
(e) Record for issuance of final decision. (1) Where no hearing has
been held, the administrative record for issuance of the Administrator's
final decision shall consist of the record for issuing the tentative
determination, any comments timely submitted under Sec. 57.803(e)(4),
any briefs or reply briefs timely submitted under Sec. 57.812 (a)
through (c), and the transcript of any oral argument granted under
Sec. 57.812(d).
(2) Where a hearing has been held, the administrative record for
issuance of the Administrator's final decision shall consist of the
record of preparation of the recommended decision, any briefs or reply
briefs submitted under Sec. 57.812 (a) through (c), and the transcript
of any oral argument granted under Sec. 57.812(d).
Sec. 57.815 State notification.
The Administrator shall give notice of the final decision in writing
to the air pollution control agency of the State in which the smelter is
located.
Sec. 57.816 Effect of negative recommendation.
No waiver of the interim requirement for the use of constant
controls shall be granted by the Administrator or a State unless the
Administrator or a State first takes into account the Administrator's
report, findings, and recommendations as to whether the use of constant
controls would be so costly as to necessitate permanent or prolonged
temporary cessations of operation of the smelter.
Sec. Appendix A to Part 57--Primary Nonferrous Smelter Order (NSO)
Application
Instructions
1. General Instructions
1.1 Purpose of the Application
1.2 NSO Financial Tests
1.3 Confidentiality
2. NSO Financial Reporting Overview
2.1 Revenue and Cost Assignment
2.2 Transfer Prices on Affiliated Party Transactions
2.3 Forecasting Requirements
2.4 EPA Furnished Forecast Data
2.5 Applicant Generated Forecasts
2.6 Weighted Average Cost of Capital for Nonferrous Metal Producers
2.7 Horizon Value
2.8 Data Entry
2.9 Use of Schedules
2.10 Use of Exhibits
Detailed Instructions for Each Schedule
A.1 Historical Revenue Data
A.2 Historical Cost Data
A.3 Historical Profit and Loss Summary
A.4 Historical Capital Investment Summary
B.1 Pre-Control Revenue Forecast
B.2 Pre-Control Cost Forecast
B.3 Pre-Control Forecast Profit and Loss Summary
B.4 Constant Controls Revenue Forecast
B.5 Constant Controls Cost Forecast
B.6 Constant Controls Forecast Profit and Loss Summary for the Profit
Protection Test
B.7 Profit Protection Test
C.1 Constant Controls Forecast Profit and Loss Summary for the Rate of
Return Test
C.2 Constant Controls Sustaining Capital Investment Forecast
C.3 Historical Capital Investment in Constant Dollars
C.4 Rate of Return Test
C.5 Horizon Value of Cash Flows for the Rate of Return Test
D.1 Interim Controls Revenue Forecast
D.2 Interim Controls Cost Forecast
D.3 Interim Controls Forecast Profit and Loss Summary
D.4 Interim Controls Sustaining Capital Investment Forecast
D.5 Cash Proceeds from Liquidation
D.6 Permanent Waiver from Interim Controls Test
D.7 Horizon Value of Cash Flows for the Interim Controls Test
1. General Instructions
1.1 Purpose of the application. This application provides financial
reporting schedules and the accompanying instructions for EPA's
determination of eligibility for a nonferrous smelter order (NSO), and
for a waiver
[[Page 207]]
of the interim constant controls requirement of an NSO. Although the
determination of eligibility for an NSO is prerequisite for the
determination of a waiver, appendix A, as a matter of convenience to
applicants, includes both the NSO and waiver tests and reporting
schedules.
In order to support an NSO eligibility determination, the applicant
must submit operating and financial data as specified by the schedules
included in this application. Specific instructions for completing each
schedule are provided in subsequent sections of the instructions. In
general, applicants must provide:
(a) Annual income statements, balance sheets and supporting data
covering the five most recent fiscal years for the smelter for which the
NSO requested.
(b) Forecasts of operating revenues, operating costs, net income
from operations and capital investments for the firm's smelter
operations subject to this application, on the basis of anticipated
smelter operations without any sulfur dioxide air pollution control
facilities that have not been installed as of the NSO application date.
(c) Forecasts of operating revenues, operating costs, net income
from operations and capital investments for the firm's smelter
operations subject to this application, on the basis of anticipated
smelter operations with expected additional sulfur dioxide control
facilities required to comply with the smelter's SIP emission
limitation.
(d) For smelters applying for a waiver of interim constant controls,
forecasts of operating revenues, operating costs, and capital
investments for the firm's smelter operations prepared on the basis of
two alternative assumptions: (1) Installation of additional pollution
control facilities required to comply with interim constant control
requirements, no installation of any additional SO2 controls
that the smelter would otherwise be required to install but for the
issuance of an NSO, and closure of the smelter after January 1, 1988;
and (2) installation of additional pollution control facilities required
to comply with interim constant control requirements, installation of
any additional SO2 controls required to comply with the
smelter's SIP emission limitation by January 2, 1988, and continued
operation of the smelter after January 1, 1988.
1.2 NSO financial tests. EPA will use separate tests to determine
eligibility for an NSO and to evaluate applications for a waiver of the
interim constant control requirement. The two tests for NSO eligibility
employ a present value approach for determining the reasonable
availability of constant control technology that will enable an
applicant to achieve full compliance with its SIP sulfur dioxide
emission limitation. The tests for the waiver of the interim constant
control requirements employ variable costing and discounted cash flow
standards for evaluating an applicant's economic capability to implement
those requirements.
1.2.1 NSO Eligibility Tests. Each applicant must establish that the
system of production and/or constant control technology that will enable
the smelter to achieve full compliance with its SIP SO2
emission limitation standard is not reasonably available. An applicant
will determine financial eligibility for an NSO by passing at least one
of the following two tests.
(a) Profit Protection Test. The smelter will experience a reduction
in pre-tax profits of 50 percent or more after undertaking the required
installation of constant controls.
(b) Rate of Return Test. The smelter will earn a rate of return on
historical net investment, expressed in constant dollars, below the
industry average cost of capital after undertaking the required
installation of constant controls.
1.2.2 Temporary Waiver from Interim Controls. Applicants that do not
have an existing constant control system or whose constant controls are
not sufficient when in operation and optimally maintained to treat all
strong streams in accordance with subpart C, may apply for a waiver of
the requirements of subpart C with respect to any interim constant
controls not already installed. Applicants will be eligible for a
temporary waiver of the requirement for interim constant controls not
already installed, if they can establish pursuant to the procedures in
this application that the imposition of such control requirements would
economically necessitate closure of the smelter facility for a period of
one year or longer. The economic justification for a non-permanent
closure under this temporary waiver test is defined as a situation in
which the smelter's projected operating revenues for one or more years
during which the NSO is in effect are inadequate to cover variable
operating costs anticipated after installing the required interim
control technology. Temporary waivers will be granted for only the
period of time over which applicants can establish an inability by the
firm to cover its variable operating costs. Interim control waiver
requests based on the smelter's projected inability to earn adequate
income after installation of interim pollution control equipment will be
subject to the permanent waiver test.
1.2.3 Permanent Waiver from Interim Controls. Applicants that do not
have an existing constant control system or whose constant controls are
not sufficient when in operation and optimally maintained to treat all
strong streams in accordance with subpart C, may apply for a waiver of
the requirements of subpart C with respect to any
[[Page 208]]
interim constant controls not already installed. Applicants will be
eligible for a permanent waiver of the requirement for interim constant
controls not already installed, if they can establish pursuant to the
procedures in this application that an imposition of such control
requirements would necessitate permanent closure of the smelter.
Economic justification for a permanent closure is defined as a situation
in which the present value of future cash flows anticipated from the
smelter after installing the required interim control technology is less
than the smelter's current salvage value under an orderly plan of
liquidation. Future cash flows are determined under two alternative
assumptions. The higher present value of cash flows computed under these
assumptions is then compared to salvage value.
1.2.4 EPA Contact for NSO Inquiries. Inquiries concerning this
portion of the requirements for NSO application should be addressed to
Laxmi M. Kesari, Environmental Protection Agency, EN 341, 1200
Pennsylvania Ave., NW., Washington, DC 20460.
1.2.5 Certification. The NSO Certification Statement must be signed
by an authorized officer of the applicant firm.
1.3 Confidentiality. Applicants may request that information
contained in this application be treated as confidential. Agency
regulations concerning claims of confidentiality of business information
are contained in 40 CFR part 2, subpart B (41 FR 36902 et seq.,
September 1, 1976, as amended by 43 FR 39997 et seq., September 8,
1978). The regulations provide that a business may, if it desires,
assert a business confidentiality claim covering part or all of the
information furnished to EPA. The claim must be made at the same time
the applicable information is submitted. The manner of asserting such
claims is specified in 40 CFR 2.203(b). Information covered by such a
claim will be handled by the Agency in accordance with procedures set
forth in the subpart B regulations. EPA will not disclose information on
a business that has made a claim of confidentiality, except to the
extent of and in accordance with 40 CFR part 2, subpart B. However, if
no claim of confidentiality is made when information is furnished to
EPA, the information may be made available to the public without notice
to the business.
2. NSO Financial Reporting Overview
2.1 Revenue and Cost Assignment. The amounts assigned to operations
of the smelter subject to this NSO application should include (1)
revenues and costs directly attributable to the smelter's operating
activities and (2) indirect operating costs shared with other segments
of the firm to the extent that a specific causal and beneficial
relationship can be identified for the allocation of such costs to the
smelter. Do not allocate revenues and costs associated with central
administrative activities for which specific causal and beneficial
relationships to the activities of the smelter cannot be established.
Nonallocable items include, but are not restricted to, amounts such as
dividend and interest income on centrally administered portfolio
investments, central corporate administrative office expenses and,
except for schedules supporting the Profit Protection Test, interest on
long-term debt financing arrangements. Provide a detailed explanation of
amounts classified as nontraceable on a separate schedule and attach as
part of Exhibit B.
2.2 Transfer Prices on Affiliated Part Transactions. Certain
transactions by the smelter subject to an NSO application may reflect
sales to or purchases from ``affiliated'' customers or suppliers with
whom the smelter has a common bond of ownership and/or managerial
control. In preparing this application, affiliated party transactions
shall be defined as transactions with any entity that the firm, or its
owners, controls directly or indirectly either through an ownership of
10 percent or more of the entity's voting interests or through an
exercise of managerial responsibility. Applicants must attach as part of
Exhibit B supporting schedules explaining the pricing policies
established on affiliated party transactions incorporated in the
financial reporting schedules.
Prices on inter-segment material and product transfers within a
firm, or on external purchases from and sales to other affiliated
suppliers and customers, may differ from the prices on comparable
transactions with unaffiliated suppliers and customers. In this event,
applicants also must present in the Exhibit B supporting schedules and
incorporate in the NSO financial reporting schedules appropriate
adjustments for restating affiliated party transactions. Affiliated
party transactions must be restated at either (a) equivalent prices on
comparable transactions with unaffiliated parties if such price
quotations can be obtained or (b) prices that provide the selling entity
with a normal profit margin above its cost of sales if a meaningful
comparison with unaffiliated transaction prices cannot be established.
A ``normal'' profit margin is defined as the gross operating profit
per dollar of operating revenue that will provide an average after-tax
rate of return on permanent capital (total assets less current
liabilities). This average rate of return is defined differently for the
historical and forecast periods. The applicant must use a rate of return
of 8.0 percent for the historical period. This figure is based on a
historical average earned rate of
[[Page 209]]
return for the nonferrous metals industry. \1\ EPA may update this
figure periodically. The updates will be available in the rulemaking
docket or from the INFORMATION CONTACT noted in the Federal Register.
For the forecast period, the applicant must use a rate of return equal
to the current weighted average cost of capital for the nonferrous
metals industry, as computed in Section 2.6.
---------------------------------------------------------------------------
\1\ The derivation of this figure is explained in two memoranda to
EPA (Item Nos. II-A-1 and IV-A-6a in EPA Docket No. A-82-35).
---------------------------------------------------------------------------
Forecast smelting charges for integrated smelters can be computed
from forecast market smelting charges. Integrated copper smelters may
use as the basis of their forecast revenues the forecast copper smelting
charges provided by EPA, adjusted as described in Section 2.4.1. An
applicant may submit other forecasts, providing the forecast methodology
is in accordance with the guidelines in Section 2.5 and fully documented
as part of Exhibit B.
2.3 Forecasting Requirements. NSO applicants must provide the Agency
with financial forecasts in Schedules B.1 through B.6 and C.1 through
C.2. Applicants requesting either a temporary or permanent waiver from
interim constant control requirements also must provide an additional
set of financial forecasts in Schedules D.1 through D.4.
2.3.1 Forecast Period. The forecast period must include at least two
full years following completion and startup of the required pollution
control system. The forecast period shall be from 1984 through 1990 for
an NSO application filed in 1984. If an application is filed in a later
year, the 1984 through 1990 period should be adjusted accordingly. All
references in this appendix to the period 1984 through 1990 should be
interpreted accordingly.
2.3.2 Forecast Adjustment by Control Case. Some line items that have
the same title in several schedules may contain different information
because they are based on different assumptions regarding pollution
controls. Production interruptions or curtailments due to the
installation of pollution control facilities may require adjustments to
certain revenue and cost estimates in the respective control cases. For
example, production curtailments associated with supplementary control
systems may be the basis for the pre-control case, yet are eliminated
when constant controls replace supplementary control systems in the
constant controls case. The application of pollution control techniques
that involve process changes in the smelter's operations (e.g.,
conversion to flash smelting) also may require specific forecasts by
applications of associated impacts on incremental operating revenues and
costs.
2.3.3 Nominal Dollar Basis. Applicants must make their financial
forecasts in terms of nominal dollars. Forecasts of selected parameters
provided by EPA will furnish guidelines to an applicant in preparing the
required cost and revenue estimates. In particular, copper smelting
charges provided in nominal-dollar terms must be used directly by the
applicant as given; i.e., the stipulated charge estimates should not be
inflated.
2.3.4 Tolling Service Equivalent Basis. Applicants must express all
revenue forecasts on a tolling service equivalent basis. Thus, forecast
revenues are computed as the product of the forecast quantity of
processed concentrate, the forecast average product grade of the
concentrate (the percent of metal in the concentrate), and the forecast
smelting charge. Smelters that are not tolling smelters and that do not
use the copper smelting charges provided by EPA (as described in Section
2.4.1) can forecast a smelting charge from forecast product grade of the
concentrate, percent recovery, and product and concentrate prices. The
forecast prices and derivation of the smelting charge must be in
accordance with the guidelines in Section 2.5, and the methodology must
be fully documented in Exhibit B.
2.4 EPA Furnished Forecast Data. In making projection for the period
1984 through 1990, applicants must, except as noted below, use the
indices provided by EPA. The table below presents yearly values for each
index (expressed as annual percentage rates of change) to be used by
smelters applying for an NSO before January 1, 1985. If forecasts are
needed for 1991 and EPA has not provided new forecasts, applicants
should use the Data Resources, Inc. forecasts for 1991 (Docket Item No.
IV-A-6c) and the average of CRU's forecasts for 1989 and 1990 (expressed
in 1991 dollars).
----------------------------------------------------------------------------------------------------------------
1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
Copper smelting charge \1\ (cents per pound)............ 14.5 14.6 16.0 15.3 15.3 15.5 15.4
Annual Percentage Rates of Change
Wages................................................... 5.0 5.7 5.8 6.1 6.4 6.7 7.0
Energy prices:
Electricity......................................... 7.0 8.8 8.1 8.3 7.1 4.9 5.5
Natural gas......................................... 3.6 5.7 9.3 8.7 9.2 8.0 8.4
Coal................................................ 5.1 7.0 8.9 9.0 9.7 9.7 9.7
Fuel oil............................................ 1.6 4.2 7.7 6.8 9.8 9.5 9.9
[[Page 210]]
GNP price deflator...................................... 4.8 5.0 5.0 5.2 5.8 5.8 5.9
----------------------------------------------------------------------------------------------------------------
\1\ Reference charge for calculating smelter-specific copper smelting charges as described in Section 2.4.1.
2.4.1 Copper smelting charge. EPA will supply a forecast of
reference copper smelting charges. These charges, which are f.o.b. U.S.
mine, are based on an estimate of export smelting charges and on the
differential value of copper in the U.S. and the world market. They must
be used in forecasting unaffiliated party revenues for the period
following the expiration of existing contracts and in forecasting
affiliated party revenues for the entire forecast period. The applicant
may submit its own smelting charge forecast for the post-contract
period, provided that such forecast is in accordance with the guidelines
in Section 2.5 and fully documented and substantiated as part of Exhibit
B.
The EPA forecast export charge represents the world market copper
smelting charge with copper valued at the London Metal Exchange (LME)
copper price. This charge serves as the reference charge for the
applicant copper smelter in calculating its smelting charges. Applicant
copper smelters must derive their smelting charges from this world
market charge as described in paragraph (a) below.
The applicant may adjust the derived smelter-specific smelting
charge to account for other factors, provided the adjustments are fully
documented as part of Exhibit B. An example of such a factor is the unit
deduction for metallurgical losses in smelting. Adjustment for this
factor is discussed in paragraph (b) below.
(a) The derivation of a smelter-specific smelting charge from the
world market charge is based on assumptions regarding transportation
costs and the U.S. producer-world copper price differential. The EPA
forecast export charge is the forecast smelting charge available at a
Japanese smelter, with copper valued at the London Metal Exchange copper
price. The charge includes no freight costs, which must be paid by the
mine. A U.S. smelter determines its smelting charge to a mine by meeting
the combined world market smelting charge, adjusted to reflect copper
valued at the U.S. producer price, and the transportation charge from
the mine to the Japanese smelter. This combined price is the highest
that a mine is willing to pay for smelting.
The smelter's net smelting charge is equal to the combined world
smelting charge, adjusted to the U.S. producer price for copper (i.e.,
the export forecast charge plus the U.S. producer price premium), and
the transportation cost between the mine and a Far East smelter, minus
the cost of transporting the concentrate between the mine and the
applicant smelter.
The applicant smelter's net smelting charge for concentrate from an
individual mine is computed by first adding the U.S. producer Price-LME
world price differential to the EPA-supplied forecast. The cost of
transporting copper from the U.S. mine to the Far East is then added to
this figure. The net smelting charge is obtained by subtracting from
this total the cost of transporting copper from the mine to the
applicant smelter. In making these calculations, an applicant must
supply (and fully document in Exhibit B), the freight cost between the
mine and the Far East and between the mine and the smelter. This freight
cost must be converted to nominal dollars of the respective forecast
years by applying the GNP percentage price change forecasts supplied by
EPA or smelter-provided forecasts of transportation price changes. The
smelter-provided forecasts of transportation price changes must comply
with guidelines regarding such forecasts in Section 2.5.
An applicant must use a 3 cent per pound U.S. producer price premium
(relative to the LME price) in calculating the smelter's net smelting
charge. The applicant may substitute its own forecasts of the U.S.
producer price premium if it can substantiate such forecasts in
accordance with the guidelines in Section 2.5 regarding applicant-
provided smelting charge forecasts of principal products. All supporting
documentation for such applicant-supplied forecasts must be supplied in
Exhibit B. Any updates of the producer price premium will be available
in the rulemaking docket or from the INFORMATION CONTACT noted in the
Federal Register.
The following two representative examples illustrate this
methodology for making the transportation and U. S. producer price
premium adjustment.
(1) The applicant smelter, located in Arizona, obtains concentrate
from an adjacent mine. The freight charge from mine to smelter is zero.
The mine is willing to pay the applicant smelter an amount no higher
than the sum of the world market smelting charge (adjusted for the
copper value differential) and the transportation cost of shipping
copper from the mine to the Far East. This combined cost is the net
charge received by the applicant smelter. If the export smelting charge
is 12 cents per pound and the freight cost between the mine and the Far
East is 13 cents per pound, the applicant smelter would calculate a net
smelting
[[Page 211]]
charge equal to 28 cents: 12 cents plus 3 cents (for the U.S. producer
price premium) plus 13 cents (for the freight cost between the mine and
the Far East).
(2) The applicant smelter obtains concentrate from a nonadjacent
mine. The mine will pay a charge no higher than the total market
smelting charge, valued at the U.S. producer price, and the
transportation costs between the mine and a Far East smelter. The
applicant's net smelting charge is equal to this combined cost minus the
transportation costs for shipping the concentrate between mine and
applicant smelter.
Suppose that the mine to Far East freight charge is 13 cents per
pound and the mine to applicant smelter freight charge is 4 cents per
pound. If the export smelting charge is 12 cents per pound, the net
smelting charge is equal to 24 cents per pound: 12 cents plus 3 cents
(for the U.S. producer price premium) plus 13 cents (for the freight
cost to the Far East) minus 4 cents (for the freight cost to the
applicant smelter).
(b) The EPA forecast charges are based on a one unit deduction for
metallurgical losses. This means that if a concentrate grades 25 percent
copper, the mine is only credited with 24 percent for metal return. The
one unit deduction on 25 percent concentrate is equivalent to a 96
percent payment for contained copper. Should a smelter recover less than
96 percent, its revenue would be less than the EPA forecast smelting
charge. Should a smelter recover more than 96 percent, its revenue would
be greater than the EPA forecast smelting charge.
2.4.2 Indices (Annual Percentage Changes). These indices, which are
expressed as annual percentage rate changes in price (wages, energy
prices, and GNP price deflator) must be used only for estimating the
rate of price increases for the forecast period following the expiration
of the applicant's current contracts. The applicant may use alternative
forecasts of annual percentage changes for the forecast period following
the expiration of current contracts, if justification is provided. Any
such alternative forecasts must be prepared by a widely-recognized
forecasting authority with expertise comparable to that of the
forecaster relied upon by EPA. In addition, the documentation of these
forecasts must be comparable to that provided by EPA's forecaster.
The wage indices are to be applied to wage paid to manufacturing
labor. The energy price indices are to be applied to prices of the
respective energy products. The GNP price deflators are to be applied to
prices for non-metal, non-labor, and non-energy inputs.
2.5 Applicant Generated Forecasts. Within the specified limitations,
applicants may submit a method of forecasting smelting charges and by-
product, co-product and other prices. The method selected must be
explained and unit prices or costs provided where applicable. The
forecast elements must be compatible with an applicant's historical cost
and revenue elements to permit direct comparisons of historical and
forecast data. Applicants must attach as part of Exhibit B appropriate
schedules explaining variances between forecast and historical unit
costs for the smelter.
Forecasts of the smelting charges of the smelter's principal product
(i.e., copper, lead, zinc, etc.) may be prepared either by an
independent forecasting authority or by the smelter's in-house
personnel. If the forecasts are prepared by an independent forecasting
authority, the following conditions must be satisfied: (1) The
forecasting authority must have expertise comparable to that of the
forecaster relied upon by EPA. (2) As much documentation of the
forecasting methodology as can reasonably be obtained must be made
available to EPA. Such documentation must, at a minimum, be comparable
to the documentation supporting EPA smelting charge forecasts. \2\
---------------------------------------------------------------------------
\2\ Documentation of the EPA forecasts is provided as part of Item
NO. IV-A-2 in EPA Docket No. A-82-35.
---------------------------------------------------------------------------
If the smelting charge forecasts are prepared by in-house personnel,
the following conditions must be met: (1) The in-house forecasts must be
certified as being based on sound methodology by an independent
forecasting authority with expertise comparable to that of the
forecaster who prepared the EPA-supplied smelting charges. The
independent forecasting authority shall also provide a brief explanation
of the basis for the conclusion reached in the certification. (2) The
smelter owner shall provide EPA with the documentation of the
forecasting methodology employed, which must at a minimum be comparable
to the extent of documentation supporting EPA's smelting charge
forecasts. The smelter owner shall also make available upon request by
EPA such additional documentation of the methodology and underlying data
as EPA considers appropriate for evaluation of the forecasts.
Forecasts of freight cost changes, which are applied to the freight
costs used in calculating a smelter's net smelting charges, must be
prepared by a widely-recognized forecasting authority. The forecaster's
expertise must be comparable to that of the forecaster relied upon by
EPA in forecasting the annual percentage changes in wages, energy
prices, and GNP. The documentation of these forecasts must be comparable
to that provided by EPA's forecaster.
To the maximum extent practicable, by-product, co-product and (when
applicable) unaffiliated smelting charges must be stated at market
prices adjusted to f.o.b. smelter. Adjustments of these pricing bases
must be made to reflect differences in grades and
[[Page 212]]
types of production. All adjustments must be consistent with expected
sales, grades and types of concentrate processed. Applicants must attach
as part of Exhibit B schedules describing and explaining the methods
used to forecast these revenue items and the adjustments required for
these revenue forecasts.
Applicants must explain fully any changes from the historical data
that are required to forecast labor productivity, ore-concentrate grade
and composition, materials and energy consumption per unit of output,
yield rates and other physical input/output relationships.
Existing contractual terms must be used in forecasting those sales
or input costs or prices to which the applicant is committed by
contracts. The use of contract-dictated prices must be disclosed and
supported by attaching as part of Exhibit B the terms and duration of
labor and other supplier arrangements.
Cost of compliance estimates need not be to the accuracy of final
design/bid estimates; feasibility grade estimates will be acceptable.
Updated cost of compliance estimates used in internal five year plans or
specially prepared estimates of costs of compliance will generally be
satisfactory.
2.6 Weighted Average Cost of Capital for Nonferrous Metal Producers.
The industry average cost of capital is a weighted average of the rates
of return for equity and debt. Its components are the interest rate and
the return on equity specific to the nonferrous metals industry.
2.6.1 Computation. \3\ The applicant must compute the cost of
capital according to the following formula:
---------------------------------------------------------------------------
\3\ The derivation of the formula and the basis of the parameters
are explained in two memoranda to EPA (Item Nos. II-A-1 and IV-A-6a in
EPA Docket No. A-82-35).
---------------------------------------------------------------------------
R = (0.65 E) + (0.182 I)
where
R = weighted average cost of capital
E = return on equity
I = interest rate.
The components are calculated as follows.
(a) Return on equity for the nonferrous metals industry. The 20 year
Treasury bond yield to maturity plus a risk premium of 8.6 percent.
(b) Interest Rate. The 20 year Treasury bond yield to maturity plus
a risk premium of 3.0 percent.
(c) Source of the 20 Year Treasury bond yield. Federal Reserve
Bulletin, most recent monthly issue. Use the average yield for the most
recent full month.
2.6.2 Discount Factor. The discount factor corresponding to the
weighted average cost of capital for any forecast year is computed
according to the following equation:
[GRAPHIC] [TIFF OMITTED] TC09NO91.029
where
DF = discount factor
R = weighted average cost of capital
N = the number of years in the future (e.g., for the applicant applying
in 1984, N = for the forecast year 1985).
The horizon value, which is described in Section 2.7, is computed as
of 1990, the end of the detailed forecast period. The discount factor to
be applied to the horizon value is the same as for any other 1990
figure. For example, if the application is made in 1984, the value of N
is 7.
2.7 Horizon Value. The horizon value is the present value of a
stream of cash flows or net income for 15 years beyond the last forecast
year. Applicants must compute the horizon value by capitalizing the
average forecast value of the last two forecast years using the current
real weighted cost of capital. The line item instructions for schedules
having a horizon value entry will specify the values to be capitalized.
The applicant averages the values of the last two years after
expressing both values in terms of the last year's dollars. The two-year
average value is then multiplied by 9.6. This is the factor associated
with capitalizing a 15 year value stream at the current real weighted
cost of capital of 6.2 percent.
Applicants must use a separate schedule to calculate the horizon
value for the Rate of Return Test and the Interim Controls Test
(Schedule C.5 and D.7, respectively). These separate schedules adjust
for potential overstatements in the horizon value cash flows that may be
caused by control equipment depreciation reported for tax purposes.
2.8 Data Entry
2.8.1 Rounding. All amounts (including both dollar values and
physical units) reported in the schedules and exhibits accompanying this
application must be rounded to the nearest thousand and expressed in
thousands of dollars or units unless otherwise indicated in the
instructions.
2.8.2 Estimates. Where an applicant's records cannot produce the
specific data required by this application, the use of estimates will be
allowed if a meaningful estimate can be made without significant
distortion of the reported results. Data estimates must be supported by
attaching on a separate sheet of paper as a part of Exhibit B an
explanation identifying where such estimates are used and showing
explicitly how the estimates were made.
2.8.3 Missing Data. Applicants must provide, where applicable, all
operating and financial data requested by this application. Only
substantially complete applications
[[Page 213]]
can be accepted for processing by the Agency. Questions concerning data
entries for which information is not provided by or cannot reasonably be
estimated from the applicant's existing accounting records should be
addressed to the EPA Contact for NSO Inquiries.
2.8.4 Historical Period. The annual data requested in the historical
schedules, Schedules A.1 through A.4, must be reported for each of the
five fiscal years immediately preceding the year in which this
application is filed. The historical period shall be from fiscal years
1979 through 1983 for an NSO application filed in 1984. If an
application is filed in a later year, the references in this appendix to
the period 1979 through 1983 should be interpreted accordingly.
2.9 Use of schedules. All applicants must complete Schedules A.1
through A.4, which record historical revenues, cost, and capital
investment data. These schedules will be used by EPA to assist in
evaluating forecast data. Completion of the remaining schedules depends
on the test required of the applicant.
2.9.1 NSO Eligibility. An NSO applicant must pass one of the
following two tests and complete the corresponding schedules.
(a) Profit Protection Test. The applicant must complete Schedules
B.1 through B.7 to determine eligibility under the Profit Protection
Test. Schedules B.1 and B.2 report the base case (without constant
controls) revenue and cost forecast, respectively, and Schedule B.3
summarizes Schedules B.1 and B.2. Base case production forecasts should
reflect any production curtailments associated with interim controls
currently (preforecast) installed on smelters. Schedules B.4 and B.5
report the revenue and cost forecast, respectively, for the constant
controls case, and Schedule B.6 summarizes Schedules B.4 and B.5 for the
Profit Protection Test.
Schedule B.7 presents the calculations for the Profit Protection
Test. The applicant enters the forecast profits from Schedules B.3 and
B.6. The present value of the forecast profits is then computed for each
case. If the present value of forecast pre-tax profits with constant
controls is less than 50 percent of the present value of forecast pre-
tax profits without controls (base case) the smelter passes the test and
is eligible for an NSO. The smelter also passes the test if the present
value of forecast pre-tax profits without controls (base case) is
negative.
(b) Rate of Return Test. The applicant must complete Schedules B.4,
B.5, and C.1 through C.5 to determine eligibility under the Rate of
Return Test. Schedules B.4 and B.5 report the revenue and cost forecast,
respectively, for the constant controls case, and Schedule C.1
summarizes Schedules B.4 and B.5 for the Rate of Return Test. Schedule
C.2 reports forecast sustaining capital investment for the constant
controls case. Schedule C.3 reports historical net investment for the
most recent fiscal year expressed in constant dollars, i.e., dollars of
the year in which the application is made.
Schedule C.4 presents the calculations for the Rate of Return Test.
The applicant reports in Schedule C.4 the forecast cash flows from
Schedules C.1 and C.2 and the horizon value from Schedule C.5, computes
their present value, and subtracts the value of invested capital in
constant dollars (taken from Schedule C.3) to yield net present value.
If the net present value is less than zero, the smelter passes the test
and is eligible to receive an NSO. This result indicates that the
smelter is expected to earn a rate of return less than the industry
average cost of capital.
2.9.2 Interim Control Waivers. An applicant for a waiver from
interim controls must complete either a portion or all of Schedules D.1
through D.7, depending on whether the application is for a temporary or
permanent waiver.
(a) Temporary Waiver from Interim Controls Test. The applicant must
complete Schedules D.1 through D.3 to establish eligibility for a
temporary waiver from interim controls. Schedules D.1 and D.2 report
forecast revenue and cost data under the assumption of installation of
interim constant control equipment and no installation of any additional
SO2 controls that the smelter would otherwise be required to
install but for the issuance of the NSO. Schedule D.3 summarizes
Schedules D.1 and D.2 and calculates gross operating profit. If gross
operating profit is negative for any year during which the NSO is in
effect, the applicant is eligible for a temporary waiver.
(b) Permanent Waiver from Interim Controls Test. The applicant must
complete Schedules D.1 through D.7. All schedules except for Schedule
D.5 must be completed twice, based on two alternative assumptions: (1)
installation of interim constant control equipment, no installation of
any additional SO2 controls that the smelter would otherwise
be required to install but for the issuance of the NSO, and closure of
the smelter after January 1, 1988; and (2) installation of interim
constant control equipment, installation of any additional
SO2 controls required to comply with the smelter's SIP
emission limitation by January 2, 1988, and continued operation of the
smelter after January 1, 1988.
Schedules D.1 and D.2 report forecast revenue and cost data under
each assumption. Schedule D.3 summarizes Schedules D.1 and D.2, and
Schedule D.4 reports forecast sustaining capital under each assumption.
Schedule D.5 reports cash proceeds from liquidation.
Schedule D.6 presents the calculations for the permanent waiver
test. In Schedule D.6, the applicant reports cash flow projections from
Schedules D.3 and D.4 and the horizon
[[Page 214]]
value from Schedule D.7, computes their present value and subtracts the
current salvage value (taken from Schedule D.5) to yield net present
value. The higher of the two net present value figures computed under
the two alternative assumptions must be used in the test. If the higher
net present value figure is negative, the applicant is eligible for a
permanent waiver.
2.10 Use of exhibits. In addition to data required by the schedules
included in this application, the following information must be attached
as exhibits.
2.10.1 Exhibit A. Background information on the firm's
organizational structure and its associated accounting and financial
reporting systems for primary nonferrous activities. This information
must include, where applicable, the firm's:
(a) Operating association with an ownership control in consolidated
subsidiaries, unconsolidated subsidiaries, joint ventures and other
affiliated companies.
(b) Organizational subdivision of its primary nonferrous activities
into profit centers, cost centers and/or related financial reporting
entities employed to control the operation of its mines, concentrators,
smelters, refineries and other associated facilities.
(c) Material and product flows among the smelter subject to this NSO
application, other integrated facilities and its affiliated suppliers
and/or customers. In the case of integrated facilities, applicants must
provide process flow diagrams depicting the operating interrelationships
among its mines, concentrators, smelters, refineries and other
integrated facilities. For both integrated and nonintegrated facilities,
applicants also must describe the proportion contributed to its primary
nonferrous activities by material purchases from and product sales to
affiliated suppliers and customers.
(d) Annual operating capacity over the five most recent fiscal years
for the smelter subject to this application. Operating capacity must be
defined in terms of the total quantity of throughput that could have
been processed with the available facilities after giving appropriate
allowance to normal downtime requirements for maintenance and repairs.
Operating capacity data also must consider both capacity balancing
requirements among processing steps and annual processing yield rates
attainable for each facility.
(e) Weighted average analysis of concentrates processed and tonnage
produced annually over each of the five most recent fiscal years by the
smelter subject to this application.
(f) Accounting system and policies for recording investment
expenditures, operating revenues, operating costs and income taxes
associated with its primary nonferrous activities. Applicants also must
provide a complete description of allocation techniques employed for
assigning investments, revenues, costs and taxes to individual profit,
cost of departmental centers for which costs are accumulated. Applicants
must further indicate the relationship of cost and/or departmental
accounting entities to the firm's established profit centers.
(g) Annual five-year operating and capital expenditure plans (or
budgets) by individual nonferrous profit center. These documents must
include previous plans prepared for the five preceding fiscal years as
well as the current one-year and five-year operating and capital
expenditure plans. At least the current one-year and five-year plans
must provide a specific breakdown of investment expenditures and
operating costs associated with the operation and maintenance of each
profit center's existing and proposed pollution control facilities.
2.10.2 Exhibit B. Supplemental description and explanation of items
appearing in the financial reporting schedules. Other parts of Section 2
and the detailed instructions for the Schedules specify the information
required in Exhibit B.
2.10.3 Exhibit C. Financial data documentation. Applicants must
document annual balance sheet, income statement and supporting data
reported for the firm's preceding five fiscal years or for that portion
of the past five years during which the firm engaged in smelter
operations. This documentation must be provided by attaching to the
application:
(a) SEC 10-K reports filed by the parent corporation for each of the
preceding five fiscal years.
(b) Certified financial statements prepared on a consolidated basis
for the parent corporation and its consolidated subsidiaries. This
requirement may be omitted for those years in which SEC 10-K reports
have been attached to this Exhibit.
(c) Business Segment Information reports filed with the Securities
and Exchange Commission by the firm for each of the preceding five years
(as available).
Schedule A.1--Historical Revenue Data
General. Use Schedule A.1 to report annual historical revenue data
for fiscal years 1979 through 1983. Revenues include product sales and
associated operating revenues, net of returns and allowances, from
smelter sales and/or transfers of copper, lead, zinc and molybdenum or
other nonferrous metal products and tolling services to both
unaffiliated and affiliated customers. The line items in Schedule A.1
are explained in the following instructions.
Lines 01, 14, 27 and 40--Primary Nonferrous Product Sales. Report
for each year the total quantity of copper, lead, zinc and molybdenum or
other nonferrous metal product sales.
[[Page 215]]
Lines 02, 15, 28 and 41--Unaffiliated Customer Sales. Report for
each year the respective quantities of copper, lead, zinc and molybdenum
or other nonferrous metal product sales to unaffiliated customers.
Lines 03, 16, 29 and 42--Unaffiliated Customer Revenues. Report for
each year the total operating revenues derived from smelter sales of
copper, lead, zinc and molybdenum or other nonferrous metals to
unaffiliated customers.
Lines 04, 17, 30 and 43--Unaffiliated Customer Prices. Report for
each year the average unit price received on smelter sales of copper,
lead, zinc and molybdenum or other nonferrous metals to unaffiliated
customers. The prices are computed as operating revenues reported on
Lines 03, 16, 29 and 42 divided by the quantities reported on Lines 02,
15, 28 and 41, respectively.
Lines 05, 18, 31 and 44--Average Product Quality Grade. Report for
each year the average quality rating assigned to copper, lead, zinc and
molybdenum or other nonferrous metal products purchased by the smelter's
unaffiliated customers.
Lines 06, 19, 32 and 45--Affiliated Customers Sales. Report for each
year the respective quantities of copper, lead, zinc and molybdenum or
other nonferrous metal product sales to affiliated customers.
Lines 07, 20, 33 and 46--Affiliated Customer Revenues. Report for
each year the total operating revenues derived from smelter sales of
copper, lead, zinc and molybdenum or other nonferrous metals to
affiliated customers. These revenues should be stated at prices
equivalent to those received on comparable sales to unaffiliated
customers as described in Section 2.2. Attach as part of Exhibit B an
explanation of the methodology used to state affiliated customer
revenues.
Lines 08, 21, 34 and 47--Affiliated Customer Prices. Report for each
year the average unit price received on smelter sales of copper, lead,
zinc and molybdenum or other nonferrous metals to affiliated customers.
The prices are computed as operating revenues reported on Lines 07, 20,
33 and 46 divided by the quantities reported on Lines 06, 19, 32 and 45,
respectively.
Lines 09, 22, 35 and 48--Average Product Quality Grade. Report for
each year the average quality rating assigned to copper, lead, zinc and
molybdenum or other nonferrous metal products purchased by the smelter's
affiliated customers.
Lines 10, 23, 36 and 49--Total Primary Product Revenues. Report for
each year total operating revenues derived from the smelter's sales to
unaffiliated and affiliated customers of copper (Lines 03 + 07), lead
(Lines 16 + 20), zinc (Lines 29 + 33) and molybdenum or other nonferrous
metals (Lines 42 + 46).
Lines 11, 24, 37 and 50--Transfer Price Adjustments. Report for each
year operating revenue adjustments required to equate affiliated
customer transfer prices with unaffiliated customer market prices on
smelter sales of copper, lead, zinc and molybdenum or other nonferrous
metals. Attach as part of Exhibit B an explanation of the method used
for restating transfer prices where such adjustments are necessary.
Lines 12, 25, 38 and 51--Other Revenue Adjustments. Report for each
year sales returns and allowances and other adjustments applicable to
the smelter's revenues derived from copper, lead, zinc and molybdenum or
other nonferrous metal product sales. Attach as part of Exhibit B a
schedule reporting the types and amounts of such adjustments.
Lines 13, 26, 39 and 52--Adjusted Product Revenues. Enter for each
year the sums of Lines 10 through 12 for adjusted copper sales (Line
13), Lines 23 through 25 for adjusted lead sales (Line 26), Lines 36
through 38 for adjusted zinc sales (Line 39) and Lines 49 through 51 for
adjusted molybdenum or other nonferrous metal sales (Line 52).
Line 53--Primary Metal Revenues. Enter for each year the sum of
Lines 13, 26, 39 and 52.
Line 54--Toll Concentrates Processed. Report for each year the total
quantity of toll concentrates processed.
Lines 55 to 58--Customer Toll Revenues. Report for each year the
quantity of toll concentrates processed for unaffiliated customers (Line
55), total operating revenues derived from this processing (Line 56),
average price charged per ton of concentrate processed (Line 57 = Line
56/55) and the average quality rating assigned to toll concentrates
processed for unaffiliated customers (Line 58).
Lines 59 to 62--Affiliated Customer Toll Revenues. Report for each
year the quantity of toll concentrates processed for affiliated
customers (Line 59), total operating revenues derived from such
processing (Line 60), average price charged per ton of concentrate
processed (Line 61 = Line 60/59) and the average quality rating (Line
62) assigned to toll concentrates processed for affiliated customers.
Line 63--Tolling Service Revenues. Enter for each year the total of
amounts reported on Lines 56 and 60.
Line 64--Transfer Price Adjustments. Report for each year operating
revenue adjustments required to equate affiliated customer transfer
prices with market prices charged to unaffiliated customers on the
smelter's tolling services. Attach as part of Exhibit B an explanation
of the method used for restating transfer prices where such adjustments
are necessary.
Line 65--Other Revenue Adjustments. Report for each year other
adjustments applicable to the smelter's tolling service revenues. Attach
as part of Exhibit B a schedule reporting the types and amounts of such
adjustments.
[[Page 216]]
Line 66--Adjusted Tolling Service Revenues. Enter for each year the
total of Lines 63 through 65.
Line 67--Co-Product Revenues. Report for each year the net revenues
from sales of co-products derived from the smelter's operations. Attach
as part of Exhibit B a schedule showing by individual type of co-
product, the quantity produced and sold, market price per unit of sales
and total revenues derived from the co-product sales.
Line 68--Pollution Control By-product Revenues. Report for each year
revenues from the sale of by-products derived from operation of the
smelter's pollution control facilities. Attach as part of Exhibit B a
schedule showing by type of by-product produced, the quantity of output,
market price received per unit of output sold and total revenue derived
from the by-product sales.
Line 69--Other By-product Revenues. Report for each year revenues
from the sales of gold, silver and other by-products derived from the
smelter's operations. Attach as part of Exhibit B a schedule providing
additional documentation as specified in the instruction for Line 68.
Line 70--Total Co-product and By-product Revenues. Enter for each
year the total of Lines 67 through 69.
Schedule A.2--Historical Cost Data
General. Use Schedule A.2 to report annual historical cost and input
quantities for smelter operations for fiscal years 1979 through 1983.
The line items in Schedule A.2 are explained in the following
instructions.
Line 01--Total Quantity Purchased. Report for each year the total
quantity of concentrates purchased by the smelter. This will be sum of
Lines 02 and 06. Do not include the quantity of toll concentrates.
Line 02--Quantity Purchased. Report for each year the total quantity
of concentrates purchased from unaffiliated suppliers by the smelter.
Attach as a part of Exhibit B a description of the types and grades of
these concentrates. Do not include the quantity of toll concentrates.
Line 03--Concentrate Cost. Report for each year the outlays paid to
unaffiliated suppliers for concentrates. Attach as part of Exhibit B an
explanation of the method(s) used in determining these outlays and
relationship between concentrate prices and the types and grades of
concentrates purchased from unaffiliated suppliers.
Line 04--Average Unit Price. Report for each year the average unit
price paid for purchases of concentrates from unaffiliated suppliers.
Generally, this value will be equivalent to Line 03 divided by Line 02.
If this equivalency does not hold, attach as a part of Exhibit B an
explanation of the variance.
Line 05--Average Concentrate Grade. Report for each year the average
concentrate grade of concentrates purchased from unaffiliated suppliers.
Attach as part of Exhibit B an explanation of this average. The average
should correspond to the average price reported in Line 04.
Line 06--Quantity Purchased. Report for each year the total quantity
of concentrates purchased from affiliated suppliers by the smelter.
Attach as part of Exhibit B a description of the types and grades of
these concentrates. Do not include the quantity of toll concentrates.
Line 07--Concentrate Cost. Report for each year the actual outlays
paid to affiliated suppliers for concentrates. Attach as part of Exhibit
B an explanation of the method(s) used in determining these outlays and
relationship between concentrate prices and the types and grades of
concentrates purchased from affiliated suppliers. Do not reflect any
adjustments to market prices here.
Line 08--Average Unit Price. Report for each year the average unit
price paid for purchases of concentrates from affiliated suppliers.
Generally, this value will be equivalent to Line 07 divided by Line 06.
If this equivalency does not hold, attach as part of Exhibit B an
explanation of the variance.
Line 09--Average Concentrate Grade. Report for each year the average
concentrate grade of concentrates purchased from affiliated suppliers.
Attach as part of Exhibit B an explanation of this average. The average
should correspond to the average price reported in Line 08.
Line 10--Total Concentrate Cost. Enter for each year the sum of
Lines 03 and 07.
Line 11--Transfer Price Adjustments. Enter for each year the amounts
required to adjust outlays paid to affiliated suppliers to market value.
Refer to Section 2.2 for instructions on the restatement of affiliated
party transactions. Attach as part of Exhibit B a description and the
computations of any required cost adjustments.
Line 12--Other Cost Adjustments. Enter for each year the amounts of
any other cost adjustments required such as freight or allowances.
Attach as part of Exhibit B the identification and the derivation of
these adjustments.
Line 13--Adjusted Concentrate Cost. Enter for each year the adjusted
concentrate cost reflecting the adjustments reported in Lines 11 and 12.
Line 14--Direct Labor Hours. Report for each year the quantity of
direct labor hours required to support the processing levels previously
reported. Attach as part of Exhibit B an explanation of the labor
productivity factor involved.
Line 15--Average Hourly Wage Rate. Report for each year the average
wage rate paid per unit of direct labor input. Attach as part of Exhibit
B a description of direct labor costs factors under existing labor
contracts and an
[[Page 217]]
explanation of the method(s) used to determine wage rates.
Line 16--Total Wage Payments. Enter for each year the product of
Lines 14 and 15.
Line 17--Supplemental Employee Benefits. Report adjustments required
to direct labor costs for other employee compensation under supplemental
benefit plans. Attach as part of Exhibit B a description of such plans
and their costs and an explanation of the method(s) used to determine
such costs.
Line 18--Total Production Labor Cost. Enter for each year the total
of Lines 16 and 17.
Lines 19, 22, 25, 28 and 31--Energy Quantities. Report for each year
the quantity of energy by type required to support the processing levels
reported in the smelter's revenue. Attach as part of Exhibit B, an
explanation of energy use factors and qualities considered in
determining the smelter's energy requirements.
Lines 20, 23, 26, 29 and 32--Unit Prices. Report for each year a
price paid per unit of energy input by type of energy. Attach as part of
Exhibit B, a description of the energy price factors under existing
energy contracts and an explanation of the method(s) used to determine
unit energy prices.
Lines 21, 24, 27, 30 and 33--Total Payments. Enter for each year the
products of quantity and prices paid for electricity (Lines 19 20),
natural gas (Lines 22 23), coal (Lines 25 26), fuel oil (Lines 28
29), and other (Lines 31 32).
Line 34--Total Energy Costs. Enter for each year the total of Lines
21, 24, 27, 30 and 33.
Schedule A.3--Historical Profit and Loss Summary
General. Use Schedule A.3 to report annual revenues, cost and income
taxes assignable to operation of the smelter subject to this NSO
application for fiscal years 1979 through 1983. Assignable revenues and
costs should include only the results of transactions either (1)
directly associated with smelter operations or (2) for which the
applicant can establish a causal and beneficial relationship with
smelter operations pursuant to instructions in Section 2.1. The line
items in Schedule A.3 are explained in the following instructions.
Line 01--Primary Metal Sales. Enter the totals reported in Schedule
A.1, Line 40.
Line 02--Co-Product and By-Product Sales. Report for each year
annual revenues, net or returns and allowances, derived from smelter
sales and/or transfers of co-products and by-products to both
unaffiliated and affiliated customers. Attach as part of Exhibit B a
supporting schedule for each major co-product and by-product component
of smelter revenues. Segregate the revenues reported by major co-product
and by-product components into their unaffiliated customer and
affiliated customer elements. Report for each component's unaffiliated
and affiliated customer revenue elements the (1) average grade of
product sold, (2) actual quantity sold, (3) average price per unit, and
(4) total smelter revenues. Also show for each product line any
adjustments required to restate transfer prices and explain the basis
for such adjustments. Refer to Section 2.2 for instructions on the
restatement of affiliated customer revenues.
Line 03--Tolling Service Revenues. Enter the totals reported in
Schedule A.1, Line 53.
Line 04--Other Operating Revenues. Report for each year annual
revenues directly associated with smelter operations that have not
previously been reported on Lines 01 through 03. Attach as part of
Exhibit B a schedule showing the types and amounts of sales reported as
other operating revenue. The following non-operating revenue and income
items should not be included as other operating revenue or as a part of
revenues reported on Lines 01 through 03.
Royalties, licensing fees and other income from intangibles.
Interest and dividend income on portfolio investments.
Equity in income (loss) of unconsolidated subsidiaries and affiliates.
Gain (loss) from discontinued operations and disposal of property.
Minority interest adjustment to consolidated subsidiary income.
Extraordinary items.
Line 05--Total Operating Revenue. Enter for each year the total of
Lines 01 through 04.
Line 06--Concentrates Processed. Report the cost of concentrates
processed and sold or transferred to unaffiliated and affiliated
customers from Schedule A.2, Line 13. Concentrates purchased from
unaffiliated suppliers should be valued at the actual prices paid.
Concentrates purchased from affiliated suppliers should be valued at or,
if necessary, restated to equivalent prices quoted by unaffiliated
suppliers. If prices used to report revenues are c.i.f. and concentrate
costs are f.o.b. smelter, all transportation charges paid on the
smelter's or buyer's account should be excluded from smelter expense.
Attach as part of Exhibit B supporting schedules showing the:
Annual value of concentrate purchases classified according to purchases
from unaffiliated and affiliated suppliers.
Cost of sales adjustments to concentrate purchases for net annual
additions to or withdrawals from concentrate inventories, freight-in on
concentrate purchases and inventory spoilage.
Impact on cost of sales for restating, where applicable, the cost of
concentrate purchases from affiliated suppliers to the equivalent prices
paid to unaffiliated suppliers.
Volumes, grades and net prices of concentrate purchases from
unaffiliated and
[[Page 218]]
affiliated suppliers by type of concentrate purchased.
Volumes, grades and net prices associated with toll concentrates
processed by type of concentrate.
Line 07--Other Materials Costs. Report for each year annual costs
incurred for flux, refractories, coke and other materials used by the
smelter in its processing of concentrates. Materials purchased from
unaffiliated suppliers should be valued at the actual prices paid after
adjustment for transportation costs incurred. Materials purchased from
affiliated suppliers should be valued at or, if necessary, restated to
equivalent prices quoted by unaffiliated suppliers. Include in Exhibit B
supporting schedules showing the:
Annual value of material purchases classified according to purchases
from unaffiliated and affiliated suppliers.
Cost of sales adjustments to material purchases for net annual additions
to or withdrawals from material inventories, freight costs on material
purchases and inventory loss.
Impact on cost of sales for restating, where applicable, the costs of
material purchases from affiliated suppliers to equivalent prices paid
to unaffiliated suppliers.
Classification of other material costs by major cost factors for each
cost component that exceeds 20 percent of any line item in the cost of
sales schedule.
Line 08--Production Labor Costs. Report for each year total direct
labor costs incurred by the smelter for processing purchased and toll
concentrates, Schedule A.2, Line 18. Include in Exhibit B supporting
schedules showing the:
Manhours and wage rates for major labor classifications.
Potential impact on wage rates of provision in the smelter's current
labor contracts.
Explanation of major variances observed in direct labor costs over the
five-year period as a result of factors such as strikes or new labor
contracts.
Line 09--Energy Costs. Enter the totals reported in Schedule A.2,
Line 34.
Line 10--Pollution Control Costs. Report for each year expenses
incurred for operating and maintaining pollution control facilities. All
by-product credits associated with pollution control facility operations
should be eliminated and reported on Line 02. Depreciation and
amortization charges against the smelter's pollution control facilities
should be reported separately on Line 18. Attach as part of Exhibit B
supporting schedules showing the:
Major pollution control cost elements with their values classified
according to direct and indirect cost factors.
Techniques used to allocate indirect pollution control costs to major
cost pools.
Line 11--Production Overhead. Report for each year the total costs
for indirect labor, indirect materials and other production overhead
costs associated with the smelter. Attach as part of Exhibit B a
schedule showing annual overhead costs by major cost components
associated with the smelter's operations. For each cost component, where
appropriate, identify the quantity and unit price element of overhead
costs.
Line 12--Other Production Costs. Report for each year annual smelter
overhead and other production costs not previously reported on Lines 06
through 11. By-product credits, if any, should be eliminated and
reported on Line 02 as operating revenues. Attach as part of Exhibit B
supporting schedules showing the:
Major cost elements classified according to direct and indirect
production costs.
Disaggregation of major overhead cost components into their fixed and
variable cost elements.
Allocation techniques used in assigning indirect overload costs to the
major cost components.
Elements of overhead costs represented by purchases from affiliated
suppliers and adjustments, if any, required to restate these costs on
the basis of equivalent prices paid to unaffiliated supplier.
Line 13--Total Cost of Sales. Enter for each year the total of Lines
06 through 12.
Line 14--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 13.
Line 15--Selling, General & Administrative (SG&A) Expenses. Report
for each year SG&A expenses attributable to the smelter's annual
operating activities. Exclude those operating costs to be reported
separately on Lines 16 through 21 and those costs for which causal and
beneficial relationships to the smelter cannot be established. Attach as
part of Exhibit B supporting schedules (1) segregating SG&A expenses by
major expense components, (2) classifying the major expense components
according to those costs incurred directly by smelter operations and
costs allocated to the smelter from indirect cost pools, and (3)
explaining the basis used for indirect cost allocations.
Line 16--Taxes, Other Than Income Tax. Report for each year all
taxes (exclusive of Federal, State, local and foreign income taxes)
assignable to the smelter's operations. Attach as part of Exhibit B, a
schedule that (1) segregates these operating taxes by major component,
(2) classifies each component according to direct and indirect cost
elements, and (3) explains the basis used for indirect cost allocations.
Line 17--Research Costs. Report for each year research costs
(exclusive of capitalized costs reported in Schedule A.4) that are
assignable to the smelter's annual operations.
[[Page 219]]
Attach as part of Exhibit B a schedule (1) segregating exploration and
research costs by major expense components, (2) classifying each expense
component according to direct and indirect cost elements, and (3)
explaining the basis used for indirect cost allocations.
Line 18--Pollution Control Depreciation and Amortization. Report for
each year annual depreciation and amortization charges attributable to
the smelter's investment in pollution control facilities and equipment.
Reported charges should be computed in accordance with depreciation and
amortization methods adopted for tax reporting purposes by the firm.
Attach explanatory supporting schedules as part of Exhibit B.
Line 19--Other Facility Depreciation and Amortization. Report for
each year annual depreciation and amortization charges (exclusive of
charges reported on Line 18) assignable to the smelter's operations.
Attach explanatory supporting schedules as part of Exhibit B.
Line 20--Interest on Short-Term Debt. Report for each year interest
expense and associated financial charges on current liabilities in
accordance with the assignment instructions in Section 2.1. Do not
include interest on the portion of long-term debt due within the current
year for each reporting period.
Line 21--Miscellaneous Operating Expenses. Report for each year any
additional expenses assignable to the smelter's annual operations.
Attach as part of Exhibit B a schedule (1) segregating these additional
expenses into major expense components, (2) classifying each expense
component according to costs incurred directly by the smelter and costs
allocated to the smelter from indirect cost pools, and (3) explaining
the basis used for indirect cost allocations.
Line 22--Total Other Operating Expenses. Enter for each year the
total of Lines 15 through 21.
Line 23--Income from Operations. Enter for each year the difference
between Lines 14 and 22.
Line 24--Gain/(Loss) from Disposition of Property. Report net gains
or losses recognized during each year from disposition of property,
plant and equipment. Report such gains or losses in accordance with the
firm's normal practice for certified financial statement reporting. If
such gains or losses are not significant and are classified otherwise,
no reclassification need be made. A note to this effect must be included
in Exhibit B.
Line 25--Miscellaneous Income and Expenses. Report minority interest
in income, foreign currency translation effects, and other non-operating
income and expenses directly assignable to the smelter and not
recognized elsewhere on this schedule. Report such items in accordance
with the accounting methods used for certified financial reporting
purposes.
Line 26--Total Other Income and Expenses. Enter for each year the
sum of Lines 24 and 25.
Line 27--Net Taxable Income. Enter for each year the difference
between Lines 23 and 26.
Schedule A.4--Historical Capital Investment Summary
General. Use Schedule A.4 to report annual end-of-period asset
investments and current liabilities for fiscal years 1979 through 1983.
These figures must correspond with the revenues and costs associated
with operation of the smelter subject to this NSO application as
reported in Schedule A.3.
The amounts assigned to the subject smelter should include both (1)
investments and liabilities directly identifiable with the smelter's
operating activities and (2) asset investments shared with other
segments to the extent that a specific causal and beneficial
relationship can be established for the intersegment allocation of such
investments. Do not allocate to the smelter the costs of assets
maintained for general corporate purposes. Provide a detailed
explanation of amounts classified as nontraceable on a separate schedule
and attach as part of Exhibit B.
Applicants shall also restate trade receivables and payables for
transfer price adjustments on the smelter's transactions with affiliated
customers. The line items in Schedule A.4 are explained in the following
instructions.
Line 01--Cash on Hand and Deposit. Report for each year total cash
balances assignable to the smelter's operations at the end of each year
on the basis of causal and beneficial relationships with total corporate
activities. Attach as part of Exhibit B in explanation of the basis used
for allocation.
Line 02--Temporary Cash Investments. Report for each year temporary
cash investments in time deposits or other short-term securities.
Include only those investments either held by the smelter to meet
current-period tax payments or other budgeted expenditures specifically
identifiable with the smelter's continued operation. Exclude any
temporary cash investments for which no specific future outlay
requirement can be identified.
Attach as part of Exhibit B a schedule classifying temporary cash
investments according to identifiable budgeted expenditure requirements.
Lines 03 and 04--Net Trade Receivables. Report for each year trade
accounts and notes, net of reserves for uncollectible items, assignable
to the smelter in relation to its unaffiliated (Line 03) and affiliated
(Line 04) customer sales and transfers. Trade receivables reported by
the smelter as due from affiliated customers should be stated or, if
necessary, restated on credit terms equivalent to those received by
unaffiliated customers
[[Page 220]]
on a sale of comparable products. Attach as part of Exhibit B a schedule
showing adjustments in the smelter's receivables investments required to
equate trade credit terms extended to affiliated and unaffiliated
customers.
Lines 05 and 06--Inventory Investments. Report for each year
respective end-of-period investments in raw material, work-in-process
and finished good inventories held to support the smelter's production
and sale of products (Line 05) and associated inventories of other
materials and supplies (Line 06). These inventories must be valued at
current market prices. Inventory purchases from affiliated suppliers
should also be stated at current market prices or, if necessary,
restated at current market prices prevailing on purchases from
unaffiliated suppliers. Attach explanatory supporting schedules as part
of Exhibit B.
Line 07--Other Current Assets. Report for each year prepaid
expenses, deferred charges, non-trade notes and accounts receivable, and
other assets classified as current for certified financial statement
reporting purposes that are assignable to the smelter's operations.
Attach as part of Exhibit B a schedule classifying these other current
assets according to their types and amounts.
Line 08--Total Current Assets. Enter for each year the total of
Lines 01 through 07.
Lines 09 to 14--Property, Plant and Equipment. Report for each year
by individual line item property, plant and equipment investments
assignable to smelter operations. Include in gross facility investments
at the end of each period both (1) property, plant and equipment
directly associated with the smelter's operations and (2) facilities
shared with other operating segments to the extent that a causal and
beneficial relationship can be established for the inter-segment
allocation of such facility investments.
Attach as part of Exhibit B a schedule reporting by individual line
item the annual capital expenditures on additional property, plant and
equipment investments in the smelter's operations. Further classify
these annual capital expenditures into both (1) investments required to
maintain the smelter versus investments in smelter expansion and
improvement and (2) direct facility versus joint-use facility
investments. Explain the method used for allocating capital expenditures
on joint-use facilities to the smelter's operations. Refer to Line 17
instructions for additional reporting requirements on the smelter's
facility investments.
Line 15--Total Smelter Investment. Enter for each year the total of
Lines 09 through 14.
Line 16--Accumulated Depreciation and Amortization. Report for each
year accumulated depreciation, amortization and other valuation charges
recorded for certified financial statement reporting purposes in
relation to smelter investment as reported on Line 15. Other valuation
charges are defined in Financial Accounting Standards Board (FASB)
Statement No. 19 as losses recognized in connection with an impairment
in the value of an unimproved property below its acquisition cost. Refer
to Line 17 instructions for additional reporting requirements on smelter
facility investments.
Line 17--Net Smelter Investment. Enter for each year the difference
between Lines 15 and 16. Attach as part of Exhibit B a schedule
classifying gross facility investments, accumulated depreciation,
amortization charges, and net facility investments by major pollution
control and non-pollution control components. Identify for each asset
component the direct versus joint-use investments assigned to the
smelter and explain the basis used to allocate amounts associated with
joint-use facilities to the smelter.
Line 18--Other Non-Current Assets. Report for each year other assets
assignable to the smelter's operations. Attach as part of Exhibit B a
schedule reporting by type and amount the major components of such
investments.
Line 19--Total Smelter Capital Investment. Enter for each year the
total of Lines 08, 17 and 18.
Line 20 and 21--Trade Accounts and Notes Payable. Report for each
year trade accounts and notes due on the smelter's purchases from
unaffiliated suppliers (Line 20) and on its intersegment transfers or
purchases from affiliated suppliers (Line 21). Trade payables reported
by the smelter as due to affiliated suppliers should be stated or, if
necessary, restated on terms equivalent to those received from
unaffiliated suppliers on a purchase of comparable materials. Attach as
part of Exhibit B a schedule showing adjustments required on the
smelter's trade payables to equate trade credit terms received from
affiliated and unaffiliated suppliers.
Line 22--Other Expense Accruals. Report for each year payments
classified as current for salaries and wages, other employee benefits,
operating taxes and related operating expenses assignable to the
smelter's operations. Attach as part of Exhibit B a schedule classifying
by type and amount the major components of such accruals.
Line 23--Current Notes Payable. Report for each year payments due to
nontrade creditors on short-term financing arrangements directly
associated with the smelter's operations. Exclude current installments
due on long-term debt financing arrangements, notes due to offices and
directors, intersegment loans or advances and loans or advances from
affiliated operating segments.
Line 24--Other Current Liabilities. Report for each year other
nontrade payables classified as current obligations assignable to the
smelter's operations.
[[Page 221]]
Line 25--Total Current Liabilities. Enter for each year the total of
Lines 20 through 24.
Line 26--Net Smelter Capital Investment. Enter for each year the
difference between Lines 19 and 25.
Schedule B.1--Pre-Control Revenue Forecast
General. Use Schedule B.1 to report annual forecasts of operating
revenues anticipated during the years 1984 through 1990 from operation
of the smelter subject to this NSO application. These pre-control
revenue projections should be based on revenues and production
associated with operating the smelter without any SO2 air
pollution controls that have not been installed as of the NSO
application date. Forecast smelter revenues should be expressed on a
tolling service equivalent basis as described in Section 2.3.4.
Copper smelters that will process concentrates containing an average
of 1,000 pounds per hour or more of arsenic during the forecast period
should assume that they will use best engineering techniques to control
fugitive emissions of arsenic. All smelters should also assume that they
will be required to meet all other regulatory requirements in effect at
the time the application is made.
The line items in Schedule B.1 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts and (3) provide data
and information to support the forecasts.
Lines 01 and 05--Concentrates Processed. Report for each year the
forecast quantity of concentrates processed for unaffiliated parties
(Line 01) and affiliated parties (Line 05).
Lines 02 and 06--Smelting Charge. Report for each year the forecast
smelting charge for unaffiliated parties (Line 02) and affiliated
parties (Line 06). See Section 2.4 for forecast copper smelting charges
furnished by EPA.
Lines 03 and 07--Total Smelter Revenues. Report for each year the
forecast total operating revenues derived from processing concentrates.
The total for unaffiliated parties (Line 03) is equal to the product of
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product
of Lines 05, 06, and 08.
Lines 04 and 08--Average Product Grade. Report for each year the
forecast average quality rating assigned to concentrates processed for
unaffiliated parties (Line 04) and affiliated parties (Line 08).
Line 09--Total Co-Product Revenues. Report for each year the
forecast net revenues from sales of co-products derived from the
smelter's operations. Attach as part of Exhibit B a schedule showing by
individual type of co-product, the forecast quantity produced and sold,
forecast market price per unit of sales, and forecast total revenues
derived from the co-product sales.
Line 10--Total By-product Revenues From Pollution Control
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control
facilities, excluding any SO2 air pollution controls that
have not been installed as of the NSO application date. Attach as part
of Exhibit B a schedule showing by type of by-product produced (e.g.,
sulfuric acid) the forecast quantity of output, forecast market price
per unit of output sold, and forecast total revenue derived from the by-
product sales.
Line 11--Total By-product Revenues From Other Smelter Processing.
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of
Exhibit B a schedule providing additional documentation as specified in
the instructions for Line 10.
Line 12--Total Co-product and By-product Revenues. Enter for each
year the total of Lines 09 through 11.
Schedule B.2--Pre-Control Cost Forecast
General. Use Schedule B.2 to report annual forecasts of operating
costs anticipated during the years 1984 through 1990 from operation of
the smelter subject to this NSO application. These pre-control cost
projections should be based on costs and production associated with
operating the smelter without any SO2 air pollution controls
that have not been installed as of the NSO application date.
Copper smelters that will process concentrates containing an average
of 1,000 pounds per hour or more of arsenic during the forecast period
should assume that they will use best engineering techniques to control
fugitive emissions of arsenic. All smelters should also assume that they
will be required to meet all other regulatory requirements in effect at
the time the application is made.
The line items in Schedule B.2 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts, and (3) provide data
and information to support the forecasts.
Line 01--Direct Labor Hours. Report for each year the quantity of
direct labor hours required to support the processing levels previously
reported. Attach as part of Exhibit B an explanation of the labor
productivity factors involved.
Line 02--Average Hourly Wage Rate. Report for each year the forecast
average wage rate per unit of direct labor input. Attach as part of
Exhibit B a description of direct labor cost factors under any existing
labor contracts
[[Page 222]]
that extend to the forecast period and an explanation of the methodology
used to forecast wage rates. EPA-provided forecast wage indices are
reported in Section 2.4.
Line 03--Total Wage Payments. Enter for each year the product of
Lines 01 and 02.
Line 04--Supplemental Employee Benefits. Report for each year
adjustments required to direct labor costs for other employee
compensation under supplemental benefit plans. Attach as part of Exhibit
B a description of such plans and their costs and an explanation of the
methodology used to forecast such costs. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 05--Total Production Labor Cost. Enter for each year the total
of Lines 03 and 04.
Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year
the quantity of energy by type required to support the processing levels
reported in the smelter's revenue. Attach as part of Exhibit B an
explanation of energy characteristics and use factors considered in
forecasting the smelter's future energy requirements.
Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the
forecast price per unit of energy input by type of energy. Attach as
part of Exhibit B a description of the energy price factors under any
existing energy contracts that extend to the forecast period and an
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year
the products of quantity and prices paid for electricity (Lines 06
07), natural gas (Lines 09 10), coal (Lines 12 13), fuel oil (Lines
15 16), and other (Lines 18 19).
Line 21--Total Energy Costs. Enter for each year the total of Lines
08, 11, 14, 17, and 20.
Schedule B.3--Pre-Control Forecast Profit and Loss Summary
General. Use Schedule B.3 to report annual forecasts of operating
revenues and operating costs derived in Schedules B.1 and B.2 for the
years 1984 through 1990. The transfer of line items from Schedules B.1
and B.2 to this Schedule is explained in the following instructions.
Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals
reported in Schedule B.1, Line 03.
Line 02--Smelter Revenues-Affiliated Parties. Enter the totals
reported in Schedule B.1, Line 07.
Line 03--Co-product and By-product Sales Revenues. Enter the totals
reported in Schedule B.1, Line 12.
Line 04--Other Operating Revenues. Report operating revenues
anticipated from sources not accounted for under Lines 01 through 03.
Refer to instructions for Line 04 of Schedule A.3 for items that should
not be included in ``Other Operating Revenues.'' Attach as part of
Exhibit B a schedule showing annual amounts forecast by individual
revenue component for ``other'' operating revenues associated with the
smelter's forecast pre-control operations. Identify in the supporting
schedule any differences in the ``other'' revenue components reported in
this Schedule and Schedule A.3 and explain the reasons for such
differences.
Line 05--Total Operating Revenues. Enter for each year the total of
Lines 01 through 04.
Line 06--Material Costs. Report total costs forecast for flux,
refractories, coke and other materials directly associated with the
smelter's processing of concentrates. Attach as part of Exhibit B a
schedule showing the annual amounts forecast by major material cost
components. For each cost component, identify the forecast quantity and
unit price elements of material cost and explain the basis for
forecasting these quantity and price elements. Identify in the
supporting schedule any differences in the ``other'' material cost
components shown in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 07--Production Labor Costs. Enter the totals reported in
Schedule B.2, Line 05.
Line 08--Energy Costs. Enter the totals reported in Schedule B.2,
Line 21.
Line 09--Pollution Control Costs. Report the total costs forecast
for expenses identifiable with operation and maintenance of all
pollution control equipment and facilities except any SO2 air pollution
controls that have not been installed as of the NSO application date.
By-product credits associated with operation of the pollution control
facilities should be eliminated from the cost accounts, reclassified to
Schedule B.1, Line 10 and included in Line 03 of this Schedule. Attach a
schedule as part of Exhibit B classifying pollution control costs by
major cost components. Explain the basis used for estimating each of the
cost components.
Line 10--Production Overhead Costs. Report the total costs forecast
for indirect labor, indirect materials and other production overhead
costs associated with the smelter's operations. Attach as part of
Exhibit B a schedule showing annual overhead costs projected by major
cost components associated with the smelter's operations. For each cost
component, where appropriate, identify the forecast quantity and unit
price elements of overhead costs and explain the basis for estimating
these quantity and price elements. Also identify in the supporting
schedule any differences in production overhead cost classifications
used in this Schedule and Schedule A.3 and explain the reasons for such
differences.
[[Page 223]]
Line 11--Other Production Costs. Report other forecast production
costs not previously reported on Lines 06 through 10. Attach as part of
Exhibit B supporting schedules showing the basis of the forecasts.
Line 12--Total Cost of Sales. Enter for each year the sum of
operating costs reported on Lines 06 through 11.
Line 13--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 12.
Line 14--Selling, General and Administrative Expenses. Report the
total costs forecast for administrative, marketing and general corporate
overhead functions that directly or indirectly support the smelter's
operations. Refer to the NSO Financial Reporting Overview for a general
discussion of indirect cost allocations from overhead cost pools. Attach
as part of Exhibit B a schedule classifying selling, general and
administrative expenses into major cost components. Indicate whether
each component represents costs directly assignable to the smelter or
indirect costs allocated from other business segments to the smelter.
Explain the basis used for estimating the amount of expected costs
included in each component and the basis used for allocating indirect
cost elements to the smelter. Identify and explain any differences
between the selling, general and administrative cost classification used
in this Schedule and that used in Line 15 of Schedule A.3.
Line 15--Taxes, Other than Income Taxes. Report the total costs
forecast for property taxes and associated levies paid to governmental
units by or for the benefits of the smelter operation. Attach as part of
Exhibit B a schedule classifying operating taxes by major component.
Indicate whether each component represents taxes directly assignable to
the smelter or taxes that have been allocated among more than one
facility. Explain the basis used for estimating taxes and the basis for
any allocation of taxes to the smelter. Identify and explain any
differences between the component classifications used in this Schedule
and those used in Line 16 of Schedule A.3.
Line 16--Research Costs. Report the estimates of research costs
incurred directly by or for the benefit of the smelter operations.
Attach as part of Exhibit B a schedule classifying the costs by major
direct and indirect assigned components. Explain the basis for
estimating the costs assigned to each component. Identify and explain
any differences between classifications used in this Schedule and those
used in Line 17 of Schedule A.3.
Line 17--Pollution Control Facility Depreciation and Amortization.
Report the estimates of depreciation and amortization charges associated
with the smelter's actual and forecast investment in all pollution
control equipment and facilities except any SO2 air pollution
controls that have not been installed as of the NSO application date.
Reported charges should be computed in accordance with depreciation and
amortization methods adopted for certified financial statement reporting
purposes by the firm. Attach explanatory supporting schedules as part of
Exhibit B.
Line 18--Other Smelter Facility Depreciation and Amortization.
Report the pro forma estimates of depreciation and amortization charges
associated with the smelter's investment in equipment and facilities
other than those classified as pollution control facilities. Attach
explanatory supporting schedules as part of Exhibit B.
Line 19--Interests. Report the estimates of interest and other
financing charges on the smelter's current and long-term liabilities.
Attach as part of Exhibit B a schedule showing the interest-bearing debt
contracts identifiable with the smelter's operations, the interest rate
projected for these contracts, and the estimated annual interest
charges.
Line 20--Miscellaneous Operating Expenses. Report only the total
operating expenses associated with or allocated to the smelter that
cannot be appropriately classified in one of the preceding line items.
Attach as part of Exhibit B a schedule showing the classification of
these residual operating expenses into major cost components. Explain
the basis used for forecasting the cost under each component. Identify
each cost component in terms of direct or indirect cost and explain the
basis used for allocating the indirect costs to smelter operations.
Identify and explain any differences between cost classifications
included in this Schedule and those used in Line 21 of Schedule A.3.
Line 21--Total Other Operating Expenses. Enter for each year the sum
of operating costs reported on Lines 14 through 20.
Line 22--Income From Operations. Enter for each year the difference
between Lines 21 and 13.
Schedule B.4--Constant Controls Revenue Forecast
General. Use Schedule B.4 to report annual forecasts of operating
revenues anticipated during the years 1984 through 1990 from operation
of the smelter subject to this NSO application. These constant controls
revenue forecasts should be based on an assumption that the applicant
immediately implements a program of additional pollution control
facility investments sufficient to achieve full compliance with the
smelter's SIP stack emission limitations for sulfur dioxide. Forecast
smelter revenues should be expressed on a tolling service equivalent
basis as described in Section 2.3.4.
The assumed investment program should be based on whichever
adequately demonstrated system, applicable to the smelter, that would be
most economically beneficial subsequent to installation of the system.
For
[[Page 224]]
this purpose, adequately demonstrated systems include those specified in
Section 57.102(b)(1).
Copper smelters that will process concentrates containing an average
of 1,000 pounds per hour or more of arsenic during the forecast period
should assume that they will use best engineering techniques to control
fugitive emissions of arsenic. All smelters should also assume that they
will be required to meet all other regulatory requirements in effect at
the time the application is made.
The line items in Schedule B.4 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts, and (3) provide data
and information to support the forecasts.
Lines 01 and 05--Concentrates Processed. Report for each year the
forecast quantity of concentrates processed for unaffiliated parties
(Line 01) and affiliated parties (Line 05).
Lines 02 and 06--Smelting Charge. Report for each year the forecast
smelting charge for unaffiliated parties (Line 02) and affiliated
parties (Line 06). See Section 2.4 for forecast copper smelting charges
furnished by EPA.
Lines 03 and 07--Total Smelter Revenues. Report for each year the
forecast total operating revenues derived from processing concentrates.
The total for unaffiliated parties (Line 03) is equal to the product of
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product
of Lines 05, 06, and 08.
Lines 04 and 08--Average Product Grade. Report for each year the
forecast average quality rating assigned to concentrates processed for
unaffiliated parties (Line 04) and affiliated parties (Line 08).
Line 09--Total Co-Product Revenues. Report for each year the
forecast net revenues from sales of co-products derived from the
smelter's operations. Attach as part of Exhibit B a schedule showing by
individual type of co-product, the forecast quantity produced and sold,
forecast market price per unit of sales, and forecast total revenues
derived from the co-product sales.
Line 10--Total By-product Revenues From Pollution Control
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control
facilities. Attach as part of Exhibit B a schedule showing by type of
by-product produced (e.g., sulfuric acid) the forecast quantity of
output, forecast market price per unit of output sold, and forecast
total revenue derived from the by-product sales.
Line 11--Total By-product Revenues From Other Smelter Processing.
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of
Exhibit B a schedule providing additional documentation as specified in
the instructions for Line 10.
Line 12--Total Co-product and By-product Revenues. Enter for each
year the total of Lines 09 through 11.
Schedule B.5--Constant Controls Cost Forecast
General. Use Schedule B.5 to report annual forecasts of operating
costs anticipated during the years 1984 through 1990 from operation of
the smelter subject to this NSO application. These constant controls
cost forecasts should be based on an assumption that the applicant
immediately implements a program of additional pollution control
facility investments sufficient to achieve full compliance with the
smelter's SIP stack emission limitations for sulfur dioxide.
The assumed investment program should be based on whichever
adequately demonstrated system, applicable to the smelter, would be most
economically beneficial subsequent to installation of the system. For
this purpose, adequately demonstrated systems include those specified in
Sec. 57.102(b)(1).
Copper smelters that will process concentrates containing an average
of 1,000 pounds per hour or more of arsenic during the forecast period
should assume that they will use best engineering techniques to control
fugitive emissions of arsenic. All smelters should also assume that they
will be required to meet all other regulatory requirements in effect at
the time the application is made.
The line items in Schedule B.5 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts, and (3) provide data
and information to support the forecasts.
Line 01--Direct Labor Hours. Report for each year the quantity of
direct labor hours required to support the processing levels previously
reported. Attach as part of Exhibit B an explanation of the labor
productivity factors involved.
Line 02--Average Hourly Wage Rate. Report for each year the forecast
average wage rate per unit of direct labor input. Attach as part of
Exhibit B a description of direct labor cost factors under any existing
labor contracts that extend to the forecast period and an explanation of
the methodology used to forecast wage rates. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 03--Total Wage Payments. Enter for each year the product of
Lines 01 and 02.
Line 04--Supplemental Employee Benefits. Report for each year
adjustments required to direct labor costs for other employee
compensation under supplemental benefit plans. Attach as part of
Exhibits B a description of
[[Page 225]]
such plans and their costs and an explanation of the methodology used to
forecast such costs. EPA-provided forecast wage indices are reported in
Section 2.4.
Lines 05--Total Production Labor Cost. Enter for each year the total
of Lines 03 and 04.
Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year
the quantity of energy by type required to support the processing levels
reported in the smelter's revenue. Attach as part of Exhibit B an
explanation of energy characteristics and use factors considered in
forecasting the smelter's future energy requirements.
Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the
forecast price per unit of energy input by type of energy. Attach as
part of Exhibit B a description of the energy price factors under any
existing energy contracts that extend to the forecast period and an
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year
the products of quantity and prices paid for electricity (Lines 06
07), natural gas (Lines 09 10), coal (Lines 12 13), fuel oil (Lines
15 16), and other (Lines 18 19).
Lines 21--Total Energy Costs. Enter for each year the total of Lines
08, 11, 14, 17, and 20.
Schedule B.6--Constant Controls Forecast Profit and Loss Summary for the
Profit Protection Test
General. Use Schedule B.6 to report annual forecasts of operating
revenues and operating costs derived in Schedules B.4 and B.5 for the
years 1984 through 1990. These constant controls forecasts should be
based on an assumption that the applicant immediately implements a
program of additional pollution control facility investments sufficient
to achieve full compliance with the smelter's SIP stack emission
limitations for sulfur dioxide. The transfer of line items from
Schedules B.4 and B.5 to this Schedule is explained in the following
instructions.
Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals
reported in Schedule B.4, Line 03.
Line 02--Smelter Revenues-Affiliated Parties. Enter the totals
reported in Schedule B.4, Line 07.
Line 03--Co-product and By-product Sales Revenues. Enter the totals
reported in Schedule B.4, Line 12.
Line 04--Other Operating Revenues. Report operating revenues
anticipated from sources not accounted for under Lines 01 through 03.
Refer to instructions for Line 04 of Schedule A.3 for items that should
not be included in ``Other Operating Revenues.'' Attach as part of
Exhibit B a schedule showing annual amounts forecast by individual
revenue component for ``other'' operating revenues associated with the
smelter's forecast constant controls operations. Identify in the
supporting schedule any differences in the ``other'' revenue components
reported in this Schedule and Schedule A.3 and explain the reasons for
such differences.
Line 05--Total Operating Revenues. Enter for each year the total of
Lines 01 through 04.
Line 06--Material Costs. Report total costs forecast for flux,
refractories, coke and other materials directly associated with the
smelter's processing of concentrates. Attach as part of Exhibit B a
schedule showing the annual amounts forecast by major material cost
components. For each cost component, identify the forecast quantity and
unit price elements of material cost and explain the basis for
forecasting these quantity and price elements. Identify in the
supporting schedule any differences in the ``other'' material cost
components shown in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 07--Production Labor Costs. Enter the totals reported in
Schedule B.5, Line 05.
Line 08--Energy Costs. Enter the totals reported in Schedule B.5,
Line 21.
Line 09--Pollution Control Costs. Report the total costs forecast
for expenses identifiable with operation and maintenance of all
pollution control equipment and facilities. By-product credits
associated with operation of the pollution control facilities should be
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10
and included in Line 03 of this Schedule. Attach a schedule as part of
Exhibit B classifying pollution control costs by major cost components.
Explain the basis used for estimating each of the cost components.
Line 10--Production Overhead Costs. Report the total costs forecast
for indirect labor, indirect materials and other production overhead
costs associated with the smelter's constant controls forecasts. Attach
as part of Exhibit B a schedule showing annual overhead costs projected
by major cost components associated with the smelter's operations. For
each cost component, where appropriate, identify the forecast quantity
and unit price elements of overhead costs and explain the basis for
estimating these quantity and price elements. Also identify in the
supporting schedule any differences in production overhead cost
classifications used in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 11--Other Production Costs. Report other forecast production
costs not previously reported on Lines 06 through 10. Attach as part of
Exhibit B supporting schedules showing the basis of the forecasts.
Line 12--Total Cost of Sales. Enter for each year the sum of
operating costs reported on Lines 06 through 11.
[[Page 226]]
Line 13--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 12.
Line 14--Selling, General and Administrative Expenses. Report the
total costs forecast for administrative, marketing and general corporate
overhead functions that directly or indirectly support the smelter's
operations. Refer to the NSO financial Reporting Overview for a general
discussion of indirect cost allocations from overhead cost pools. Attach
as part of Exhibit B a schedule classifying selling, general and
administrative expenses into major cost components. Indicate whether
each component represents costs directly assignable to the smelter or
indirect costs allocated from other business segments to the smelter.
Explain the basis used for estimating the amount of expected costs
included in each component and the basis used for allocating indirect
cost elements to the smelter. Identify and explain any differences
between the selling, general and administrative cost classification used
in this Schedule and that used in Line 15 of Schedule A.3.
Line 15--Taxes, Other than Income Taxes. Report the total costs
forecast for property taxes and associated levies paid to governmental
units by or for the benefit of the smelter operation. Attach as part of
Exhibit B a schedule classifying operating taxes by major component.
Indicate whether each component represents taxes directly assignable to
the smelter or taxes that have been allocated among more than one
facility. Explain the basis used for estimating taxes and the basis for
any allocation of taxes to the smelter. Identify and explain any
differences between the component classifications used in this Schedule
and those used in Line 16 of Schedule A.3.
Line 16--Research Costs. Report the estimates of research costs
incurred directly by or for the benefit of the smelter operations.
Attach as part of Exhibit B a schedule classifying the costs by major
direct and indirect cost components. Explain the basis for estimating
the costs assigned to each component. Identify and explain any
differences between classifications used in this Schedule and those used
in Line 17 of Schedule A.3.
Line 17--Pollution Control Facility Depreciation and Amortization.
Report the estimates of depreciation and amortization charges associated
with the smelter's actual and forecast investment in all pollution
control equipment and facilities. Reported charges should be completed
in accordance with depreciation and amortization methods adopted for
certified financial statement reporting purposes by the firm. Attach
explanatory supporting schedules as part of Exhibit B.
Line 18--Other Smelter Facility Depreciation and Amortization.
Report the pro forma estimates of depreciation and amortization charges
associated with the smelter's investment in equipment and facilities
other than those classified as pollution control facilities. Attach
explanatory supporting schedules as part of Exhibit B.
Line 19--Interest. Report the estimates of interest and other
financing charges on the smelter's current and long-term liabilities.
Attach as part of Exhibit B a schedule showing the interest-bearing debt
contracts identifiable with the smelter's operations, the interest rate
projected for these contracts, and the estimated annual interest
charges.
Line 20--Miscellaneous Operating Expenses. Report only the total
operating expenses associated with or allocated to the smelter that
cannot be appropriately classified in one of the preceding line items.
Attach as part of Exhibit B a schedule showing the classification of
these residual operating expenses into major cost components. Explain
the basis used for forecasting the cost under each component. Identify
each cost component in terms of direct or indirect cost and explain the
basis used for allocating the indirect costs to smelter operations.
Identify and explain any differences between cost classifications
included in this Schedule and those used in Line 21 of Schedule A.3.
Line 21--Total Other Operating Expenses. Enter for each year the sum
of operating costs reported on Lines 14 through 20.
Line 22--Income From Operations. Enter for each year the difference
between Lines 21 and 13.
Schedule B.7--Profit Protection Test
General. Applicants must complete this Schedule and/or Schedule C.4
and the accompanying schedules if they seek eligibility for an NSO. The
line items in Schedule B.7 are explained in the following instructions.
Line 01--Net Income from Operations. Enter for each year the amounts
reported in Schedule B.3, Line 22.
Line 02--Discount Factors. Enter the discount factor for each year,
computed as described in the instructions under Section 2.6.
Line 03--Present Value of Future Net Income. Enter for each year the
product of Lines 01 and 02.
Line 04--Horizon Value. Enter under the Total column, the estimated
horizon value of the smelter. This shall be computed by capitalizing the
forecast net income from operations in Line 01 as described in the
instructions under Section 2.7.
Line 05--Discount Factor. Enter under the Total column the
appropriate discount factor corresponding to the weighted cost of
capital, computed as described in the instructions under Section 2.6.
Line 06--Present Value of Horizon Value. Enter under the Total
column the product of Lines 04 and 05.
Line 07--Present Value of Future Net Income. Enter under the Total
Column the sum of amounts previously reported on Line 03 for 1984
through 1990.
[[Page 227]]
Line 08--Total Present Value. Enter for each year the sum of Lines
06 and 07.
Line 09--Net Income from Operations. Enter for each year the amount
reported in Schedule B.6, Line 22.
Line 10--Discount Factors. Follow the instructions for Line 02.
Line 11--Present Value of Future Net Income. Enter for each year the
product of Lines 09 and 10.
Line 12--Horizon Value. Enter under the Total column, the estimated
horizon value of the smelter. This shall be computed by capitalizing the
forecast net income from operations in Line 09 as described in the
instructions under Section 2.7.
Line 13--Discount Factor. Follow the instructions for Line 05.
Line 14--Present Value of Horizon Value. Enter under the Total
column the product of Lines 12 and 13.
Line 15--Present Value of Future Net Income. Enter under the Total
column the sum of amounts previously reported on Line 11 for 1984
through 1990.
Line 16--Total Present Value. Enter the sum of Lines 14 and 15.
Line 17--Ratio for Total Present Value of Constant Controls Case to
Total Present Value of Pre-Control Case. Enter the ratio of Lines 16 to
08. If this ratio is less than .50, the smelter passes the Profit
Protection Test. An applicant also passes the Profit Protection Test if
the reported total present value of pre-tax profits for the pre-control
case on Line 08 is a negative value.
Schedule C.1--Constant Controls Forecast Profit and Loss Summary for the
Rate of Return Test
General. Use Schedule C.1 to report forecast revenue and cost
information derived in Schedules B.4 and B.5 for the years 1984 through
1990. These constant controls forecasts should be based on an assumption
that the applicant immediately implements a program of additional
pollution control facility investments sufficient to achieve full
compliance with the smelter's SIP stack emission limitations for sulfur
dioxide. The transfer of line items from Schedules B.4 and B.5 to this
Schedule is explained in the following instructions.
Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals
reported in Schedule B.4, Line 03.
Line 02--Smelter Revenues-Affiliated Parties. Enter the totals
reported in Schedule B.4, Line 07.
Line 03--Co-product and By-product Sales Revenues. Enter the totals
reported in Schedule B.4, Line 12.
Line 04--Other Operating Revenues. Report operating revenues
anticipated from sources not accounted for under Lines 01 through 03.
Refer to instructions for Line 04 of Schedule A.3 for items that should
not be included in ``Other Operating Revenues.'' Attach as part of
Exhibit B a schedule showing annual amounts forecast by individual
revenue component for ``other'' operating revenues associated with the
smelter's forecast constant controls operations. Identify in the
supporting schedule any differences in the ``other'' revenue components
reported in this Schedule and Schedule A.3 and explain the reasons for
such differences.
Line 05--Total Operating Revenues. Enter for each year the total of
Lines 01 through 04.
Line 06--Material Costs. Report total costs forecast for flux,
refractories, coke and other materials directly associated with the
smelter's processing of concentrates. Attach as part of Exhibit B a
schedule showing the annual amounts forecast by major material cost
components. For each cost component, identify the forecast quantity and
unit price elements of material cost and explain the basis for
forecasting these quantity and price elements. Identify in the
supporting schedule any differences in the ``other'' material cost
components shown in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 07--Production Labor Costs. Enter the totals reported in
Schedule B.5, Line 05.
Line 08--Energy Costs. Enter the totals reported in Schedule B.5,
Line 21.
Line 09--Pollution Control Costs. Report the total costs forecast
for expenses identifiable with operation and maintenance of all
pollution control equipment and facilities. By-product credits
associated with operation of the pollution control facilities should be
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10
and included in Line 03 of this Schedule. Attach a schedule as part of
Exhibit B classifying pollution control costs by major cost components.
Explain the basis used for estimating each of the cost components.
Line 10--Production Overhead Costs. Report the total costs forecast
for indirect labor, indirect materials and other production overhead
costs associated with the smelter's constant controls forecasts. Attach
as part of Exhibit B a schedule showing annual overhead costs projected
by major cost components associated with the smelter's operations. For
each cost component, where appropriate, identify the forecast quantity
and unit price elements of overhead costs and explain the basis for
estimating these quantity and price elements. Also identify in the
supporting schedule any differences in production overhead cost
classifications used in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 11--Other Production Costs. Report other forecast production
costs not previously reported on Lines 06 through 10. Attach as part of
Exhibit B supporting schedules showing the basis of the forecasts.
[[Page 228]]
Line 12--Total Cost of Sales. Enter for each year the sum of
operating costs reported on Lines 06 through 10.
Line 13--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 12.
Line 14--Selling, General and Administrative Expenses. Report the
total costs forecast for administrative, marketing and general corporate
overhead functions that directly or indirectly support the smelter's
operations. Refer to the NSO Financial Reporting Overview for a general
discussion of indirect cost allocations from overhead cost pools. Attach
as part of Exhibit B a schedule classifying selling, general and
administrative expenses into major cost components. Indicate whether
each component represents costs directly assignable to the smelter or
indirect costs allocated from other business segments to the smelter.
Explain the basis used for estimating the amount of expected costs
included in each component and the basis used for allocating indirect
cost elements to the smelter. Identify and explain any differences
between the selling, general and administrative cost classification used
in this Schedule and that used in Line 15 of Schedule A.3.
Line 15--Taxes, Other than Income Taxes. Report the total costs
forecast for property taxes and associated levies paid to governmental
units by or for the benefit of the smelter operation. Attach as part of
Exhibit B a schedule classifying operating taxes by major component.
Indicate whether each component represents taxes directly assignable to
the smelter or taxes that have been allocated among more than one
facility. Explain the basis used for estimating taxes and the basis for
any allocation of taxes to the smelter. Identify and explain any
differences between the component classifications used in this Schedule
and those used in Line 16 of Schedule A.3.
Line 16--Research Costs. Report the estimates of research costs
incurred directly by or for the benefit of the smelter operations.
Attach as part of Exhibit B a schedule classifying the costs by major
direct and indirect costs components. Explain the basis for estimating
the costs assigned to each component. Identify and explain any
differences between classifications used in this Schedule and those used
in Line 17 of Schedule A.3.
Line 17--Pollution Control Facility Depreciation and Amortization.
Report the estimates of depreciation and amortization charges associated
with the smelter's actual and forecast investment in all pollution
control equipment and facilities. Reported charges should be computed in
accordance with depreciation and amortization methods adopted for tax
reporting purposes by the firm. Attach explanatory supporting schedules
as part of Exhibit B.
Line 18--Other Smelter Facility Depreciation and Amortization.
Report the pro forma estimates of depreciation and amortization charge
associated with the smelter's investment in equipment and facilities
other than those classified as pollution control facilities. Attach
explanatory supporting schedules as part of Exhibit B.
Line 19--Interest on Short-Term Debt. Report the estimates of
interest and other financing charges on forecast short-term obligations
as classified in the smelter's current liabilities on Schedule A.4.
Interest and associated financing charges on long-term debt should not
be included as an expense identifiable with the smelter's operations.
Attach as part of Exhibit B a schedule showing the interest-bearing,
short-term debt contracts identifiable with the smelter's operations,
the interest rate projected for these contracts, and the estimated
annual interest charges. Identify and explain any differences between
the classifications used in this Schedule and those used in Line 20 of
Schedule A.3.
Line 20--Miscellaneous Operating Expenses. Report only the total
operating expenses associated with or allocated to the smelter that
cannot be appropriately classified in one of the preceding line items.
Attach as part of Exhibit B a schedule showing the classification of
these residual operating expenses into major cost components. Explain
the basis used for forecasting the cost under each component. Identify
each cost component in terms of direct or indirect cost and explain the
basis used for allocating the indirect costs to smelter operations.
Identify and explain any differences between cost classification
included in this Schedule and those used in Line 21 of Schedule A.3.
Line 21--Total Other Operating Expenses. Enter for each year the sum
of operating costs reported on Lines 14 through 20.
Line 22--Income From Operations. Enter for each year the difference
between Lines 21 and 13.
Line 23--Income Taxes. Enter the product of income from operations
(Line 22) and the sum of the Federal, State and local marginal tax
rates. Attach as part of Exhibit B a schedule detailing the estimated
marginal tax rate by taxing entity.
Line 24--Net Income From Operations. Enter for each year the
difference between Lines 23 and 22.
Schedule C.2--Constant Controls Sustaining Capital Investment Forecast
General. The applicant should estimate and report, in Schedule C.2,
yearly sustaining capital outlays for maintenance of the smelter's
existing productive capability. These estimates should be forecast under
the assumption that full compliance with SIP emission limitations for
SO2 will be achieved. Major elements of these outlays should
be disclosed, as well as the total of
[[Page 229]]
such outlays. Estimates shall be restricted to those items that will be
capitalized for tax purposes. These outlays shall primarily be for plant
replacement, although outlays for improvements and expansion may be
included to the extent that improvements and/or expansion, exclusive of
required pollution control outlays, can be justified as economically
feasible. Estimates of sustaining capital shall exclude any incremental
investment for constant control requirements. Sustaining capital
investments in facilities shared with other operating segments shall be
allocated in accordance with the instructions given below.
Estimates of sustaining capital shall be compatible with productive
capacity and pollution control requirements underlying the operating
revenue and cost forecasts incorporated in Schedule C.1.
Lines 01 to 06--Sustaining Capital. Report for each year by
individual line item property, plant and equipment sustaining capital
investments assignable to smelter operations. Include both (1) property,
plant and equipment directly associated with the smelter's operations
and (2) facilities shared with other operating segments to the extent
that a causal and beneficial relationship can be established for the
intersegment allocations of such facility investments.
Attach as part of Exhibit B an explanatory schedule disclosing and
supporting by individual line item the major elements of annual capital
expenditures for sustaining capital. Further classify these annual
capital expenditures into both (1) investments required to maintain the
smelter versus investments in smelter expansion and improvements and (2)
direct facility versus joint-use facility investments. Explain the
method used for allocating capital expenditures on joint-use facilities
to the smelter's operations.
Line 07--Total Smelter Sustaining Capital. Enter for each year the
total of Lines 01 through 06. Transfer the reported total for each year
to Schedule C.4, Line 06.
Schedule C.3--Historical Capital Investment In Constant Dollars
General. Use Schedule C.3 to report the end-of-period asset
investments and current liabilities for the most recent fiscal year: (a)
expressed in nominal dollars as of the date of the original transaction,
and (b) expressed in the current year's dollars, i.e. 1984 dollars. The
value of net investment in constant dollars (1984 dollars for smelters
applying for an NSO in 1984) is used in Schedule C.4 as the benchmark of
the Rate of Return Test.
Applicants should complete Schedule C.3 according to the following
instructions. Transfer into the first column of Schedule C.3 the
historical cost figures that are reported in the last (1983) column of
Table A.4. In the second column of Schedule C.3, report the figures from
the first column of Schedule C.3, expressed in constant (1984) dollars.
Convert each nominal dollar figure of the first column into constant
(1984) dollars in accordance with the historical cost/constant dollar
accounting method defined in Financial Accounting Standards Board (FASB)
Statement No. 33 (Docket Item No. IV-A-6d), with the following
exception: the applicant must not report the lower recoverable amount as
required by FASB No. 33. Attach explanatory supporting schedules as part
of Exhibit B.
Schedule C.4--Rate of Return Test
General. Applicants must complete this Schedule and/or Schedule B.7
and the accompanying schedules if they seek eligibility for an NSO. The
line items in Schedule C.4 are explained in the following instructions.
Line 01--Net Income from Operations. Enter for each year the amounts
reported in Schedule C.1, Line 24.
Lines 02 and 03--Depreciation and Amortization. Enter for each year
the amounts reported in Schedule C.1, Lines 17 and 18, respectively.
Line 04--Operating Cash Flow. Enter for each year the total of
amounts reported on Lines 01 through 03.
Line 05--Constant Controls Capital Investment. Enter the estimated
capital outlays for constant controls for the years during which outlays
would be made. These values shall correspond to the constant control
investment estimates shown in the supporting schedules for Line 17 of
Schedule C.1. Changes in working capital investment due to investment in
constant controls facilities may be added to the capital investment
estimates shown in the supporting schedules for Schedule C.1.
Line 06--Sustaining Capital. Enter for each year the amounts
reported in Schedule C.2, Line 07.
Line 07--Total. Enter for each year the sum of Lines 05 and 06.
Line 08--Net Cash Flow Projections. Enter for each year the
difference between Lines 04 and 07.
Line 09--Discount Factors. Enter the discount factor for each year,
computed as described in the instructions under Section 2.6.
Line 10--Present Value of Future Cash Flows. Enter for each year the
product of Lines 08 and 09.
Line 11--Horizon Value. Enter under the Total column the estimated
horizon value of the smelter reported in Schedule C.5, Line 16.
Line 12--Discount Factor. Enter under the Total column the
appropriate discount factor, computed as described in the instructions
under Section 2.6.
Line 13--Present Value of Horizon Value. Enter under the Total
column the product of Lines 11 and 12.
[[Page 230]]
Line 14--Present Value of Future Cash Flows. Enter under the Total
column the sum of amounts previously reported on Line 10 for 1984
through 1990.
Line 15--Total Present Value. Enter the sum of Lines 13 and 14.
Line 16--Net Smelter Capital Investment in Constant Dollars. Enter
under the Total column the amount reported in the second (Constant
Dollar) column of Schedule C.3, Line 26 if the value is greater than
zero. If the value is zero or less, enter zero.
Line 17--Net Present Value. Enter the difference between Lines 15
and 16. Applicants reporting a negative net present value will pass the
Rate of Return Test.
Schedule C.5--Horizon Value of Cash Flows for the Rate of Return Test
General. The applicant should use Schedule C.5 to calculate the
horizon value of net cash flow projections for the Rate of Return Test.
This horizon value is used in Schedule C.4. The computation of the
horizon value is different for this test than for the Profit Protection
Test because this test requires the reporting of depreciation for tax
purposes.
In Schedule C.5, the applicant removes the tax savings of constant
controls depreciation from the cash flows for the last two forecast
years. A depreciation-free horizon value is then calculated from these
depreciation-free cash flows. The tax savings of constant controls
depreciation during the horizon years are then calculated separately.
The final horizon value is equal to the sum of the depreciation-free
horizon value and the tax savings from depreciation of constant controls
accruing over the horizon years. The line items in Schedule C.5 are
explained in the following instructions.
Line 01--Net Cash Flow Projections. Enter for each of the final two
forecast years the values in Schedule C.4, Line 08, for the
corresponding years.
Line 02--Depreciation and Amortization. Enter for each of the final
two forecast years the value in Schedule C.4, Line 02, for the
corresponding years.
Line 03--Marginal Tax Rate. Enter for each of the final two forecast
years the marginal income tax rate applicable to the smelter. This rate
should incorporate both Federal and State tax liability.
Line 04--Tax Savings. Enter for each of the final two forecast years
the product of Lines 02 and 03.
Line 05--Nominal Dollar Values. Enter for each of the final two
forecast years the difference between Lines 01 and 04.
Line 06--1990 Dollar Values. For each of the final two forecast
years the nominal dollar values must be expressed in the last forecast
year's dollars (1990 dollars). Transfer the 1990 amount in Line 05
directly to Line 06. Inflate the 1989 amount to 1990 dollars using the
forecast GNP price deflator.
Line 07--Average. Enter under the Total column the average of the
two values in Line 06.
Line 08--Horizon Factor. Enter under the Total column the horizon
factor provided in Section 2.7.
Line 09--Depreciation-free Horizon Value. Enter under the Total
column the product of Lines 07 and 08.
Line 10--Depreciation and Amortization. Enter for each year of the
horizon period depreciation charges associated with the smelter's
investment in equipment and facilities related to pollution controls.
These investments should include those actually made and those required
to be made by the end of the forecast period. Reported charges should be
computed in accordance with depreciation and amortization methods
adopted for tax reporting purposes by the firm. Attach as part of
Exhibit B supporting schedules consistent with those supporting Line 17
in Schedule C.1.
Line 11--Marginal Tax Rate. Enter for each year of the horizon
period the marginal income tax rate applicable to the smelter. This rate
should incorporate both Federal and State tax liability.
Line 12--Tax Savings. Enter for each year of the horizon period the
product of Lines 10 and 11.
Line 13--Discount Factors. Enter the discount factor for each year
of the horizon period. This shall be computed according to the
instructions under Section 2.6, except that the variable N found in the
discount factor formula represents the number of years in the future,
counting from the last forecast year. For example, N = 1 for the first
year of the horizon period.
Line 14--Present Value of Tax Savings. Enter for each year of the
horizon period the product of Lines 12 and 13.
Line 15--Total Present Value of Tax Savings. Enter under the Total
column the sum of values on Line 14 for the horizon years.
Line 16--Horizon Value. Enter under the Total column the sum of
Lines 09 and 15.
Schedule D.1--Interim Controls Revenue Forecast
General. Use Schedule D.1 to report annual forecasts of operating
revenues anticipated during the years 1984 through 1990 from operation
of the smelter applying for an interim controls waiver. The applicant
applying for a permanent waiver should complete Schedule D.1 twice, with
revenue and production projections based on two alternative assumptions:
(1) Installation of interim constant control equipment, no installation
of any additional SO2 controls that the smelter would
otherwise be required to install but for the issuance of an NSO, and
closure after January 1, 1988, and (2) installation of interim constant
control equipment and any additional SO2 controls required to
comply with
[[Page 231]]
the smelter's SIP emission limitation by January 2, 1988, so that the
smelter will remain open through the horizon period. The applicant
applying for a temporary waiver should use only the first assumption.
For a smelter that has no continuous emission controls, the assumed
interim control investment program should be based on the installation
and operation of a well-designed sulfuric acid plant to treat all strong
gas streams. For a smelter that already has some continuous emission
controls, the assumed interim constant control investment should be
based on the installation and operation of any additional acid plant
capacity that would be necessary for treatment of all strong streams
with interim constant controls. The interim controls projections should
account for other regulatory requirements on the same basis as provided
for in the NSO eligibility tests.
Forecast smelter revenues should be expressed on a tolling service
equivalent basis as described in Section 2.3.4. The line items in
Schedule D.1 are explained in the following instructions. Attach as part
of Exhibit B schedules to (1) explain the methods used to make the
required forecasts, (2) explain differences, if any, between historical
trends and the forecasts, and (3) provide data and information to
support the forecasts.
Lines 01 and 05--Concentrates Processed. Report for each year the
forecast quantity of concentrates processed for unaffiliated parties
(Line 01) and affiliated parties (Line 05).
Lines 02 and 06--Smelting Charge. Report for each year the forecast
smelting charge for unaffiliated parties (Line 02) and affiliated
parties (Line 06). See Section 2.4 for forecast copper smelting charges
furnished by EPA.
Lines 03 and 07--Total Smelter Revenues. Report for each year the
forecast total operating revenues derived from processing concentrates.
The total for unaffiliated parties (Line 03) is equal to the product of
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product
of Lines 05, 06, and 08.
Lines 04 and 08--Average Product Grade. Report for each year the
forecast average quality rating assigned to concentrates processed for
unaffiliated parties (Line 04) and affiliated parties (Line 08).
Line 09--Total Co-Product Revenues. Report for each year the
forecast net revenues from sales of co-products derived from the
smelter's operations. Attach as part of Exhibit B a schedule showing by
individual type of co-product the forecast quantity produced and sold,
forecast market price per unit of sales, and forecast total revenues
derived from the co-product sales.
Line 10--Total By-product Revenues From Pollution Control
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control
facilities. Attach as part of Exhibit B a schedule showing by type of
by-product produced (e.g., sulfuric acid) the forecast quantity of
output, forecast market price per unit of output sold, and forecast
total revenue derived from the by-product sales.
Line 11--Total By-product Revenues From Other Smelter Processing.
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of
Exhibit B a schedule providing additional documentation as specified in
the instructions for Line 10.
Line 12--Total Co-product and By-product Revenues. Enter for each
year the total of Lines 09 through 11.
Schedule D.2--Interim Controls Cost Forecast
General. Use Schedule D.2 to report annual forecasts of operating
costs anticipated during the years 1984 through 1990 from operation of
the smelter applying for an interim controls waiver. The applicant
applying for a permanent waiver should complete Schedule D.2 twice, with
cost and production projections based on two alternative assumptions:
(1) Installation of interim constant control equipment, no installation
of any additional SO2 controls that the smelter would
otherwise be required to install but for the issuance of an NSO, and
closure after January 1, 1988, and (2) installation of interim constant
control equipment and any additional SO2 controls required to
comply with the smelter's SIP emission limitation by January 2, 1988, so
that the smelter will remain open through the horizon period. For a
smelter that has no continuous emission controls, the assumed interim
control investment program should be based on the installation and
operation of a well-designed sulfuric acid plant to treat all strong gas
streams. For a smelter that already has some continuous emission
controls, the assumed interim constant control investment should be
based on the installation and operation of any additional acid plant
capacity that would be necessary for treatment of all strong streams
with interim constant controls. The interim controls projections should
account for other regulatory requirements on the same basis as provided
for in the NSO eligibility tests.
The line items in Schedule D.2 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts, and (3) provide data
and information to support the forecasts.
Line 01--Direct Labor Hours. Report for each year the quantity of
direct labor hours required to support the processing levels previously
reported. Attach as part of Exhibit B an explanation of the labor
productivity factors involved.
[[Page 232]]
Line 02--Average Hourly Wage Rate. Report for each year the forecast
average wage rate per unit of direct labor input. Attach as part of
Exhibit B a description of direct labor cost factors under any existing
labor contracts that extend to the forecast period and an explanation of
the methodology used to forecast wage rates. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 03--Total Wage Payments. Enter for each year the product of
Lines 01 and 02.
Line 04--Supplemental Employee Benefits. Report for each year
adjustments required to direct labor costs for other employee
compensation under supplemental benefit plans. Attach as part of Exhibit
B a description of such plans and their costs and an explanation of the
methodology used to forecast such costs. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 05--Total Production Labor Costs. Enter for each year the total
of Lines 03 and 04.
Lines 06, 09, 12, 15, and 18--Energy Quantities. Report for each
year the quantity of energy by type required to support the processing
levels reported in the smelter's revenue. Attach as part of Exhibit B an
explanation of energy characteristics and use factors considered in
forecasting the smelter's future energy requirements.
Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the
forecast price per unit of energy input by type of energy. Attach as
part of Exhibit B a description of the energy price factors under any
existing energy contracts that extend to the forecast period and an
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year
the products of quantity and prices paid for electricity (Lines 06
07), natural gas (Lines 09 10), coal (Lines 12 13), fuel oil (Lines
15 16), and other (Lines 18 19).
Line 21--Total Energy Costs. Enter for each year the total of Lines
08, 11, 14, 17, and 20.
Schedule D.3--Interim Controls Forecast Profit and Loss Summary
General. Use Schedule D.3 to report forecast revenue and cost
information summed in Schedules D.1 and D.2 for the years 1984 through
1990. Applicants applying for a permanent waiver must complete Schedule
D.3 twice. Forecast revenues and costs in Schedule D.3 shall be
compatible with productive capacity and pollution control assumptions
underlying the operating revenue and cost forecasts incorporated into
each set of Schedules D.1 and D.2. Applicants applying for a temporary
waiver should use only the first assumption: installation of interim
constant control equipment and no installation of any additional SO2
controls that the smelter would otherwise be required to install but for
the issuance of an NSO. The transfer of line items from Schedules D.1
and D.2 to this Schedule is explained in the following instructions.
Line 01--Smelter Revenues--Unaffiliated Parties. Enter the totals
reported in Schedule D.1, Line 03.
Line 02--Smelter Revenues-Affiliated Parties. Enter the totals
reported in Schedule D.1, Line 07.
Line 03--Co-product and By-product Sales Revenues. Enter the totals
reported in Schedule D.1, Line 12.
Line 04--Other Operating Revenues. Report operating revenues
anticipated from sources not accounted for under Lines 01 through 03.
Refer to instructions for Line 04 of Schedule A.3 for items that should
not be included in ``Other Operating Revenues.'' Attach as part of
Exhibit B a schedule showing annual amounts forecast by individual
revenue component for ``other'' operating revenues associated with the
smelter's forecast interim controls operations. Identify in the
supporting schedule any differences in the ``other'' revenue components
reported in this Schedule and Schedule A.3 and explain the reasons for
such differences.
Line 05--Total Operating Revenues. Enter for each year the total of
Lines 01 through 04.
Line 06--Material Costs. Report total costs forecast for flux,
refractories, coke and other materials directly associated with the
smelter's processing of concentrates. Attach as part of Exhibit B a
schedule showing the annual amounts forecast by major material cost
components. For each cost component, identify the forecast quantity and
unit price elements of material cost and explain the basis for
forecasting these quantity and price elements. Identify in the
supporting schedule any differences in the ``other'' material cost
components shown in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 07--Production Labor Costs. Enter the totals reported in
Schedule D.2, Line 05.
Line 08--Energy Costs. Enter the totals reported in Schedule D.2,
Line 21.
Line 09--Pollution Control Costs. Report the total costs forecast
for operation and maintenance of all pollution control equipment and
facilities under the two alternative sets of assumptions made in
corresponding Schedules D.1 and D.2. Byproduct credits associated with
operation of the pollution control facilities should be eliminated from
the cost accounts, reclassified to Schedule D.1, Line 10 and included in
Line 03 of this Schedule. Attach a schedule as part of Exhibit B
classifying pollution control costs by major cost components. Explain
the basis used for estimating each of the cost components.
[[Page 233]]
Line 10--Production Overhead Costs. Report the total costs forecast
for indirect labor, indirect materials and other production overhead
costs associated with the smelter's constant controls forecasts. Attach
as part of Exhibit B a schedule showing annual overhead costs projected
by major cost components associated with the smelter's operations. For
each cost component, where appropriate, identify the forecast quantity
and unit price elements of overhead costs and explain the basis for
estimating these quantity and price elements. Also identify in the
supporting schedule any differences in production overhead cost
classifications used in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 11--Other Production Costs. Report other forecast production
costs not previously reported on lines 06 through 10. Attach as part of
Exhibit B supporting schedules showing the basis of the forecasts.
Line 12--Total Cost of Sales. Enter for each year the sum of
operating costs reported on Lines 06 through 11.
Line 13--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 12.
Line 14--Selling, General and Administrative Expenses. Report the
total costs forecast for administrative, marketing and general corporate
overhead functions that directly or indirectly support the smelter's
operations. Refer to the NSO Financial Reporting Overview for general
discussion of indirect cost allocations from overhead cost pools. Attach
as part of Exhibit B a schedule classifying selling, general and
administrative expenses into major cost components. Indicate whether
each component represents costs directly assignable to the smelter or
indirect costs allocated from other business segments to the smelter.
Explain the basis used for estimating the amount of expected costs
included in each component and the basis used for allocating indirect
cost elements to the smelter. Identify and explain any differences
between the selling, general and administrative cost classification used
in this Schedule and that used in Line 15 of Schedule A.3.
Line 15--Taxes, Other than Income Taxes. Report the total costs
forecast for property taxes and associated levies paid to governmental
units by or for the benefit of the smelter operation. Attach as part of
Exhibit B a schedule classifying operating taxes by major component.
Indicate whether each component represents taxes directly assignable to
the smelter or taxes that have been allocated among more than one
facility. Explain the basis used for estimating taxes and the basis for
any allocation of taxes to the smelter. Identify and explain any
differences between the component classifications used in this Schedule
and those used in Line 16 of Schedule A.3.
Line 16--Research Costs. Report the estimates of research costs
incurred directly by or for the benefit of the smelter operations.
Attach as part of Exhibit B a schedule classifying the costs by major
direct and indirect cost components. Explain the basis for estimating
the costs assigned to each component. Identify and explain any
differences between classifications used in this Schedule and those used
in Line 17 of Schedule A.3.
Line 17--Pollution Control Facility Depreciation and Amortization.
Report the estimates of depreciation and amortization charges associated
with the smelter's actual and forecast investment in all pollution
control equipment and facilities under the two alternative sets of
assumptions made in corresponding Schedules D.1 and D.2. Reported
charges should be computed in accordance with depreciation and
amortization methods adopted for tax reporting purposes by the firm.
Attach explanatory supporting schedules as part of Exhibit B.
Line 18--Other Smelter Facility Depreciation and Amortization.
Report the pro forma estimates of depreciation and amortization charges
associated with the smelter's investment in equipment and facilities
other than those classified as pollution control facilities. Attach
explanatory supporting schedules as part of Exhibit B.
Line 19--Interest on Short-Term Debt. Report the estimates of
interest and other financing charges on forecast short-term obligations
as classified in the smelter's current liabilities on Schedule A.4.
Interest and associated financing charges on long-term debt should not
be included as an expense identifiable with the smelter's operations.
Attach as part of Exhibit B a schedule showing the interest-bearing,
short-term debt contracts identifiable with the smelter's operations,
the interest rate projected for these contracts, and the estimated
annual interest charges. Identify and explain any differences between
the classifications used in this Schedule and those used in Line 20 of
Schedule A.3.
Line 20--Miscellaneous Operating Expenses. Report only the total
operating expenses associated with or allocated to the smelter that
cannot be appropriately classified in one of the preceding line items.
Attach as part of Exhibit B a schedule showing the classification of
these residual operating expenses into major cost components. Explain
the basis used for forecasting the cost under each component. Identify
each cost component in terms of direct or indirect cost and explain the
basis used for allocating the indirect costs to smelter operations.
Identify and explain any differences between cost classifications
included in this Schedule and those used in Line 21 of Schedule A.3.
Line 21--Total Other Operating Expenses. Enter for each year the sum
of operating costs reported on Lines 14 through 20.
[[Page 234]]
Line 22--Income From Operations. Enter for each year the difference
between Lines 21 and 13.
Line 23--Income Taxes. Enter the product of income from operations
(Line 22) and the sum of the Federal, State and local marginal tax
rates. Attach as part of Exhibit B a schedule detailing the estimated
marginal tax rate by taxing entity.
Line 24--Net Income From Operations. Enter for each year the
difference between Lines 23 and 22.
The temporary waiver from interim controls test is on Line 13 of
Schedule D.3 that was completed under the assumption of installation of
interim constant control equipment and no installation of any additional
SO2 controls that the smelter would otherwise be required to
install but for the issuance of an NSO. Applicants will be eligible for
a temporary waiver from the interim development of constant control
technology for sulfur dioxide emissions if the reported gross operating
profit on Line 13 is a negative value for one or more years during which
the NSO is in effect.
Schedule D.4--Interim Controls Sustaining Capital Investment Forecast
General. Use Schedule D.4 to report yearly sustaining capital
outlays for maintenance of the smelter's existing productive capability.
The applicant should complete Schedule D.4 twice, under two alternative
assumptions: (1) Installation of interim constant control equipment, no
installation of any additional SO2 controls that the smelter
would otherwise be required to install but for the issuance of an NSO,
and closure after January 1, 1988, and (2) installation of interim
constant equipment and any additional SO2 controls required
to comply with the smelter's SIP emission limitation by January 2, 1988,
so that the smelter will remain open through the horizon period.
Major elements of these outlays should be disclosed, as well as the
total of such outlays. Estimates shall be restricted to those items that
will be capitalized for tax purposes. These outlays shall primarily be
for plant replacement, although outlays for improvements and expansion
may be included to the extent that improvements and/or expansion,
exclusive of required pollution control outlays, can be justified as
economically feasible. Estimates of sustaining capital investments shall
exclude any incremental investment for sulfur dioxide emission controls
reported in Line 06 of Schedule D.6. Sustaining capital investments in
facilities shared with other operating segments shall be allocated in
accordance with the instructions given below.
Estimates of sustaining capital shall be compatible with productive
capacity and pollution control requirements underlying the operating
revenue and cost forecasts incorporated in Schedule D.3.
Line 01 to 06--Sustaining Capital. Report for each year by
individual line item property, plant and equipment sustaining capital
investments assignable to smelter operations. Include both (1) property,
plant and equipment directly associated with the smelter's operations
and (2) facilities shared with other operating segments to the extent
that a causal and beneficial relationship can be established for the
intersegment allocations of such facility investments.
Attach as part of Exhibit B an explanatory schedule disclosing and
supporting by individual line item the major elements of annual capital
expenditures for sustaining capital. Further classify these annual
capital expenditures into both (1) investments required to maintain the
smelter versus investments in smelter expansion and improvements and (2)
direct facility versus joint-use facility investments. Explain the
method used for allocating capital expenditures on joint-use facilities
to the smelter's operations.
Line 07--Total Smelter Sustaining Capital. Enter for each year the
total of Lines 01 through 06. Transfer the reported total for each year
to Schedule D.6, Line 06.
Schedule D.5--Cash Proceeds From Liquidation
General. Use Schedule D.5 to calculate cash proceeds from
liquidation. Applicants should determine the current salvage value of
their existing investment in the smelter as the net proceeds that could
be derived through an orderly liquidation of the smelter's assets. The
net cash proceeds should be reported after an appropriate allowance for
disposal costs, contractual claims against the smelter (e.g., labor
termination penalties), and income tax effects on the corporation of
such liquidation costs.
The applicant must stipulate the most advantageous alternative
market (use) for the smelter's facilities. Generally, this market will
be:
Secondary market for used plant and equipment.
Sale for scrap.
Abandonment where the disposal cost exceeds scrap value.
The current net salvage value should be disaggregated into the same
property, plant and equipment asset groups reported under the historical
capital investment summary, Schedule A.4. The line items in Schedule D.5
are explained in the following instructions.
Line 01--Current Assets. Enter in Columns 1 and 2, the value of
total current assets shown in Line 08 of Schedule A.4 (Historical
Capital Investment Summary) for 1983. No gain or loss should be reported
in Columns 3 through
[[Page 235]]
5 for the liquidation of current asset investments.
Lines 02-07--Property Plant and Equipment. Enter in Column 1 the
appraised liquidation value (in terms of pretax cash proceeds) of the
smelter by asset group. This estimate should be certified by a qualified
third party professional appraiser and shall represent the best use and
highest alternative value of these assets. The liquidation value of any
assets which are jointly used by the smelter and other operating
segments shall be excluded if, upon closure of the smelter, such assets
would continue in service for the non-smelter activity.
In Column 2, report the net book value of these assets for which
liquidation values have been reported in Column 1. The reported values
should correspond with amounts reported for 1982 in lines 09 through 15
in Schedule A.4 as adjusted for appropriate eliminations of joint-use
facilities and reconciliation to a net book value as reported for income
taxes. Attach as part of Exhibit B supporting schedules showing all
adjustments and conversion of the net book value as reported on the
financial statements, to net book value that would be used for income
tax purposes.
Compute Column 3 as Column 1 less Column 2. The gain (or loss) shown
in Column 3 shall be segregated into ordinary income and capital gains
components subject to taxation pursuant to applicable income tax rules.
Enter ordinary income in Column 4 and capital gains in Column 5.
Line 08--Total Smelter Investment. Enter the sum of Lines 02 through
07 for each of the columns.
Line 09--Other Non-current Assets. In Column 1, report the appraised
value of other non-current assets in accordance with the instructions
for Line 18, Schedule A.4, except that any joint asset(s) that would
continue in the event of smelter liquidation shall be excluded. This
estimate shall be certified by a qualified third-party professional
appraiser.
In Column 2, report the net book value of the non-current assets
directly corresponding to those assets included in the liquidation value
estimated under Column 1.
The remaining columns shall be completed in accordance with the
instructions given above for Lines 02 and 06.
Line 10--Total Smelter Value. Enter the sum of Lines 01, 08 and 09.
Line 11--Total Current Liabilities. Report in both Columns 1 and 2,
the value of total current liabilities shown in Line 25 of Schedule A.4
for 1983.
Line 12--Gross Liquidation Value. Enter the difference between Lines
10 and 11.
Line 13--Liquidation Costs. In Columns 1, 3 and 4, report the value
of any liquidation costs such as labor contract termination penalties,
severance pay and related costs, associated with closure of the smelter.
Line 14--Taxable Gain (or Loss). Enter in Columns 4 and 5, the
differences between Lines 12 and 13.
Line 15--Income Tax Rate. Enter the sum of the Federal, State and
local marginal tax rates of the firm for ordinary income and capital
gains in Columns 4 and 5, respectively. Attach as part of Exhibit B a
schedule detailing the estimated marginal tax rate by taxing entity.
Line 16--Income Tax on Gain (or Loss). In Columns 4 and 5, enter the
product of Line 14 and the marginal income tax rates reported in Line
15. In Column 1, enter the sum of Columns 4 and 5.
Line 17--After Tax Cash Proceeds. Enter in Column 1 the difference
between Line 12 and the sum of Lines 13 and 16.
Schedule D.6--Permanent Waiver from Interim Controls Test
General. Applicants must complete this Schedule and its supporting
schedules if they seek a permanent waiver from interim control
requirements. The applicant should complete Schedule D.6 twice, with
revenue and production projections based on two alternative assumptions:
(1) Installation of interim constant control equipment, no installation
of any additional SO2 controls that the smelter would
otherwise be required to install but for the issuance of an NSO, and
closure after January 1, 1988, and (2) installation of interim constant
control equipment and any additional SO2 controls required to
comply with the smelter's SIP emission limitation by January 2, 1988, so
that the smelter will remain open through the horizon period. Forecasts
in Schedule D.6 shall be compatible with assumptions and forecasts in
each set of Schedules D.1 through D.4. The line items in Schedule D.6
are explained in the following instructions.
Line 01--Net Income from Operations. Enter for each year the amounts
reported in Schedule D.3, Line 24.
Line 02--Net Income Adjustments. Enter any adjustments to net income
not included in Schedule D.3. When assuming closure after January 1,
1988, the applicant must include the proceeds from liquidation in 1988.
The applicant must estimate liquidation value as of 1988 using one of
two methods: (1) the applicant may complete Schedule D.5 assuming
liquidation in 1988 and report the value of after-tax cash proceeds in
Line 17; or (2) the applicant may use the value of after-tax cash
proceeds in Line 17 of Schedule D.5, as already completed, assuming
liquidation in the current (application) year, and expressing values in
1988 dollars. The current liquidation value must be inflated to 1988
dollars by applying the appropriate forecast percentage rate changes in
the GNP price
[[Page 236]]
deflator. Attach explanatory supporting schedules in Exhibit B.
Lines 03 and 04--Depreciation and Amortization. Enter for each year
the amounts reported in Schedule D.3, Lines 17 and 18, respectively.
Line 05--Operating Cash Flow. Enter for each year the total of
amounts reported on Lines 01 through 04.
Line 06--Pollution Controls Capital Investment. Enter the estimated
pollution control capital outlays projected to be made under the two
alternative sets of assumptions described in the General section of this
schedule. These controls shall include only interim control equipment
for the first set of assumptions and both interim control equipment and
any additional SO2 controls required to comply with the
smelter's SIP emission limitation by January 2, 1988, for the second set
of assumptions. The values assumed in this schedule shall correspond to
the investment estimates shown in each set of supporting schedules for
Line 17 of Schedule D.3. For purposes of allocating costs of the
additional SO2 controls under the second set of assumptions,
applicants must provide information establishing the period over which
capital outlays for such controls would be made if installation of the
controls begins the latest date that would still allow compliance to be
achieved by January 2, 1988. Changes in working capital investment due
to investment in control facilities may be added to the capital
investment estimates shown in the corresponding supporting schedules for
Schedule D.3.
Line 07--Sustaining Capital. Enter for each year the amounts
reported in Schedule D.4, Line 07.
Line 08--Total. Enter for each year the sum of Lines 05 and 06.
Line 09--Net Cash Flow Projections. Enter for each year the
difference between Lines 04 and 07.
Line 10--Discount Factors. Enter the discount factor for each year,
computed as described in the instructions under Section 2.6.
Line 11--Present Value of Future Cash Flows. Enter for each year the
product of Lines 08 and 09.
Line 12--Horizon Value. Enter under the Total column the estimated
horizon value of the smelter reported in Schedule D.7, Line 16.
Line 13--Discount Factor. Enter under the Total column the
appropriate discount factor, computed as described in the instructions
under Section 2.6.
Line 14--Present Value of Horizon Value. Enter under the Total
column the product of Lines 11 and 12.
Line 15--Present Value of Future Cash Flows. Enter under the Total
column the sum of amounts previously reported on Line 10 for 1984
through 1990.
Line 16--Total Present Value. Enter the sum of Lines 13 and 14.
Line 17--Current Salvage Value. Enter the amount reported in
Schedule D.5, Line 17, if the value is greater than zero. If the value
is zero or less, enter zero.
Line 18--Net Present Value. Enter the difference between Lines 16
and 17. In determining eligibility for a permanent waiver from interim
control requirements, an applicant must use the higher of the two net
present value figures computed under the two alternative assumptions.
Applicants reporting a negative value for the higher net present value
figure will be eligible for a permanent waiver from interim use of a
constant control system for sulfur dioxide emissions.
Schedule D.7--Horizon Value of Cash Flows for the Interim Controls Test
General. Use Schedule D.7 to calculate the horizon value of net cash
flow projections for the Interim Controls Test. This horizon value is
used in Schedule D.6. The computation of the horizon value is different
for this test than for the Profit Protection Test because this test
requires the reporting of depreciation for tax purposes.
In Schedule D.7, the applicant removes the tax savings of control
equipment depreciation from the cash flows for the last two forecast
years. A depreciation-free horizon value is then calculated from these
depreciation-free cash flows. The tax savings of constant controls
depreciation during the horizon years are then calculated separately.
The final horizon value is equal to the sum of the depreciation-free
horizon value and the tax savings from depreciation of constant controls
accruing over the horizon years. The line items in Schedule D.7 are
explained in the following instruction.
Line 01--Net Cash Flow Projections. Enter for each of the final two
forecast years the values in Schedule D.6, Line 09, for the
corresponding years.
Line 02--Depreciation and Amortization. Enter for each of the final
two forecast years the value in Schedule D.6, Line 03, for the
corresponding years.
Line 03--Marginal Tax Rate. Enter for each of the final two forecast
years the marginal income tax rate applicable to the smelter. This rate
should incorporate both Federal and State tax liability.
Line 04--Tax Savings. Enter for each of the final two forecast years
the product of Lines 02 and 03.
Line 05--Nominal Dollar Values. Enter for each of the final two
forecast years the difference between Lines 01 and 04.
Line 06--1990 Dollar Values. For each of the final two forecast
years the nominal dollar values must be expressed in the last forecast
year's dollars (1990 dollars). Transfer the 1990 amount in Line 05
directly to Line 06. Inflate
[[Page 237]]
the 1989 amount to 1990 dollars using the forecast GNP price deflator.
Line 07--Average. Enter under the Total column the average of the
two values in Line 06.
Line 08--Horizon Factor. Enter under the Total column the horizon
factor provided in Section 2.7.
Line 09--Depreciation-free Horizon Value. Enter under the Total
column the product of Lines 07 and 08.
Line 10--Depreciation and Amortization. Enter for each year of the
horizon period depreciation charges associated with the smelter's
investment in equipment and facilities related to pollution controls.
These investments should include those actually made and those forecast
to be made by the end of the forecast period. Reported charges should be
computed in accordance with depreciation and amortization methods
adopted for tax reporting purposes by the firm. Attach as part of
exhibit B supporting schedules consistent with those supporting Line 17
in Schedule D.3.
Line 11--Marginal Tax Rate. Enter for each year of the horizon
period the marginal income tax rate applicable to the smelter. This rate
should incorporate both Federal and State tax liability.
Line 12--Tax Savings. Enter for each year of the horizon period the
product of Lines 10 and 11.
Line 13--Discount Factors. Enter the discount factor for each year
of the horizon period. This shall be computed according to the
instructions under Section 2.6, except that the variable N found in the
discount factor formula represents the number of years in the future,
counting from the last forecast year. For example, N = 1 for the first
year of the horizon period.
Line 14--Present Value of Tax Savings. Enter for each year of the
horizon period the product of Lines 12 and 13.
Line 15--Total Present Value of Tax Savings. Enter under the Total
column the sum of values on Line 14 for the horizon years.
Line 16--Horizon Value. Enter under the Total column the sum of
Lines 09 and 15.
Environmental Protection Agency
Primary Nonferrous Smelter Order Application
Part I--Identification Information
1. Firm name____________________________________________________________
2. Street/Box/RFD_______________________________________________________
3. City_________________________________________________________________
4. State________________________________________________________________
5. Zip Code_____________________________________________________________
6. IRS Employer Identification No.______________________________________
7. SEC 1934 Act Registration No.________________________________________
8. Smelter Name_________________________________________________________
9. Street/Box/RFD_______________________________________________________
10. City________________________________________________________________
11. State_______________________________________________________________
12. Zip Code____________________________________________________________
13. Contact Person______________________________________________________
14. Title_______________________________________________________________
15. Street/Box/RFD______________________________________________________
16. City________________________________________________________________
17. State_______________________________________________________________
18. Zip Code____________________________________________________________
19. Telephone___________________________________________________________
Part II--Certification
I certify that the information provided herein and appended hereto
is true and accurate to the best of my knowledge. I understand that this
information is being required, in part, under the authority of Section
114 of the Clean Air Act, 42 U.S.C. 7414.
Name____________________________________________________________________
Title___________________________________________________________________
Signature_______________________________________________________________
Date____________________________________________________________________
Schedule A.1--Historical Revenue Data
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1979 1980 1981 1982 1983
----------------------------------------------------------------------------------------------------------------
A. Copper product sales:
1. Total quantity sold................................ 01 ....... ....... ....... ....... .......
2. Unaffiliated customer sales:
a. Quantity sold.................................. 2 ....... ....... ....... ....... .......
b. Operating revenue.............................. 03 ....... ....... ....... ....... .......
c. Average unit price............................. 04 ....... ....... ....... ....... .......
d. Average product grade.......................... 05 ....... ....... ....... ....... .......
3. Affiliated customers sales:
a. Quantity sold.................................. 06 ....... ....... ....... ....... .......
b. Operating revenue.............................. 07 ....... ....... ....... ....... .......
c. Average unit price............................. 08 ....... ....... ....... ....... .......
d. Average product grade.......................... 09 ....... ....... ....... ....... .......
4. Adjusted copper revenues:
a. Total copper revenues.......................... 10 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 11 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 12 ....... ....... ....... ....... .......
d. Adjusted copper revenues....................... 13 ....... ....... ....... ....... .......
B. Lead product sales:
1. Total quantity sold................................ 14 ....... ....... ....... ....... .......
[[Page 238]]
2. Unaffiliated customer sales:
a. Quantity sold.................................. 15 ....... ....... ....... ....... .......
b. Operating revenue.............................. 16 ....... ....... ....... ....... .......
c. Average unit price............................. 17 ....... ....... ....... ....... .......
d. Average product grade.......................... 18 ....... ....... ....... ....... .......
3. Affiliated customer sales:
a. Quantity sold.................................. 19 ....... ....... ....... ....... .......
b. Operating revenue.............................. 20 ....... ....... ....... ....... .......
c. Average unit price............................. 21 ....... ....... ....... ....... .......
d. Average product grade.......................... 22 ....... ....... ....... ....... .......
4. Adjusted lead revenues:
a. Total lead revenues............................ 23 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 24 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 25 ....... ....... ....... ....... .......
d. Adjusted lead revenues......................... 26 ....... ....... ....... ....... .......
C. Zinc product sales:
1. Total quantity sold................................ 27 ....... ....... ....... ....... .......
2. Unaffiliated customer sales:
a. Quantity sold.................................. 28 ....... ....... ....... ....... .......
b. Operating revenue.............................. 29 ....... ....... ....... ....... .......
c. Average unit price............................. 30 ....... ....... ....... ....... .......
d. Average product grade.......................... 31 ....... ....... ....... ....... .......
3. Affiliated customer sales:
a. Quantity sold.................................. 32 ....... ....... ....... ....... .......
b. Operating revenue.............................. 33 ....... ....... ....... ....... .......
c. Average unit price............................. 34 ....... ....... ....... ....... .......
d. Average product grade.......................... 35 ....... ....... ....... ....... .......
4. Adjusted zinc revenues:
a. Total zinc revenues............................ 36 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 37 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 38 ....... ....... ....... ....... .......
d. Adjusted zinc revenues......................... 39 ....... ....... ....... ....... .......
D. Molybdenum or other nonferrous metal sales:
1. Total quantity sold................................ 40 ....... ....... ....... ....... .......
2. Unaffiliated customer sales:
a. Quantity sold.................................. 41 ....... ....... ....... ....... .......
b. Operating revenue.............................. 42 ....... ....... ....... ....... .......
c. Average unit price............................. 43 ....... ....... ....... ....... .......
d. Average product grade.......................... 44 ....... ....... ....... ....... .......
3. Affiliated customer sales:
a. Quantity sold.................................. 45 ....... ....... ....... ....... .......
b. Operating revenue.............................. 46 ....... ....... ....... ....... .......
c. Average unit price............................. 47 ....... ....... ....... ....... .......
d. Average product grade.......................... 48 ....... ....... ....... ....... .......
4. Adjusted molybdenum or other nonferrous metal
revenues:
a. Total molybdenum or other nonferrous metal 49 ....... ....... ....... ....... .......
revenues.........................................
b. Transfer price adjustment...................... 50 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 51 ....... ....... ....... ....... .......
d. Adjusted molybdenum or other nonferrous metal 52 ....... ....... ....... ....... .......
revenues.........................................
E. Primary metal revenues................................. 53 ....... ....... ....... ....... .......
F. Tolling service revenues:
1. Total toll concentrates processed.................. 54 ....... ....... ....... ....... .......
2. Unaffiliated customer revenues:
a. Concentrates processed......................... 55 ....... ....... ....... ....... .......
b. Operating revenue.............................. 56 ....... ....... ....... ....... .......
c. Average unit price............................. 57 ....... ....... ....... ....... .......
d. Average product grade.......................... 58 ....... ....... ....... ....... .......
3. Affiliated customer revenues:
a. Concentrates processed......................... 59 ....... ....... ....... ....... .......
b. Operating revenue.............................. 60 ....... ....... ....... ....... .......
c. Average unit price............................. 61 ....... ....... ....... ....... .......
d. Average product grade.......................... 62 ....... ....... ....... ....... .......
4. Adjusted tolling service revenues:
a. Total tolling service revenue.................. 63 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 64 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 65 ....... ....... ....... ....... .......
d. Adjusted tolling service revenues.............. 66 ....... ....... ....... ....... .......
G. Coproduct and byproduct sales:
1. Total coproduct revenues........................... 67 ....... ....... ....... ....... .......
[[Page 239]]
2. Total byproduct revenues:
a. Pollution control facilities................... 68 ....... ....... ....... ....... .......
b. Other smelter processing....................... 69 ....... ....... ....... ....... .......
3. Total coproduct and byproduct revenues............. 70 ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule A.2--Historical Cost Data
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1979 1980 1981 1982 1983
----------------------------------------------------------------------------------------------------------------
A. Concentrate costs:
1. Total quantity purchased........................... 01 ....... ....... ....... ....... .......
2. Unaffiliated purchases:
a. Quantity purchased............................. 02 ....... ....... ....... ....... .......
b. Concentrate cost............................... 03 ....... ....... ....... ....... .......
c. Average unit price............................. 04 ....... ....... ....... ....... .......
d. Average concentrate grade...................... 05 ....... ....... ....... ....... .......
3. Affiliated purchases:
a. Quantity purchased............................. 06 ....... ....... ....... ....... .......
b. Concentrate cost............................... 07 ....... ....... ....... ....... .......
c. Average unit price............................. 08 ....... ....... ....... ....... .......
d. Average concentrate grade...................... 09 ....... ....... ....... ....... .......
4. Adjusted concentrate costs:
a. Total concentrate costs........................ 10 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 11 ....... ....... ....... ....... .......
c. Other cost adjustments......................... 12 ....... ....... ....... ....... .......
d. Adjusted concentrate cost...................... 13 ....... ....... ....... ....... .......
B. Production labor cost:
1. Direct labor hours................................. 14 ....... ....... ....... ....... .......
2. Average hourly wage rate........................... 15 ....... ....... ....... ....... .......
3. Total wage payments................................ 16 ....... ....... ....... ....... .......
4. Supplemental employee benefits..................... 17 ....... ....... ....... ....... .......
5. Total production labor cost........................ 18 ....... ....... ....... ....... .......
C. Energy costs:
1. Electricity:
a. Quantity in kilowatt hours..................... 19 ....... ....... ....... ....... .......
b. Price per kwh.................................. 20 ....... ....... ....... ....... .......
c. Total electricity payments..................... 21 ....... ....... ....... ....... .......
2. Natural gas:
a. Quantity in mcf................................ 22 ....... ....... ....... ....... .......
b. Price per mcf.................................. 23 ....... ....... ....... ....... .......
c. Total natural gas payments..................... 24 ....... ....... ....... ....... .......
3. Coal:
a. Quantity in tons............................... 25 ....... ....... ....... ....... .......
b. Price per ton.................................. 26 ....... ....... ....... ....... .......
c. Total coal payments............................ 27 ....... ....... ....... ....... .......
4. Fuel oil:
a. Quantity in gallons............................ 28 ....... ....... ....... ....... .......
b. Price per gallon............................... 29 ....... ....... ....... ....... .......
c. Total fuel oil payments........................ 30 ....... ....... ....... ....... .......
5. Other (specify):
a. Quantity (specific units)...................... 31 ....... ....... ....... ....... .......
b. Price per unit................................. 32 ....... ....... ....... ....... .......
c. Total payments................................. 33 ....... ....... ....... ....... .......
6. Total energy costs................................. 34 ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule A.3--Historical Profit and Loss Summary
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1979 1980 1981 1982 1983
----------------------------------------------------------------------------------------------------------------
A. Operating revenues:
1. Primary metal sales................................ 01 ....... ....... ....... ....... .......
2. Coproduct and byproduct sales...................... 02 ....... ....... ....... ....... .......
3. Tolling service revenues........................... 03 ....... ....... ....... ....... .......
4. Other operating revenues........................... 04 ....... ....... ....... ....... .......
5. Total operating revenues........................... 05 ....... ....... ....... ....... .......
B. Cost of sales:
1. Concentrates processed............................. 06 ....... ....... ....... ....... .......
[[Page 240]]
2. Other materials.................................... 07 ....... ....... ....... ....... .......
3. Production labor................................... 08 ....... ....... ....... ....... .......
4. Energy costs....................................... 09 ....... ....... ....... ....... .......
5. Pollution control cost............................. 10 ....... ....... ....... ....... .......
6. Production overhead................................ 11 ....... ....... ....... ....... .......
7. Other production costs............................. 12 ....... ....... ....... ....... .......
8. Total cost of sales................................ 13 ....... ....... ....... ....... .......
C. Gross operating profit................................. 14 ....... ....... ....... ....... .......
D. Other operating expenses:
1. Selling general and administrative................. 15 ....... ....... ....... ....... .......
2. Taxes, other than income tax....................... 16 ....... ....... ....... ....... .......
3. Research costs..................................... 17 ....... ....... ....... ....... .......
4. Depreciation and amortization:
a. Pollution control facilities................... 18 ....... ....... ....... ....... .......
b. Other smelter facilities....................... 19 ....... ....... ....... ....... .......
5. Interest on short term debt........................ 20 ....... ....... ....... ....... .......
6. Miscellaneous operating expenses................... 21 ....... ....... ....... ....... .......
7. Total other operating expenses..................... 22 ....... ....... ....... ....... .......
E. Income from operations................................. 23 ....... ....... ....... ....... .......
F. Other income and (expense):
1. Gain/(loss) on disposition of property............. 24 ....... ....... ....... ....... .......
2. Miscellaneous other income and (expense)........... 25 ....... ....... ....... ....... .......
3. Total other income and (expense)................... 26 ....... ....... ....... ....... .......
G. Net taxable income..................................... 27 ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule A.4--Historical Capital Investment Summary
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1979 1980 1981 1982 1983
----------------------------------------------------------------------------------------------------------------
A. Current assets:
1. Cash on hand and deposit........................... 01 ....... ....... ....... ....... .......
2. Temporary cash investments......................... 02 ....... ....... ....... ....... .......
3. Trade receivables, net:
a. Unaffiliated customers......................... 03 ....... ....... ....... ....... .......
b. Affiliated customers........................... 04 ....... ....... ....... ....... .......
4. Inventories:
a. Raw materials and products..................... 05 ....... ....... ....... ....... .......
b. Other materials and supplies................... 06 ....... ....... ....... ....... .......
5. Other current assets............................... 07 ....... ....... ....... ....... .......
6. Total current assets............................... 08 ....... ....... ....... ....... .......
B. Property, plant and equipment:
1. Land............................................... 09 ....... ....... ....... ....... .......
2. Buildings and improvements......................... 10 ....... ....... ....... ....... .......
3. Machinery and equipment............................ 11 ....... ....... ....... ....... .......
4. Transportation equipment........................... 12 ....... ....... ....... ....... .......
5. Pollution control facilities....................... 13 ....... ....... ....... ....... .......
6. Other fixed assets................................. 14 ....... ....... ....... ....... .......
7. Total smelter investment........................... 15 ....... ....... ....... ....... .......
8. Less: Accumulated depreciation and amortization.... 16 ....... ....... ....... ....... .......
9. Net smelter investment............................. 17 ....... ....... ....... ....... .......
C. Other noncurrent assets................................ 18 ....... ....... ....... ....... .......
D. Total smelter capital investment....................... 19 ....... ....... ....... ....... .......
E. Current liabilities:
1. Trade accounts and notes payable:
a. Unaffiliated suppliers......................... 20 ....... ....... ....... ....... .......
b. Affiliated suppliers........................... 21 ....... ....... ....... ....... .......
2. Other expense accruals............................. 22 ....... ....... ....... ....... .......
3. Notes payable, current............................. 23 ....... ....... ....... ....... .......
4. Other current liabilities.......................... 24 ....... ....... ....... ....... .......
5. Total current liabilities.......................... 25 ....... ....... ....... ....... .......
F. Net smelter capital investment......................... 26 ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
[[Page 241]]
Schedule B--Pre-Control Revenue Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--
unaffiliated parties:
1. Concentrates processed........... 01 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 02 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 03 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 04 ....... ....... ....... ....... ....... ....... .......
B. Forecast smelter revenues--affiliated
parties:
1. Concentrates processed........... 05 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 06 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 07 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 08 ....... ....... ....... ....... ....... ....... .......
C. Forecast co-product and by-product
sales:
1. Total co-product revenues........ 09 ....... ....... ....... ....... ....... ....... .......
2. Total by-product revenues from:
a. Pollution control facilities. 10 ....... ....... ....... ....... ....... ....... .......
b. Other smelter processing..... 11 ....... ....... ....... ....... ....... ....... .......
3. Total co-product and by-product 12 ....... ....... ....... ....... ....... ....... .......
revenues...........................
----------------------------------------------------------------------------------------------------------------
Schedule B.2--Pre-Control Cost Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
1. Direct labor hours............... 01 ....... ....... ....... ....... ....... ....... .......
2. Average hourly wage rate......... 02 ....... ....... ....... ....... ....... ....... .......
3. Total wage payments.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Supplemental employee benefits... 04 ....... ....... ....... ....... ....... ....... .......
5. Total production labor cost...... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast energy costs:
1. Electricity:
a. Quantity in kilowatt hours... 06 ....... ....... ....... ....... ....... ....... .......
b. Price per kwh................ 07 ....... ....... ....... ....... ....... ....... .......
c. Total electricity payments... 08 ....... ....... ....... ....... ....... ....... .......
2. Natural gas:
a. Quantity in mcf.............. 09 ....... ....... ....... ....... ....... ....... .......
b. Price per mcf................ 10 ....... ....... ....... ....... ....... ....... .......
c. Total natural gas payments... 11 ....... ....... ....... ....... ....... ....... .......
3. Coal:
a. Quantity in tons............. 12 ....... ....... ....... ....... ....... ....... .......
b. Price per ton................ 13 ....... ....... ....... ....... ....... ....... .......
c. Total coal payments.......... 14 ....... ....... ....... ....... ....... ....... .......
4. Fuel oil:
a. Quantity in gallons.......... 15 ....... ....... ....... ....... ....... ....... .......
b. Price per gallon............. 16 ....... ....... ....... ....... ....... ....... .......
c. Total fuel oil payments...... 17 ....... ....... ....... ....... ....... ....... .......
5. Other (specify):
a. Quantity (specific units).... 18 ....... ....... ....... ....... ....... ....... .......
b. Price per unit............... 19 ....... ....... ....... ....... ....... ....... .......
c. Total payments............... 20 ....... ....... ....... ....... ....... ....... .......
6. Total energy costs............... 21 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule B.3--Pre-Control Forecast Profit and Loss Summary
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
1. Smelter revenues--unaffiliated 01 ....... ....... ....... ....... ....... ....... .......
parties............................
2. Smelter revenues--affiliated 02 ....... ....... ....... ....... ....... ....... .......
parties............................
3. Co-product and by-product sales.. 03 ....... ....... ....... ....... ....... ....... .......
4. Other operating revenues......... 04 ....... ....... ....... ....... ....... ....... .......
5. Total operating revenues......... 05 ....... ....... ....... ....... ....... .......
B. Forecast cost of sales:
1. Material costs................... 06 ....... ....... ....... ....... ....... ....... .......
2. Production labor costs........... 07 ....... ....... ....... ....... ....... .......
3. Energy costs..................... 08 ....... ....... ....... ....... ....... ....... .......
[[Page 242]]
4. Pollution control costs.......... 09 ....... ....... ....... ....... ....... ....... .......
5. Production overhead.............. 10 ....... ....... ....... ....... ....... ....... .......
6. Other production costs........... 11 ....... ....... ....... ....... ....... ....... .......
7. Total cost of sales.............. 12 ....... ....... ....... ....... ....... ....... .......
C. Forecast gross operating profit...... 13 ....... ....... ....... ....... ....... ....... .......
D. Forecast other operating expenses:
1. Selling, general and 14 ....... ....... ....... ....... ....... ....... .......
administrative expenses............
2. Taxes, other than income tax..... 15 ....... ....... ....... ....... ....... ....... .......
3. Research costs................... 16 ....... ....... ....... ....... ....... ....... .......
4. Depreciation and amortization:
a. Pollution control facilities. 17 ....... ....... ....... ....... ....... ....... .......
b. Other smelter facilities..... 18 ....... ....... ....... ....... ....... ....... .......
5. Interest......................... 19 ....... ....... ....... ....... ....... ....... .......
6. Miscellaneous operating expenses. 20 ....... ....... ....... ....... ....... ....... .......
7. Total other operating expenses... 21 ....... ....... ....... ....... ....... ....... .......
E. Forecast income from operations...... 22 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule B.4--Constant Controls Revenue Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--
unaffiliated parties:
1. Concentrates processed........... 01 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 02 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 03 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 04 ....... ....... ....... ....... ....... ....... .......
B. Forecast smelter revenues--affiliated
parties:
1. Concentrates processed........... 05 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 06 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 07 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 08
C. Forecast co-product and by-product
sales:
1. Total co-product revenues........ 09 ....... ....... ....... ....... ....... ....... .......
2. Total by-product revenues from:
a. Pollution control facilities. 10 ....... ....... ....... ....... ....... ....... .......
b. Other smelter processing..... 11 ....... ....... ....... ....... ....... ....... .......
3. Total co-product and by-product 12 ....... ....... ....... ....... ....... ....... .......
revenues...........................
----------------------------------------------------------------------------------------------------------------
Schedule B.5--Constant Controls Cost Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
1. Direct labor hours............... 01 ....... ....... ....... ....... ....... ....... .......
2. Average hourly wage rate......... 02 ....... ....... ....... ....... ....... ....... .......
3. Total wage payments.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Supplemental employee benefits... 04 ....... ....... ....... ....... ....... ....... .......
5. Total production labor cost...... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast energy costs:
1. Electricity:
a. Quantity in kilowatt hours... 06 ....... ....... ....... ....... ....... ....... .......
b. Price per kwh................ 07 ....... ....... ....... ....... ....... ....... .......
c. Total electricity payments... 08 ....... ....... ....... ....... ....... ....... .......
2. Natural gas:
a. Quantity in mcf.............. 09 ....... ....... ....... ....... ....... ....... .......
b. Price per mcf................ 10 ....... ....... ....... ....... ....... ....... .......
c. Total natural gas payments... 11 ....... ....... ....... ....... ....... ....... .......
3. Coal:
a. Quantity in tons............. 12 ....... ....... ....... ....... ....... ....... .......
b. Price per ton................ 13 ....... ....... ....... ....... ....... ....... .......
c. Total coal payments.......... 14 ....... ....... ....... ....... ....... ....... .......
4. Fuel oil:
a. Quantity in gallons.......... 15 ....... ....... ....... ....... ....... ....... .......
b. Price per gallon............. 16 ....... ....... ....... ....... ....... ....... .......
[[Page 243]]
c. Total fuel oil payments...... 17 ....... ....... ....... ....... ....... ....... .......
5. Other (specify):
a. Quantity (specific units).... 18 ....... ....... ....... ....... ....... ....... .......
b. Price per unit............... 19 ....... ....... ....... ....... ....... ....... .......
c. Total payments............... 20 ....... ....... ....... ....... ....... ....... .......
6. Total energy costs............... 21 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule B.6--Constant Controls Profit and Loss Summary for the Profit Protection Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
1. Smelter revenues--unaffiliated 01 ....... ....... ....... ....... ....... ....... .......
parties............................
2. Smelter revenues--affiliated 02 ....... ....... ....... ....... ....... ....... .......
parties............................
3. Co-product and by-product sales.. 03 ....... ....... ....... ....... ....... ....... .......
4. Other operating revenues......... 04 ....... ....... ....... ....... ....... ....... .......
5. Total operating revenues......... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast cost of sales:
1. Material costs................... 06 ....... ....... ....... ....... ....... ....... .......
2. Production labor costs........... 07 ....... ....... ....... ....... ....... ....... .......
3. Energy costs..................... 08 ....... ....... ....... ....... ....... ....... .......
4. Pollution control costs.......... 09 ....... ....... ....... ....... ....... ....... .......
5. Production overhead.............. 10 ....... ....... ....... ....... ....... ....... .......
6. Other production costs........... 11 ....... ....... ....... ....... ....... ....... .......
7. Total cost of sales.............. 12 ....... ....... ....... ....... ....... ....... .......
C. Forecast gross operating profit...... 13 ....... ....... ....... ....... ....... ....... .......
D. Forecast other operating expenses:
1. Selling, general and 14 ....... ....... ....... ....... ....... ....... .......
administrative expenses............
2. Taxes, other than income tax..... 15 ....... ....... ....... ....... ....... ....... .......
3. Research costs................... 16 ....... ....... ....... ....... ....... ....... .......
4. Depreciation and amortization:
a. Pollution control facilities. 17 ....... ....... ....... ....... ....... ....... .......
b. Other smelter facilities..... 18 ....... ....... ....... ....... ....... ....... .......
5. Interest......................... 19 ....... ....... ....... ....... ....... ....... .......
6. Miscellaneous operating expenses. 20 ....... ....... ....... ....... ....... ....... .......
7. Total other operating expenses... 21 ....... ....... ....... ....... ....... ....... .......
E. Forecast income from operations...... 22 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule B.7--Profit Protection Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990 Total
----------------------------------------------------------------------------------------------------------------
A. Pre-control case:
1. Net income from 01 ....... ....... ....... ....... ....... ....... ....... XXXX
operations................
2. Discount factors........ 02 ....... ....... ....... ....... ....... ....... ....... XXXX
3. Present value of future 03 ....... ....... ....... ....... ....... ....... ....... XXXX
net income................
4. Horizon value........... 04 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
5. Discount factor......... 05 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
6. Present value of horizon 06 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
value.....................
7. Present value of future 07 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
net income................
8. Total present value..... 08 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
B. Constant controls case:
1. Net income from 09 ....... ....... ....... ....... ....... ....... ....... XXXX
operations................
2. Discount factors........ 10 ....... ....... ....... ....... ....... ....... ....... XXXX
3. Present value of future 11 ....... ....... ....... ....... ....... ....... ....... XXXX
net income................
4. Horizon value........... 12 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
5. Discount factor......... 13 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
6. Present value of horizon 14 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
value.....................
[[Page 244]]
7. Present value of future 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
net income................
8. Total present value..... 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
C. Ratio of total present value 17 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
of constant controls case to
total, present value of base
case..........................
----------------------------------------------------------------------------------------------------------------
Schedule C.1--Constant Controls Profit and Loss Summary for the Rate of Return Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
1. Smelter revenues--unaffilated 01 ....... ....... ....... ....... ....... ....... .......
parties............................
2. Smelter revenues--affiliated 02 ....... ....... ....... ....... ....... ....... .......
parties............................
3. Co-product and by-product sales.. 03 ....... ....... ....... ....... ....... ....... .......
4. Other operating revenues......... 04 ....... ....... ....... ....... ....... ....... .......
5. Total operating revenues......... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast cost of sales:
1. Material costs................... 06 ....... ....... ....... ....... ....... ....... .......
2. Production labor costs........... 07 ....... ....... ....... ....... ....... ....... .......
3. Energy costs..................... 08 ....... ....... ....... ....... ....... ....... .......
4. Pollution control costs.......... 09 ....... ....... ....... ....... ....... ....... .......
5. Production overhead.............. 10 ....... ....... ....... ....... ....... ....... .......
6. Other production costs........... 11 ....... ....... ....... ....... ....... ....... .......
7. Total cost of sales.............. 12 ....... ....... ....... ....... ....... ....... .......
C. Forecast gross operating profit...... 13 ....... ....... ....... ....... ....... ....... .......
D. Forecast other operating expenses:
1. Selling, general and 14 ....... ....... ....... ....... ....... ....... .......
administrative expenses............
2. Taxes, other than income tax..... 15 ....... ....... ....... ....... ....... ....... .......
3. Research costs................... 16 ....... ....... ....... ....... ....... ....... .......
4. Depreciation and amortization
a. Pollution control facilities. 17 ....... ....... ....... ....... ....... ....... .......
b. Other smelter facilities..... 18 ....... ....... ....... ....... ....... ....... .......
5. Interest on short-term debt...... 19 ....... ....... ....... ....... ....... ....... .......
6. Miscellaneous operating expenses. 20 ....... ....... ....... ....... ....... ....... .......
7. Total other operating expenses... 21 ....... ....... ....... ....... ....... ....... .......
E. Forecast income from operations...... 22 ....... ....... ....... ....... ....... ....... .......
F. Forecast income taxes................ 23 ....... ....... ....... ....... ....... ....... .......
G. Forecast net income from operations.. 24 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule C.2--Constant Controls Sustaining Capital Investment Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Sustaining capital Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
1. Land................................. 01 ....... ....... ....... ....... ....... ....... .......
2. Buildings and improvements........... 02 ....... ....... ....... ....... ....... ....... .......
2. Machinery and equipment.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Transportation equipment............. 04 ....... ....... ....... ....... ....... ....... .......
5. Pollution control facilities......... 05 ....... ....... ....... ....... ....... ....... .......
6. Other fixed assets................... 06 ....... ....... ....... ....... ....... ....... .......
7. Total smelter sustaining capital..... 07 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule C.3--Historical Capital Investment in Constant Dollars
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Nominal Constant
Items from 1983 balance sheet Line dollars dollars
----------------------------------------------------------------------------------------------------------------
A. Current assets:
1. Cash on hand and deposit................................................ 01 ......... .........
2. Temporary cash investments.............................................. 02 ......... .........
3. Trade receivables, net:
a. Unaffiliated customers.............................................. 03 ......... .........
[[Page 245]]
b. Affiliated customers................................................ 04 ......... .........
4. Inventories:
a. Raw materials and products.......................................... 05 ......... .........
b. Other materials and supplies........................................ 06 ......... .........
5. Other current assets.................................................... 07 ......... .........
6. Total current assets.................................................... 08 ......... .........
B. Property, plant and equipment:
1. Land.................................................................... 09 ......... .........
2. Buildings and improvements.............................................. 10 ......... .........
3. Machinery and equipment................................................. 11 ......... .........
4. Transportation equipment................................................ 12 ......... .........
5. Pollution control facilities............................................ 13 ......... .........
6. Other fixed assets...................................................... 14 ......... .........
7. Total smelter investments............................................... 15 ......... .........
8. Less: Accumulated depreciation and amortization......................... 16 ......... .........
9. Net smelter investment.................................................. 17 ......... .........
C. Other noncurrent assets..................................................... 18 ......... .........
D. Total smelter capital investment............................................ 19 ......... .........
E. Current liabilities:
1. Trade accounts and notes payable:
a. Unaffiliated suppliers.............................................. 20 ......... .........
b. Affiliated suppliers................................................ 21 ......... .........
2. Other expense accruals.................................................. 22 ......... .........
3. Notes payable, current.................................................. 23 ......... .........
4. Other current liabilities............................................... 24 ......... .........
5. Total current liabilities............................................... 25 ......... .........
F. Net smelter capital investment.............................................. 26 ......... .........
----------------------------------------------------------------------------------------------------------------
Schedule C.4--Rate of Return Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990 Total
----------------------------------------------------------------------------------------------------------------
A. Operating cash flow
projection:
1. Net income from 01 ....... ....... ....... ....... ....... ....... ....... XXXX
operations................
2. Depreciation and
amortization:
a. Pollution control 02 ....... ....... ....... ....... ....... ....... ....... XXXX
facilities............
b. Other smelter 03 ....... ....... ....... ....... ....... ....... ....... XXXX
facilities............
3. Operating cash flow..... 04 ....... ....... ....... ....... ....... ....... ....... XXXX
4. Capital expenditure
projections:
a. Constant controls... 05 ....... ....... ....... ....... ....... ....... ....... XXXX
b. Sustaining capital.. 06 ....... ....... ....... ....... ....... ....... ....... XXXX
c. Total............... 07 ....... ....... ....... ....... ....... ....... ....... XXXX
5. Net cash flow 08 ....... ....... ....... ....... ....... ....... ....... XXXX
projections...............
6. Discount factors........ 09 ....... ....... ....... ....... ....... ....... ....... XXXX
7. Present value of future 10 ....... ....... ....... ....... ....... ....... ....... XXXX
cash flows................
B. Net present value:
1. Horizon value........... 11 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
2. Discount factor......... 12 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
3. Present value of horizon 13 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
value.....................
4. Present value of future 14 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
cash flows................
5. Total present value..... 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
6. Net smelter capital 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
investment in constant
dollars...................
7. Net present value....... 17 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
----------------------------------------------------------------------------------------------------------------
[[Page 246]]
Schedule C.5--Horizon Value of Cash Flows
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Final forecast Horizon years
years -----------------------------------------------------
Line ------------------
1989 1990 1991 1992 1993 1994 1995 Total
----------------------------------------------------------------------------------------------------------------
A. Depreciation-free horizon
value:
1. Net cash flow 01 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
projections...............
2. Depreciation tax
savings:
a. Depreciation and 02 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
amortization..........
b. Marginal tax rate... 03 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
c. Tax savings......... 04 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
3. Depreciation-free net
cash flows:
a. Nominal dollar 05 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
values................
b. 1990 dollar values.. 06 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
c. Average............. 07 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
4. Horizon factor.......... 08 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
5. Depreciation-free 09 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
horizon value.............
B. Depreciation tax savings
over the horizon period:
1. Depreciation and 10 XXXX XXXX ....... ....... ....... ....... ....... XXXX
amortization..............
2. Marginal tax rate....... 11 XXXX XXXX ....... ....... ....... ....... ....... XXXX
3. Tax savings............. 12 XXXX XXXX ....... ....... ....... ....... ....... XXXX
4. Discount factors........ 13 XXXX XXXX ....... ....... ....... ....... ....... XXXX
5. Present value of tax 14 XXXX XXXX ....... ....... ....... ....... ....... XXXX
savings...................
6. Total present value of 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
tax savings...............
C. Horizon Value............... 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
----------------------------------------------------------------------------------------------------------------
Schedule D.1--Interim Controls Revenue Forecast
[Smelter Identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--
unaffiliated parties:
1. Concentrates processed........... 01 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 02 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 03 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 04 ....... ....... ....... ....... ....... ....... .......
B. Forecast smelter revenues--affiliated
parties:
1. Concentrates processed........... 05 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 06 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 07 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 08 ....... ....... ....... ....... ....... ....... .......
C. Forecast co-product and by-product
sales:
1. Total co-product revenues........ 09 ....... ....... ....... ....... ....... ....... .......
2. Total by-product revenues from:
a. Pollution control facilities. 10 ....... ....... ....... ....... ....... ....... .......
b. Other smelter processing..... 11 ....... ....... ....... ....... ....... ....... .......
3. Total co-product and by-product 12 ....... ....... ....... ....... ....... ....... .......
revenues:..........................
----------------------------------------------------------------------------------------------------------------
Schedule D.2--Interim Controls Cost Forecast
[Smelter Identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
1. Direct labor hours............... 01 ....... ....... ....... ....... ....... ....... .......
2. Average hourly wage rate......... 02 ....... ....... ....... ....... ....... ....... .......
3. Total wage payments.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Supplemental employee benefits... 04 ....... ....... ....... ....... ....... ....... .......
5. Total production labor cost...... 05 ....... ....... ....... ....... ....... ....... .......
[[Page 247]]
B. Forecast energy costs:
1. Electricity:
a. Quantity in kilowatt hours... 06 ....... ....... ....... ....... ....... ....... .......
b. Price per kwh................ 07 ....... ....... ....... ....... ....... ....... .......
c. Total electricity payments... 08 ....... ....... ....... ....... ....... ....... .......
2. Natural gas:
a. Quantity in mcf.............. 09 ....... ....... ....... ....... ....... ....... .......
b. Price per mcf................ 10 ....... ....... ....... ....... ....... ....... .......
c. Total natural gas payments... 11 ....... ....... ....... ....... ....... ....... .......
3. Coal:
a. Quantity in tons............. 12 ....... ....... ....... ....... ....... ....... .......
b. Price per ton................ 13 ....... ....... ....... ....... ....... ....... .......
c. Total coal payments.......... 14 ....... ....... ....... ....... ....... ....... .......
4. Fuel oil:
a. Quantity in gallons.......... 15 ....... ....... ....... ....... ....... ....... .......
b. Price per gallon............. 16 ....... ....... ....... ....... ....... ....... .......
c. Total fuel oil payments...... 17 ....... ....... ....... ....... ....... ....... .......
5. Other (specify):
a. Quantity (specific units).... 18 ....... ....... ....... ....... ....... ....... .......
b. Price per unit............... 18 ....... ....... ....... ....... ....... ....... .......
c. Total payments............... 20 ....... ....... ....... ....... ....... ....... .......
6. Total energy costs............... 21 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule D.3--Interim Controls Forecast Profit and Loss Summary
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
1. Smelter revenues--unaffiliated 01 ....... ....... ....... ....... ....... ....... .......
parties............................
2. Smelter revenues--affiliated 02 ....... ....... ....... ....... ....... ....... .......
parties............................
3. Co-product and by-product sales.. 03 ....... ....... ....... ....... ....... ....... .......
4. Other operating revenues......... 04 ....... ....... ....... ....... ....... ....... .......
5. Total operating revenues......... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast cost of sales:
1. Material costs................... 06 ....... ....... ....... ....... ....... ....... .......
2. Production labor costs........... 07 ....... ....... ....... ....... ....... ....... .......
3. Energy costs..................... 08 ....... ....... ....... ....... ....... ....... .......
4. Pollution control costs.......... 09 ....... ....... ....... ....... ....... ....... .......
5. Production overhead.............. 10 ....... ....... ....... ....... ....... ....... .......
6. Other production costs........... 11 ....... ....... ....... ....... ....... ....... .......
7. Total cost of sales.............. 12 ....... ....... ....... ....... ....... ....... .......
C. Forecast gross operating profit...... 13 ....... ....... ....... ....... ....... ....... .......
D. Forecast other operating expenses:
1. Selling, general and 14 ....... ....... ....... ....... ....... ....... .......
administrative expenses............
2. Taxes, other than income tax..... 15 ....... ....... ....... ....... ....... ....... .......
3. Research costs................... 16 ....... ....... ....... ....... ....... ....... .......
4. Depreciation and amortization:
a. Pollution control facilities. 17 ....... ....... ....... ....... ....... ....... .......
b. Other smelter facilities..... 18 ....... ....... ....... ....... ....... ....... .......
5. Interest on short-term debt...... 19 ....... ....... ....... ....... ....... ....... .......
6. Miscellaneous operating expenses. 20 ....... ....... ....... ....... ....... ....... .......
7. Total other operating expenses... 21 ....... ....... ....... ....... ....... ....... .......
E. Forecast income from operations...... 22 ....... ....... ....... ....... ....... ....... .......
F. Forecast income taxes................ 23 ....... ....... ....... ....... ....... ....... .......
G. Forecast net income from operations.. 24 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule D.4--Interim Control Sustaining Capital Investment Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Sustaining capital Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
1. Land................................. 01 ....... ....... ....... ....... ....... ....... .......
2. Buildings and improvements........... 02 ....... ....... ....... ....... ....... ....... .......
3. Machinery and equipment.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Transportation equipment............. 04 ....... ....... ....... ....... ....... ....... .......
5. Pollution control facilities......... 05 ....... ....... ....... ....... ....... ....... .......
[[Page 248]]
6. Other fixed assets................... 06 ....... ....... ....... ....... ....... ....... .......
7. Total smelter sustaining capital..... 07 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule D.5--Cash Proceeds From Liquidation
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Gain (loss) subject
(1) (2) (3) to taxation as--
Estimated Reported Total --------------------
Line Liquidation net book gain (4) (5)
value value (loss) Ordinary Capital
income gain
----------------------------------------------------------------------------------------------------------------
A. Total current assets......................... 01 ........... .......... XXXXX XXXXX XXXXX
B. Property, plant and equipment:
1. Land..................................... 02 ........... .......... ....... .......... .......
2. Buildings and improvements............... 03 ........... .......... ....... .......... .......
3. Machinery and equipment.................. 04 ........... .......... ....... .......... .......
4. Transportation equipment................. 05 ........... .......... ....... .......... .......
5. Pollution control facilities............. 06 ........... .......... ....... .......... .......
6. Other fixed assets....................... 07 ........... .......... ....... .......... .......
7. Total.................................... 08 ........... .......... ....... .......... .......
C. Other noncurrent assets...................... 09 ........... .......... ....... .......... .......
D. Total smelter value.......................... 10 ........... .......... ....... .......... .......
E. Total current liabilities.................... 11 ........... .......... XXXXX XXXXX XXXXX
F. Gross liquidation value...................... 12 ........... .......... ....... .......... .......
G. Liquidation costs............................ 13 ........... XXXXX ....... .......... XXXXX
H. Net Taxable Gain (or loss)................... 14 XXXXX XXXXX XXXXX .......... .......
I. Income tax rate.............................. 15 XXXXX XXXXX XXXXX .......... .......
J. Income tax on gain (loss).................... 16 XXXXX XXXXX XXXXX .......... .......
K. After tax cash proceeds from liquidation..... 17 ........... XXXXX XXXXX XXXXX XXXXX
----------------------------------------------------------------------------------------------------------------
Schedule D.6--Permanent Waiver From Interim Controls Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990 Total
----------------------------------------------------------------------------------------------------------------
A. Operating Cash flow
projection:
1. Net income from 01 ....... ....... ....... ....... ....... ....... ....... XXXX
operations................
2. Net income adjustments.. 02 ....... ....... ....... ....... ....... ....... ....... XXXX
3. Depreciation and
amortization:
a. Pollution control 03 ....... ....... ....... ....... ....... ....... ....... XXXX
facilities............
b. Other smelter 04 ....... ....... ....... ....... ....... ....... ....... XXXX
facilities............
4. Operating cash flow..... 05 ....... ....... ....... ....... ....... ....... ....... XXXX
5. Capital expenditure
projections:
a. Interim controls.... 06 ....... ....... ....... ....... ....... ....... ....... XXXX
b. Sustaining capital.. 07 ....... ....... ....... ....... ....... ....... ....... XXXX
c. Total............... 08 ....... ....... ....... ....... ....... ....... ....... XXXX
6. Net cash flow 09 ....... ....... ....... ....... ....... ....... ....... XXXX
projections...............
7. Discount factors........ 10 ....... ....... ....... ....... ....... ....... ....... XXXX
8. Present value of future 11 ....... ....... ....... ....... ....... ....... ....... XXXX
cash flows................
B. Net present value:
1. Horizon value........... 12 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
2. Discount factor......... 13 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
3. Present value of horizon 14 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
value.....................
4. Present value of future 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
cash flows................
5. Total present value..... 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
6. Current salvage value... 17 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
7. Net present value....... 18 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
----------------------------------------------------------------------------------------------------------------
[[Page 249]]
Schedule D.7--Horizon Value of Cash Flows
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Final forecast Horizon years
years ---------------------------------------------
Line ------------------ Total
1989 1990 1991 1992 1993 1994 1995
----------------------------------------------------------------------------------------------------------------
A. Depreciation-free horizon
value:
1. Net cash flow 01 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
projections...............
2. Depreciation tax
savings:
a. Depreciation and 02 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
amortization..........
b. Marginal tax rate... 03 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
c. Tax savings......... 04 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
3. Depreciation-free net
cash flows:
a. Nominal dollar 05 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
values................
b. 1990 dollar values.. 06 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
c. Average............. 07 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
4. Horizon factor.......... 08 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
5. Depreciation-free 09 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
horizon value.............
B. Depreciation tax savings
over the horizon period:
1. Depreciation and 10 XXXX XXXX ....... ....... ....... ....... ....... XXXX
amortization..............
2. Marginal tax rate....... 11 XXXX XXXX ....... ....... ....... ....... ....... XXXX
3. Tax savings............. 12 XXXX XXXX ....... ....... ....... ....... ....... XXXX
4. Discount factors........ 13 XXXX XXXX ....... ....... ....... ....... ....... XXXX
5. Present value of tax 14 XXXX XXXX ....... ....... ....... ....... ....... XXXX
savings...................
6. Total present value of 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
tax savings...............
C. Horizon Value............... 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
----------------------------------------------------------------------------------------------------------------
PART 58_AMBIENT AIR QUALITY SURVEILLANCE--Table of Contents
Subpart A_General Provisions
Sec.
58.1 Definitions.
58.2 Purpose.
58.3 Applicability.
Subpart B_Monitoring Network
58.10 Annual monitoring network plan and periodic network assessment.
58.11 Network technical requirements.
58.12 Operating schedules.
58.13 Monitoring network completion.
58.14 System modification.
58.15 Annual air monitoring data certification.
58.16 Data submittal and archiving requirements.
Subpart C_Special Purpose Monitors
58.20 Special purpose monitors (SPM).
Subpart D_Comparability of Ambient Data to the NAAQS
58.30 Special considerations for data comparisons to the NAAQS.
Subpart E [Reserved]
Subpart F_Air Quality Index Reporting
58.50 Index reporting.
Subpart G_Federal Monitoring
58.60 Federal monitoring.
58.61 Monitoring other pollutants.
Appendix A to Part 58--Quality Assurance Requirements for Monitors used
in Evaluations of National Ambient Air Quality Standards
Appendix B to Part 58--Quality Assurance Requirements for Prevention of
Significant Deterioration (PSD) Air Monitoring
Appendix C to Part 58--Ambient Air Quality Monitoring Methodology
Appendix D to Part 58--Network Design Criteria for Ambient Air
QualityMonitoring
Appendix E to Part 58--Probe and Monitoring Path Siting Criteria for
Ambient Air Quality Monitoring
Appendix F to Part 58 [Reserved]
Appendix G to Part 58--Uniform Air Quality Index (AQI) and Daily
Reporting
Authority: 42 U.S.C. 7403, 7405, 7410, 7414, 7601, 7611, 7614, and
7619.
[[Page 250]]
Source: 44 FR 27571, May 10, 1979; 59 FR 41628, Aug. 12, 1994,
unless otherwise noted.
Subpart A_General Provisions
Source: 71 FR 61296, Oct. 17, 2006, unless otherwise noted.
Sec. 58.1 Definitions.
As used in this part, all terms not defined herein have the meaning
given them in the Clean Air Act.
AADT means the annual average daily traffic.
Act means the Clean Air Act as amended (42 U.S.C. 7401, et seq.)
Additive and multiplicative bias means the linear regression
intercept and slope of a linear plot fitted to corresponding candidate
and reference method mean measurement data pairs.
Administrator means the Administrator of the Environmental
Protection Agency (EPA) or his or her authorized representative.
Air quality system (AQS) means the EPA's computerized system for
storing and reporting of information relating to ambient air quality
data.
Approved regional method (ARM) means a continuous PM2.5
method that has been approved specifically within a state or local air
monitoring network for purposes of comparison to the NAAQS and to meet
other monitoring objectives.
AQCR means air quality control region.
Area-wide means all monitors sited at neighborhood, urban, and
regional scales, as well as those monitors sited at either micro- or
middle-scale that are representative of many such locations in the same
CBSA.
Certifying agency means a state, local, or tribal agency responsible
for meeting the data certification requirements in accordance with
Sec. 58.15 for a unique set of monitors.
Chemical Speciation Network (CSN) includes Speciation Trends Network
stations (STN) as specified in paragraph 4.7.4 of appendix D of this
part and supplemental speciation stations that provide chemical species
data of fine particulate.
CO means carbon monoxide.
Combined statistical area (CSA) is defined by the U.S. Office of
Management and Budget as a geographical area consisting of two or more
adjacent Core Based Statistical Areas (CBSA) with employment interchange
of at least 15 percent. Combination is automatic if the employment
interchange is 25 percent and determined by local opinion if more than
15 but less than 25 percent.
Core-based statistical area (CBSA) is defined by the U.S. Office of
Management and Budget, as a statistical geographic entity consisting of
the county or counties associated with at least one urbanized area/urban
cluster of at least 10,000 population, plus adjacent counties having a
high degree of social and economic integration. Metropolitan Statistical
Areas (MSAs) and micropolitan statistical areas are the two categories
of CBSA (metropolitan areas have populations greater than 50,000; and
micropolitan areas have populations between 10,000 and 50,000). In the
case of very large cities where two or more CBSAs are combined, these
larger areas are referred to as combined statistical areas (CSAs)
Corrected concentration pertains to the result of an accuracy or
precision assessment test of an open path analyzer in which a high-
concentration test or audit standard gas contained in a short test cell
is inserted into the optical measurement beam of the instrument. When
the pollutant concentration measured by the analyzer in such a test
includes both the pollutant concentration in the test cell and the
concentration in the atmosphere, the atmospheric pollutant concentration
must be subtracted from the test measurement to obtain the corrected
concentration test result. The corrected concentration is equal to the
measured concentration minus the average of the atmospheric pollutant
concentrations measured (without the test cell) immediately before and
immediately after the test.
Design value means the calculated concentration according to the
applicable appendix of part 50 of this chapter for the highest site in
an attainment or nonattainment area.
EDO means environmental data operations.
Effective concentration pertains to testing an open path analyzer
with a high-concentration calibration or audit
[[Page 251]]
standard gas contained in a short test cell inserted into the optical
measurement beam of the instrument. Effective concentration is the
equivalent ambient-level concentration that would produce the same
spectral absorbance over the actual atmospheric monitoring path length
as produced by the high-concentration gas in the short test cell.
Quantitatively, effective concentration is equal to the actual
concentration of the gas standard in the test cell multiplied by the
ratio of the path length of the test cell to the actual atmospheric
monitoring path length.
Federal equivalent method (FEM) means a method for measuring the
concentration of an air pollutant in the ambient air that has been
designated as an equivalent method in accordance with part 53 of this
chapter; it does not include a method for which an equivalent method
designation has been canceled in accordance with Sec. 53.11 or
Sec. 53.16.
Federal reference method (FRM) means a method of sampling and
analyzing the ambient air for an air pollutant that is specified as a
reference method in an appendix to part 50 of this chapter, or a method
that has been designated as a reference method in accordance with this
part; it does not include a method for which a reference method
designation has been canceled in accordance with Sec. 53.11 or
Sec. 53.16 of this chapter.
HNO3 means nitric acid.
Implementation plan means an implementation plan approved or
promulgated by the EPA pursuant to section 110 of the Act.
Local agency means any local government agency, other than the state
agency, which is charged by a state with the responsibility for carrying
out a portion of the annual monitoring network plan required by
Sec. 58.10.
Meteorological measurements means measurements of wind speed, wind
direction, barometric pressure, temperature, relative humidity, solar
radiation, ultraviolet radiation, and/or precipitation that occur at
SLAMS stations including the NCore and PAMS networks.
Metropolitan Statistical Area (MSA) means a CBSA associated with at
least one urbanized area of 50,000 population or greater. The central-
county, plus adjacent counties with a high degree of integration,
comprise the area.
Monitor means an instrument, sampler, analyzer, or other device that
measures or assists in the measurement of atmospheric air pollutants and
which is acceptable for use in ambient air surveillance under the
applicable provisions of appendix C to this part.
Monitoring agency means a state, local or tribal agency responsible
for meeting the requirements of this part.
Monitoring organization means a monitoring agency responsible for
operating a monitoring site for which the quality assurance regulations
apply.
Monitoring path for an open path analyzer means the actual path in
space between two geographical locations over which the pollutant
concentration is measured and averaged.
Monitoring path length of an open path analyzer means the length of
the monitoring path in the atmosphere over which the average pollutant
concentration measurement (path-averaged concentration) is determined.
See also, optical measurement path length.
Monitoring planning area (MPA) means a contiguous geographic area
with established, well-defined boundaries, such as a CBSA, county or
state, having a common area that is used for planning monitoring
locations for PM2.5. A MPA may cross state boundaries, such
as the Philadelphia PA-NJ MSA, and be further subdivided into community
monitoring zones. The MPAs are generally oriented toward CBSAs or CSAs
with populations greater than 200,000, but for convenience, those
portions of a state that are not associated with CBSAs can be considered
as a single MPA.
NATTS means the national air toxics trends stations. This network
provides hazardous air pollution ambient data.
NCore means the National Core multipollutant monitoring stations.
Monitors at these sites are required to measure particles
(PM2.5 speciated PM2.5, PM10-2.5),
O3, SO2, CO, nitrogen oxides (NO/NOy),
and meteorology (wind speed, wind direction, temperature, relative
humidity).
Near-road monitor means any approved monitor meeting the applicable
[[Page 252]]
specifications described in 40 CFR part 58, appendix D (sections 4.2.1,
4.3.2, 4.7.1(b)(2)) and appendix E (section 6.4(a), Table E-4) for near-
road measurement of PM2.5, CO, or NO2.
Network means all stations of a given type or types.
Network Plan means the Annual Monitoring Network Plan described in
Sec. 58.10.
NH3 means ammonia.
NO2 means nitrogen dioxide.
NO means nitrogen oxide.
NOX means the sum of the concentrations of NO2 and NO.
NOy means the sum of all total reactive nitrogen oxides, including
NO, NO2, and other nitrogen oxides referred to as
NOZ.
O3 means ozone.
Open path analyzer means an automated analytical method that
measures the average atmospheric pollutant concentration in situ along
one or more monitoring paths having a monitoring path length of 5 meters
or more and that has been designated as a reference or equivalent method
under the provisions of part 53 of this chapter.
Optical measurement path length means the actual length of the
optical beam over which measurement of the pollutant is determined. The
path-integrated pollutant concentration measured by the analyzer is
divided by the optical measurement path length to determine the path-
averaged concentration. Generally, the optical measurement path length
is:
(1) Equal to the monitoring path length for a (bistatic) system
having a transmitter and a receiver at opposite ends of the monitoring
path;
(2) Equal to twice the monitoring path length for a (monostatic)
system having a transmitter and receiver at one end of the monitoring
path and a mirror or retroreflector at the other end; or
(3) Equal to some multiple of the monitoring path length for more
complex systems having multiple passes of the measurement beam through
the monitoring path.
PAMS means photochemical assessment monitoring stations.
Pb means lead.
PM means particulate matter, including but not limited to
PM10, PM10C, PM2.5, and
PM10-2.5.
PM2.5 means particulate matter with an aerodynamic diameter less
than or equal to a nominal 2.5 micrometers as measured by a reference
method based on appendix L of part 50 and designated in accordance with
part 53 of this chapter, by an equivalent method designated in
accordance with part 53, or by an approved regional method designated in
accordance with appendix C to this part.
PM10 means particulate matter with an aerodynamic diameter less than
or equal to a nominal 10 micrometers as measured by a reference method
based on appendix J of part 50 of this chapter and designated in
accordance with part 53 of this chapter or by an equivalent method
designated in accordance with part 53.
PM10C means particulate matter with an aerodynamic diameter less
than or equal to a nominal 10 micrometers as measured by a reference
method based on appendix O of part 50 of this chapter and designated in
accordance with part 53 of this chapter or by an equivalent method
designated in accordance with part 53.
PM10^2.5 means particulate matter with an aerodynamic diameter less
than or equal to a nominal 10 micrometers and greater than a nominal 2.5
micrometers as measured by a reference method based on appendix O to
part 50 of this chapter and designated in accordance with part 53 of
this chapter or by an equivalent method designated in accordance with
part 53.
Point analyzer means an automated analytical method that measures
pollutant concentration in an ambient air sample extracted from the
atmosphere at a specific inlet probe point, and that has been designated
as a reference or equivalent method in accordance with part 53 of this
chapter.
Primary monitor means the monitor identified by the monitoring
organization that provides concentration data used for comparison to the
NAAQS. For any specific site, only one monitor for each pollutant can be
designated in AQS as primary monitor for a given period of time. The
primary monitor identifies the default data source for
[[Page 253]]
creating a combined site record for purposes of NAAQS comparisons.
Primary quality assurance organization (PQAO) means a monitoring
organization, a group of monitoring organizations or other organization
that is responsible for a set of stations that monitor the same
pollutant and for which data quality assessments can be pooled. Each
criteria pollutant sampler/monitor at a monitoring station must be
associated with only one PQAO.
Probe means the actual inlet where an air sample is extracted from
the atmosphere for delivery to a sampler or point analyzer for pollutant
analysis.
PSD monitoring network means a set of stations that provide
concentration information for a specific PSD permit.
PSD monitoring organization means a source owner/operator, a
government agency, or a contractor of the source or agency that operates
an ambient air pollution monitoring network for PSD purposes.
PSD reviewing authority means the state air pollution control
agency, local agency, other state agency, tribe, or other agency
authorized by the Administrator to carry out a permit program under
Secs. 51.165 and 51.166 of this chapter, or the Administrator in the
case of EPA-implemented permit programs under Sec. 52.21 of this
chapter.
PSD station means any station operated for the purpose of
establishing the effect on air quality of the emissions from a proposed
source for purposes of prevention of significant deterioration as
required by Sec. 51.24(n) of this chapter.
Regional Administrator means the Administrator of one of the ten EPA
Regional Offices or his or her authorized representative.
Reporting organization means an entity, such as a state, local, or
tribal monitoring agency, that reports air quality data to the EPA.
Site means a geographic location. One or more stations may be at the
same site.
SLAMS means state or local air monitoring stations. The SLAMS
include the ambient air quality monitoring sites and monitors that are
required by appendix D of this part and are needed for the monitoring
objectives of appendix D, including NAAQS comparisons, but may serve
other data purposes. The SLAMS includes NCore, PAMS, CSN, and all other
state or locally operated criteria pollutant monitors, operated in
accordance to this part, that have not been designated and approved by
the Regional Administrator as SPM stations in an annual monitoring
network plan.
SO2 means sulfur dioxide.
Special purpose monitor (SPM) station means a monitor included in an
agency's monitoring network that the agency has designated as a special
purpose monitor station in its annual monitoring network plan and in the
AQS, and which the agency does not count when showing compliance with
the minimum requirements of this subpart for the number and siting of
monitors of various types. Any SPM operated by an air monitoring agency
must be included in the periodic assessments and annual monitoring
network plan required by Sec. 58.10 and approved by the Regional
Administrator.
State agency means the air pollution control agency primarily
responsible for development and implementation of a State Implementation
Plan under the Act.
Station means a single monitor, or a group of monitors, located at a
particular site.
STN station means a PM2.5 chemical speciation station
designated to be part of the speciation trends network. This network
provides chemical species data of fine particulate.
Supplemental speciation station means a PM2.5 chemical
speciation station that is operated for monitoring agency needs and not
part of the STN.
Traceable means that a local standard has been compared and
certified, either directly or via not more than one intermediate
standard, to a National Institute of Standards and Technology (NIST)-
certified primary standard such as a NIST-traceable Reference Material
(NTRM) or a NIST-certified Gas Manufacturer's Internal Standard (GMIS).
TSP (total suspended particulates) means particulate matter as
measured by the method described in appendix B of Part 50.
Urbanized area means an area with a minimum residential population
of at least 50,000 people and which generally
[[Page 254]]
includes core census block groups or blocks that have a population
density of at least 1,000 people per square mile and surrounding census
blocks that have an overall density of at least 500 people per square
mile. The Census Bureau notes that under certain conditions, less
densely settled territory may be part of each Urbanized Area.
VOCs means volatile organic compounds.
[81 FR 17276, Mar. 28, 2016]
Sec. 58.2 Purpose.
(a) This part contains requirements for measuring ambient air
quality and for reporting ambient air quality data and related
information. The monitoring criteria pertain to the following areas:
(1) Quality assurance procedures for monitor operation and data
handling.
(2) Methodology used in monitoring stations.
(3) Operating schedule.
(4) Siting parameters for instruments or instrument probes.
(5) Minimum ambient air quality monitoring network requirements used
to provide support to the State implementation plans (SIP), national air
quality assessments, and policy decisions. These minimums are described
as part of the network design requirements, including minimum numbers
and placement of monitors of each type.
(6) Air quality data reporting, and requirements for the daily
reporting of an index of ambient air quality.
(b) The requirements pertaining to provisions for an air quality
surveillance system in the SIP are contained in this part.
(c) This part also acts to establish a national ambient air quality
monitoring network for the purpose of providing timely air quality data
upon which to base national assessments and policy decisions.
Sec. 58.3 Applicability.
This part applies to:
(a) State air pollution control agencies.
(b) Any local air pollution control agency to which the State has
delegated authority to operate a portion of the State's SLAMS network.
(c) Owners or operators of proposed sources.
Subpart B_Monitoring Network
Source: 71 FR 61298, Oct. 17, 2006, unless otherwise noted.
Sec. 58.10 Annual monitoring network plan and periodic network assessment.
(a)(1) Beginning July 1, 2007, the state, or where applicable local,
agency shall submit to the Regional Administrator an annual monitoring
network plan which shall provide for the documentation of the
establishment and maintenance of an air quality surveillance system that
consists of a network of SLAMS monitoring stations that can include FRM,
FEM, and ARM monitors that are part of SLAMS, NCore, CSN, PAMS, and SPM
stations. The plan shall include a statement of whether the operation of
each monitor meets the requirements of appendices A, B, C, D, and E of
this part, where applicable. The Regional Administrator may require
additional information in support of this statement. The annual
monitoring network plan must be made available for public inspection and
comment for at least 30 days prior to submission to the EPA and the
submitted plan shall include and address, as appropriate, any received
comments.
(2) Any annual monitoring network plan that proposes network
modifications (including new or discontinued monitoring sites, new
determinations that data are not of sufficient quality to be compared to
the NAAQS, and changes in identification of monitors as suitable or not
suitable for comparison against the annual PM2.5 NAAQS) to
SLAMS networks is subject to the approval of the EPA Regional
Administrator, who shall approve or disapprove the plan within 120 days
of submission of a complete plan to the EPA.
(3) The plan for establishing required NCore multipollutant stations
shall be submitted to the Administrator not later than July 1, 2009. The
plan shall provide for all required stations to be operational by
January 1, 2011.
(4) A plan for establishing source-oriented Pb monitoring sites in
accordance with the requirements of appendix
[[Page 255]]
D to this part for Pb sources emitting 1.0 tpy or greater shall be
submitted to the EPA Regional Administrator no later than July 1, 2009,
as part of the annual network plan required in paragraph (a)(1) of this
section. The plan shall provide for the required source-oriented Pb
monitoring sites for Pb sources emitting 1.0 tpy or greater to be
operational by January 1, 2010. A plan for establishing source-oriented
Pb monitoring sites in accordance with the requirements of appendix D to
this part for Pb sources emitting equal to or greater than 0.50 tpy but
less than 1.0 tpy shall be submitted to the EPA Regional Administrator
no later than July 1, 2011. The plan shall provide for the required
source-oriented Pb monitoring sites for Pb sources emitting equal to or
greater than 0.50 tpy but less than 1.0 tpy to be operational by
December 27, 2011.
(5)(i) A plan for establishing or identifying an area-wide
NO2 monitor, in accordance with the requirements of Appendix
D, section 4.3.3 to this part, shall be submitted as part of the Annual
Monitoring Network Plan to the EPA Regional Administrator by July 1,
2012. The plan shall provide for these required monitors to be
operational by January 1, 2013.
(ii) A plan for establishing or identifying any NO2
monitor intended to characterize vulnerable and susceptible populations,
as required in Appendix D, section 4.3.4 to this part, shall be
submitted as part of the Annual Monitoring Network Plan to the EPA
Regional Administrator by July 1, 2012. The plan shall provide for these
required monitors to be operational by January 1, 2013.
(iii) A plan for establishing a single near-road NO2
monitor in CBSAs having 1,000,000 or more persons, in accordance with
the requirements of Appendix D, section 4.3.2 to this part, shall be
submitted as part of the Annual Monitoring Network Plan to the EPA
Regional Administrator by July 1, 2013. The plan shall provide for these
required monitors to be operational by January 1, 2014.
(iv) A plan for establishing a second near-road NO2
monitor in any CBSA with a population of 2,500,000 persons or more, or a
second monitor in any CBSA with a population of 1,000,000 or more
persons that has one or more roadway segments with 250,000 or greater
AADT counts, in accordance with the requirements of appendix D, section
4.3.2 to this part, shall be submitted as part of the Annual Monitoring
Network Plan to the EPA Regional Administrator by July 1, 2014. The plan
shall provide for these required monitors to be operational by January
1, 2015.
(6) A plan for establishing SO2 monitoring sites in
accordance with the requirements of appendix D to this part shall be
submitted to the EPA Regional Administrator by July 1, 2011 as part of
the annual network plan required in paragraph (a) (1). The plan shall
provide for all required SO2 monitoring sites to be
operational by January 1, 2013.
(7) A plan for establishing CO monitoring sites in accordance with
the requirements of appendix D to this part shall be submitted to the
EPA Regional Administrator. Plans for required CO monitors shall be
submitted at least six months prior to the date such monitors must be
established as required by section 58.13.
(8)(i) A plan for establishing near-road PM 2.5
monitoring sites in CBSAs having 2.5 million or more persons, in
accordance with the requirements of appendix D to this part, shall be
submitted as part of the annual monitoring network plan to the EPA
Regional Administrator by July 1, 2014. The plan shall provide for these
required monitoring stations to be operational by January 1, 2015.
(ii) A plan for establishing near-road PM 2.5 monitoring
sites in CBSAs having 1 million or more persons, but less than 2.5
million persons, in accordance with the requirements of appendix D to
this part, shall be submitted as part of the annual monitoring network
plan to the EPA Regional Administrator by July 1, 2016. The plan shall
provide for these required monitoring stations to be operational by
January 1, 2017.
(9) The annual monitoring network plan shall provide for the
required O3 sites to be operating on the first day of the
applicable required O3 monitoring season in effect on January
1, 2017 as listed in Table D-3 of appendix D of this part.
[[Page 256]]
(10) A plan for making Photochemical Assessment Monitoring Stations
(PAMS) measurements, if applicable, in accordance with the requirements
of appendix D paragraph 5(a) of this part shall be submitted to the EPA
Regional Administrator no later than July 1, 2018. The plan shall
provide for the required PAMS measurements to begin by June 1, 2019.
(11) An Enhanced Monitoring Plan for O3, if applicable,
in accordance with the requirements of appendix D paragraph 5(h) of this
part shall be submitted to the EPA Regional Administrator no later than
October 1, 2019 or two years following the effective date of a
designation to a classification of Moderate or above O3
nonattainment, whichever is later.
(12) A detailed description of the PAMS network being operated in
accordance with the requirements of appendix D to this part shall be
submitted as part of the annual monitoring network plan for review by
the EPA Administrator. The PAMS Network Description described in section
5 of appendix D may be used to meet this requirement.
(b) The annual monitoring network plan must contain the following
information for each existing and proposed site:
(1) The AQS site identification number.
(2) The location, including street address and geographical
coordinates.
(3) The sampling and analysis method(s) for each measured parameter.
(4) The operating schedules for each monitor.
(5) Any proposals to remove or move a monitoring station within a
period of 18 months following plan submittal.
(6) The monitoring objective and spatial scale of representativeness
for each monitor as defined in appendix D to this part.
(7) The identification of any sites that are suitable and sites that
are not suitable for comparison against the annual PM 2.5
NAAQS as described in Sec. 58.30.
(8) The MSA, CBSA, CSA or other area represented by the monitor.
(9) The designation of any Pb monitors as either source-oriented or
non-source-oriented according to Appendix D to 40 CFR part 58.
(10) Any source-oriented monitors for which a waiver has been
requested or granted by the EPA Regional Administrator as allowed for
under paragraph 4.5(a)(ii) of Appendix D to 40 CFR part 58.
(11) Any source-oriented or non-source-oriented site for which a
waiver has been requested or granted by the EPA Regional Administrator
for the use of Pb-PM 10 monitoring in lieu of Pb-TSP
monitoring as allowed for under paragraph 2.10 of Appendix C to 40 CFR
part 58.
(12) The identification of required NO2 monitors as near-
road, area-wide, or vulnerable and susceptible population monitors in
accordance with Appendix D, section 4.3 of this part.
(13) The identification of any PM 2.5 FEMs and/or ARMs
used in the monitoring agency's network where the data are not of
sufficient quality such that data are not to be compared to the NAAQS.
For required SLAMS where the agency identifies that the PM
2.5 Class III FEM or ARM does not produce data of sufficient
quality for comparison to the NAAQS, the monitoring agency must ensure
that an operating FRM or filter-based FEM meeting the sample frequency
requirements described in Sec. 58.12 or other Class III PM
2.5 FEM or ARM with data of sufficient quality is operating
and reporting data to meet the network design criteria described in
appendix D to this part.
(c) The annual monitoring network plan must document how state and
local agencies provide for the review of changes to a PM 2.5
monitoring network that impact the location of a violating PM
2.5 monitor. The affected state or local agency must document
the process for obtaining public comment and include any comments
received through the public notification process within their submitted
plan.
(d) The state, or where applicable local, agency shall perform and
submit to the EPA Regional Administrator an assessment of the air
quality surveillance system every 5 years to determine, at a minimum, if
the network
[[Page 257]]
meets the monitoring objectives defined in appendix D to this part,
whether new sites are needed, whether existing sites are no longer
needed and can be terminated, and whether new technologies are
appropriate for incorporation into the ambient air monitoring network.
The network assessment must consider the ability of existing and
proposed sites to support air quality characterization for areas with
relatively high populations of susceptible individuals (e.g., children
with asthma), and, for any sites that are being proposed for
discontinuance, the effect on data users other than the agency itself,
such as nearby states and tribes or health effects studies. The state,
or where applicable local, agency must submit a copy of this 5-year
assessment, along with a revised annual network plan, to the Regional
Administrator. The assessments are due every five years beginning July
1, 2010.
(e) All proposed additions and discontinuations of SLAMS monitors in
annual monitoring network plans and periodic network assessments are
subject to approval according to Sec. 58.14.
[71 FR 61298, Oct. 17, 2006, as amended at 72 FR 32210, June 12, 2007;
73 FR 67059, Nov. 12, 2008; 73 FR 77517, Dec. 19, 2008; 75 FR 6534, Feb.
9, 2010; 75 FR 35601, June 22, 2010; 75 FR 81137, Dec. 27, 2010; 76 FR
54341, Aug. 31, 2011; 78 FR 16188, Mar. 14, 2013; 78 FR 3282, Jan. 15,
2013; 80 FR 65466, Oct. 26, 2015; 81 FR 17279, Mar. 28, 2016; 81 FR
96388, Dec. 30, 2016]
Sec. 58.11 Network technical requirements.
(a)(1) State and local governments shall follow the applicable
quality assurance criteria contained in appendix A to this part when
operating the SLAMS networks.
(2) Beginning January 1, 2009, State and local governments shall
follow the quality assurance criteria contained in appendix A to this
part that apply to SPM sites when operating any SPM site which uses a
FRM, FEM, or ARM and meets the requirements of appendix E to this part,
unless the Regional Administrator approves an alternative to the
requirements of appendix A with respect to such SPM sites because
meeting those requirements would be physically and/or financially
impractical due to physical conditions at the monitoring site and the
requirements are not essential to achieving the intended data objectives
of the SPM site. Alternatives to the requirements of appendix A may be
approved for an SPM site as part of the approval of the annual
monitoring plan, or separately.
(3) The owner or operator of an existing or a proposed source shall
follow the quality assurance criteria in appendix B to this part that
apply to PSD monitoring when operating a PSD site.
(b) State and local governments must follow the criteria in appendix
C to this part to determine acceptable monitoring methods or instruments
for use in SLAMS networks. Appendix C criteria are optional at SPM
stations.
(c) State and local governments must follow the network design
criteria contained in appendix D to this part in designing and
maintaining the SLAMS stations. The final network design and all changes
in design are subject to approval of the Regional Administrator. NCore
and STN network design and changes are also subject to approval of the
Administrator. Changes in SPM stations do not require approvals, but a
change in the designation of a monitoring site from SLAMS to SPM
requires approval of the Regional Administrator.
(d) State and local governments must follow the criteria contained
in appendix E to this part for siting monitor inlets, paths or probes at
SLAMS stations. Appendix E adherence is optional for SPM stations.
(e) State and local governments must assess data from Class III PM
2.5 FEM and ARM monitors operated within their network using
the performance criteria described in table C-4 to subpart C of part 53
of this chapter, for cases where the data are identified as not of
sufficient comparability to a collocated FRM, and the monitoring agency
requests that the FEM or ARM data should not be used in comparison to
the NAAQS. These assessments are required in the monitoring agency's
annual monitoring network plan described in Sec. 58.10(b) for cases
where the FEM or ARM is identified as not of sufficient comparability to
a collocated FRM. For these collocated PM 2.5 monitors the
performance criteria apply with the following additional provisions:
[[Page 258]]
(1) The acceptable concentration range (Rj), mg/m\3\ may include
values down to 0 mg/m\3\.
(2) The minimum number of test sites shall be at least one; however,
the number of test sites will generally include all locations within an
agency's network with collocated FRMs and FEMs or ARMs.
(3) The minimum number of methods shall include at least one FRM and
at least one FEM or ARM.
(4) Since multiple FRMs and FEMs may not be present at each site;
the precision statistic requirement does not apply, even if precision
data are available.
(5) All seasons must be covered with no more than thirty-six
consecutive months of data in total aggregated together.
(6) The key statistical metric to include in an assessment is the
bias (both additive and multiplicative) of the PM 2.5
continuous FEM(s) compared to a collocated FRM(s). Correlation is
required to be reported in the assessment, but failure to meet the
correlation criteria, by itself, is not cause to exclude data from a
continuous FEM monitor.
[71 FR 61298, Oct. 17, 2006, as amended at 78 FR 3282, Jan. 15, 2013; 80
FR 65466, Oct. 26, 2015; 81 FR 17279, Mar. 28, 2016]
Sec. 58.12 Operating schedules.
State and local governments shall collect ambient air quality data
at any SLAMS station on the following operational schedules:
(a) For continuous analyzers, consecutive hourly averages must be
collected except during:
(1) Periods of routine maintenance,
(2) Periods of instrument calibration, or
(3) Periods or monitoring seasons exempted by the Regional
Administrator.
(b) For Pb manual methods, at least one 24-hour sample must be
collected every 6 days except during periods or seasons exempted by the
Regional Administrator.
(c) For PAMS VOC samplers, samples must be collected as specified in
section 5 of appendix D to this part. Area-specific PAMS operating
schedules must be included as part of the PAMS network description and
must be approved by the Regional Administrator.
(d) For manual PM 2.5 samplers:
(1)(i) Manual PM2.5 samplers at required SLAMS stations
without a collocated continuously operating PM2.5 monitor
must operate on at least a 1-in-3 day schedule unless a waiver for an
alternative schedule has been approved per paragraph (d)(1)(ii) of this
section.
(ii) For SLAMS PM2.5 sites with both manual and
continuous PM2.5 monitors operating, the monitoring agency
may request approval for a reduction to 1-in-6 day PM2.5
sampling or for seasonal sampling from the EPA Regional Administrator.
Other requests for a reduction to 1-in-6 day PM2.5 sampling
or for seasonal sampling may be approved on a case-by-case basis. The
EPA Regional Administrator may grant sampling frequency reductions after
consideration of factors (including but not limited to the historical
PM2.5 data quality assessments, the location of current
PM2.5 design value sites, and their regulatory data needs) if
the Regional Administrator determines that the reduction in sampling
frequency will not compromise data needed for implementation of the
NAAQS. Required SLAMS stations whose measurements determine the design
value for their area and that are within 10 percent of the annual
NAAQS, and all required sites where one or more 24-hour values have
exceeded the 24-hour NAAQS each year for a consecutive period of at
least 3 years are required to maintain at least a 1-in-3 day sampling
frequency until the design value no longer meets these criteria for 3
consecutive years. A continuously operating FEM or ARM PM2.5
monitor satisfies this requirement unless it is identified in the
monitoring agency's annual monitoring network plan as not appropriate
for comparison to the NAAQS and the EPA Regional Administrator has
approved that the data from that monitor may be excluded from comparison
to the NAAQS.
(iii) Required SLAMS stations whose measurements determine the 24-
hour design value for their area and whose data are within 5 percent of
the level of the 24-hour PM2.5 NAAQS must have an FRM or FEM
operate on a daily schedule if that area's design value for
[[Page 259]]
the annual NAAQS is less than the level of the annual PM2.5
standard. A continuously operating FEM or ARM PM2.5 monitor
satisfies this requirement unless it is identified in the monitoring
agency's annual monitoring network plan as not appropriate for
comparison to the NAAQS and the EPA Regional Administrator has approved
that the data from that monitor may be excluded from comparison to the
NAAQS. The daily schedule must be maintained until the referenced design
value no longer meets these criteria for 3 consecutive years.
(iv) Changes in sampling frequency attributable to changes in design
values shall be implemented no later than January 1 of the calendar year
following the certification of such data as described in Sec. 58.15.
(2) Manual PM 2.5 samplers at NCore stations and required
regional background and regional transport sites must operate on at
least a 1-in-3 day sampling frequency.
(3) Manual PM2.5 speciation samplers at STN stations must
operate on at least a 1-in-3 day sampling frequency unless a reduction
in sampling frequency has been approved by the EPA Administrator based
on factors such as area's design value, the role of the particular site
in national health studies, the correlation of the site's species data
with nearby sites, and presence of other leveraged measurements.
(e) For PM 10 samplers, a 24-hour sample must be taken
from midnight to midnight (local standard time) to ensure national
consistency. The minimum monitoring schedule for the site in the area of
expected maximum concentration shall be based on the relative level of
that monitoring site concentration with respect to the 24-hour standard
as illustrated in Figure 1. If the operating agency demonstrates by
monitoring data that during certain periods of the year conditions
preclude violation of the PM 10 24-hour standard, the
increased sampling frequency for those periods or seasons may be
exempted by the Regional Administrator and permitted to revert back to
once in six days. The minimum sampling schedule for all other sites in
the area remains once every six days. No less frequently than as part of
each 5-year network assessment, the most recent year of data must be
considered to estimate the air quality status at the site near the area
of maximum concentration. Statistical models such as analysis of
concentration frequency distributions as described in ``Guideline for
the Interpretation of Ozone Air Quality Standards,'' EPA-450/479-003,
U.S. Environmental Protection Agency, Research Triangle Park, NC,
January 1979, should be used. Adjustments to the monitoring schedule
must be made on the basis of the 5-year network assessment. The site
having the highest concentration in the most current year must be given
first consideration when selecting the site for the more frequent
sampling schedule. Other factors such as major change in sources of PM
10 emissions or in sampling site characteristics could
influence the location of the expected maximum concentration site. Also,
the use of the most recent 3 years of data might, in some cases, be
justified in order to provide a more representative database from which
to estimate current air quality status and to provide stability to the
network. This multiyear consideration reduces the possibility of an
anomalous year biasing a site selected for accelerated sampling. If the
maximum concentration site based on the most current year is not
selected for the more frequent operating schedule, documentation of the
justification for selection of an alternative site must be submitted to
the Regional Office for approval during the 5-year network assessment
process. Minimum data completeness criteria, number of years of data and
sampling frequency for judging attainment of the NAAQS are discussed in
appendix K of part 50 of this chapter.
[[Page 260]]
[GRAPHIC] [TIFF OMITTED] TR41AD07.012
(f) For manual PM 10-2.5 samplers:
(1) Manual PM 10-2.5 samplers at NCore stations must
operate on at least a 1-in-3 day schedule at sites without a collocated
continuously operating federal equivalent PM 10-2.5 method
that has been designated in accordance with part 53 of this chapter.
(2) [Reserved]
(g) For continuous SO2 analyzers, the maximum 5-minute
block average concentration of the twelve 5-minute blocks in each hour
must be collected except as noted in Sec. 58.12 (a).
[71 FR 61298, Oct. 17, 2006, as amended at 72 FR 32210, June 12, 2007;
75 FR 35601, June 22, 2010; 78 FR 3282, Jan. 15, 2013; 81 FR 17279, Mar.
28, 2016]
Sec. 58.13 Monitoring network completion.
(a) The network of NCore multipollutant sites must be physically
established no later than January 1, 2011, and at that time, operating
under all of the requirements of this part, including the requirements
of appendices A, C, D, E, and G to this part. NCore sites required to
conduct Pb monitoring as required under 40 CFR part 58 appendix D
paragraph 3(b), or approved alternative non-source-oriented Pb
monitoring sites, shall begin Pb monitoring in accordance with all of
the requirements of this part, including the requirements of appendices
A, C, D, E, and G to this part no later than December 27, 2011.
(b) Not withstanding specific dates included in this part, beginning
January 1, 2008, when existing networks are not in conformance with the
minimum number of required monitors specified in this part, additional
required monitors must be identified in the next applicable annual
monitoring network plan, with monitoring operation beginning by January
1 of the following year. To allow sufficient time to prepare and comment
on Annual Monitoring Network Plans, only monitoring requirements
effective 120 days prior to the required submission date of the plan
(i.e., 120 days prior to July 1 of each year) shall be included in that
year's annual monitoring network plan.
(c) The NO2 monitors required under Appendix D, section
4.3 of this part must be physically established and operating under all
of the requirements of this part, including the requirements of
appendices A, C, D, and E to this part, no later than:
(1) January 1, 2013, for area-wide NO2 monitors required
in Appendix D, section 4.3.3;
(2) January 1, 2013, for NO2 monitors intended to
characterize vulnerable and susceptible populations that are required in
Appendix D, section 4.3.4;
[[Page 261]]
(3) January 1, 2014, for an initial near-road NO2 monitor
in CBSAs having 1,000,000 million or more persons that is required in
Appendix D, section 4.3.2;
(4) January 1, 2015, for a second near-road NO2 monitor
in CBSAs that have a population of 2,500,000 or more persons or a second
monitor in any CBSA with a population of 1,000,000 or more persons that
has one or more roadway segments with 250,000 or greater AADT counts
that is required in appendix D, section 4.3.2.
(d) The network of SO2 monitors must be physically
established no later than January 1, 2013, and at that time, must be
operating under all of the requirements of this part, including the
requirements of appendices A, C, D, and E to this part.
(e) The CO monitors required under Appendix D, section 4.2 of this
part must be physically established and operating under all of the
requirements of this part, including the requirements of appendices A,
C, D, and E to this part, no later than:
(1) January 1, 2015 for CO monitors in CBSAs having 2.5 million
persons or more; or
(2) January 1, 2017 for other CO monitors.
(f) PM 2.5 monitors required in near-road environments as
described in appendix D to this part, must be physically established and
operating under all of the requirements of this part, including the
requirements of appendices A, C, D, and E to this part, no later than:
(1) January 1, 2015 for PM 2.5 monitors in CBSAs having
2.5 million persons or more; or
(2) January 1, 2017 for PM 2.5 monitors in CBSAs having 1
million or more, but less than 2.5 million persons.
(g) The O3 monitors required under appendix D, section
4.1 of this part must operate on the first day of the applicable
required O3 monitoring season in effect January 1, 2017.
(h) The Photochemical Assessment Monitoring sites required under 40
CFR part 58 Appendix D, section 5(a) must be physically established and
operating under all of the requirements of this part, including the
requirements of appendix A, C, D, and E of this part, no later than June
1, 2019.
[71 FR 61298, Oct. 17, 2006, as amended at 73 FR 67059, Nov. 12, 2008;
75 FR 6534, Feb. 9, 2010; 75 FR 35601, June 22, 2010; 75 FR 81137, Dec.
27, 2010; 76 FR 54341, Aug. 31, 2011; 78 FR 16188, Mar. 14, 2013; 78 FR
3283, Jan. 15, 2013; 80 FR 65466, Oct. 26, 2015; 81 FR 96388, Dec. 30,
2016]
Sec. 58.14 System modification.
(a) The state, or where appropriate local, agency shall develop a
network modification plan and schedule to modify the ambient air quality
monitoring network that addresses the findings of the network assessment
required every 5 years by Sec. 58.10(d). The network modification plan
shall be submitted as part of the Annual Monitoring Network Plan that is
due no later than the year after submittal of the network assessment.
(b) Nothing in this section shall preclude the State, or where
appropriate local, agency from making modifications to the SLAMS network
for reasons other than those resulting from the periodic network
assessments. These modifications must be reviewed and approved by the
Regional Administrator. Each monitoring network may make or be required
to make changes between the 5-year assessment periods, including for
example, site relocations or the addition of PAMS networks in bumped-up
ozone nonattainment areas. These modifications must address changes
invoked by a new census and changes due to changing air quality levels.
The State, or where appropriate local, agency shall provide written
communication describing the network changes to the Regional
Administrator for review and approval as these changes are identified.
(c) State, or where appropriate, local agency requests for SLAMS
monitor station discontinuation, subject to the review of the Regional
Administrator, will be approved if any of the following criteria are met
and if the requirements of appendix D to this part, if any, continue to
be met. Other requests for discontinuation may also be approved on a
case-by-case basis if discontinuance does not compromise data collection
needed for implementation of a NAAQS and if the requirements of
[[Page 262]]
appendix D to this part, if any, continue to be met.
(1) Any PM 2.5, O3, CO, PM 10,
SO2, Pb, or NO2 SLAMS monitor which has shown
attainment during the previous five years, that has a probability of
less than 10 percent of exceeding 80 percent of the applicable NAAQS
during the next three years based on the levels, trends, and variability
observed in the past, and which is not specifically required by an
attainment plan or maintenance plan. In a nonattainment or maintenance
area, if the most recent attainment or maintenance plan adopted by the
State and approved by EPA contains a contingency measure to be triggered
by an air quality concentration and the monitor to be discontinued is
the only SLAMS monitor operating in the nonattainment or maintenance
area, the monitor may not be discontinued.
(2) Any SLAMS monitor for CO, PM 10, SO2, or
NO2 which has consistently measured lower concentrations than
another monitor for the same pollutant in the same county (or portion of
a county within a distinct attainment area, nonattainment area, or
maintenance area, as applicable) during the previous five years, and
which is not specifically required by an attainment plan or maintenance
plan, if control measures scheduled to be implemented or discontinued
during the next five years would apply to the areas around both monitors
and have similar effects on measured concentrations, such that the
retained monitor would remain the higher reading of the two monitors
being compared.
(3) For any pollutant, any SLAMS monitor in a county (or portion of
a county within a distinct attainment, nonattainment, or maintenance
area, as applicable) provided the monitor has not measured violations of
the applicable NAAQS in the previous five years, and the approved SIP
provides for a specific, reproducible approach to representing the air
quality of the affected county in the absence of actual monitoring data.
(4) A PM 2.5 SLAMS monitor which EPA has determined
cannot be compared to the relevant NAAQS because of the siting of the
monitor, in accordance with Sec. 58.30.
(5) A SLAMS monitor that is designed to measure concentrations
upwind of an urban area for purposes of characterizing transport into
the area and that has not recorded violations of the relevant NAAQS in
the previous five years, if discontinuation of the monitor is tied to
start-up of another station also characterizing transport.
(6) A SLAMS monitor not eligible for removal under any of the
criteria in paragraphs (c)(1) through (c)(5) of this section may be
moved to a nearby location with the same scale of representation if
logistical problems beyond the State's control make it impossible to
continue operation at its current site.
[71 FR 61298, Oct. 17, 2006, as amended at 81 FR 17280, Mar. 28, 2016]
Sec. 58.15 Annual air monitoring data certification.
(a) The state, or where appropriate local, agency shall submit to
the EPA Regional Administrator an annual air monitoring data
certification letter to certify data collected by FRM, FEM, and ARM
monitors at SLAMS and SPM sites that meet criteria in appendix A to this
part from January 1 to December 31 of the previous year. The head
official in each monitoring agency, or his or her designee, shall
certify that the previous year of ambient concentration and quality
assurance data are completely submitted to AQS and that the ambient
concentration data are accurate to the best of her or his knowledge,
taking into consideration the quality assurance findings. The annual
data certification letter is due by May 1 of each year.
(b) Along with each certification letter, the state shall submit to
the Regional Administrator an annual summary report of all the ambient
air quality data collected by FRM, FEM, and ARM monitors at SLAMS and
SPM sites. The annual report(s) shall be submitted for data collected
from January 1 to December 31 of the previous year. The annual summary
serves as the record of the specific data that is the object of the
certification letter.
(c) Along with each certification letter, the state shall submit to
the Regional Administrator a summary of the precision and accuracy data
for all ambient air quality data collected by
[[Page 263]]
FRM, FEM, and ARM monitors at SLAMS and SPM sites. The summary of
precision and accuracy shall be submitted for data collected from
January 1 to December 31 of the previous year.
[81 FR 17280, Mar. 28, 2016]
Sec. 58.16 Data submittal and archiving requirements.
(a) The state, or where appropriate, local agency, shall report to
the Administrator, via AQS all ambient air quality data and associated
quality assurance data for SO2; CO; O3;
NO2; NO; NOy; NOX; Pb-TSP mass
concentration; Pb-PM10 mass concentration; PM10
mass concentration; PM2.5 mass concentration; for filter-
based PM2.5 FRM/FEM, the field blank mass; chemically
speciated PM2.5 mass concentration data; PM10-2.5
mass concentration; meteorological data from NCore and PAMS sites; and
metadata records and information specified by the AQS Data Coding Manual
(https://www.epa.gov/sites/production/files/2015-09/documents/
aqs_data_coding_manual_0.pdf). Air quality data and information must be
submitted directly to the AQS via electronic transmission on the
specified schedule described in paragraphs (b) and (d) of this section.
(b) The specific quarterly reporting periods are January 1-March 31,
April 1-June 30, July 1-September 30, and October 1-December 31. The
data and information reported for each reporting period must contain all
data and information gathered during the reporting period, and be
received in the AQS within 90 days after the end of the quarterly
reporting period. For example, the data for the reporting period January
1-March 31 are due on or before June 30 of that year.
(c) Air quality data submitted for each reporting period must be
edited, validated, and entered into the AQS (within the time limits
specified in paragraphs (b) and (d) of this section) pursuant to
appropriate AQS procedures. The procedures for editing and validating
data are described in the AQS Data Coding Manual and in each monitoring
agency's quality assurance project plan.
(d) The state shall report VOC and if collected, carbonyl,
NH3, and HNO3 data from PAMS sites, and chemically
speciated PM2.5 mass concentration data to AQS within 6
months following the end of each quarterly reporting period listed in
paragraph (b) of this section.
(e) The State shall also submit any portion or all of the SLAMS and
SPM data to the appropriate Regional Administrator upon request.
(f) The state, or where applicable, local agency shall archive all
PM 2.5, PM 10, and PM 10-2.5 filters
from manual low-volume samplers (samplers having flow rates less than
200 liters/minute) from all SLAMS sites for a minimum period of 5 years
after collection. These filters shall be made available for supplemental
analyses, including destructive analyses if necessary, at the request of
EPA or to provide information to state and local agencies on particulate
matter composition. Other Federal agencies may request access to filters
for purposes of supporting air quality management or community health--
such as biological assay--through the applicable EPA Regional
Administrator. The filters shall be archived according to procedures
approved by the Administrator, which shall include cold storage of
filters after post-sampling laboratory analyses for at least 12 months
following field sampling. The EPA recommends that particulate matter
filters be archived for longer periods, especially for key sites in
making NAAQS-related decisions or for supporting health-related air
pollution studies.
(g) Any State or, where applicable, local agency operating a
continuous SO2 analyzer shall report the maximum 5-minute
SO2 block average of the twelve 5-minute block averages in
each hour, in addition to the hourly SO2 average.
[71 FR 61298, Oct. 17, 2006, as amended at 73 FR 67059, Nov. 12, 2008;
75 FR 6534, Feb. 9, 2010; 75 FR 35602, June 22, 2010; 78 FR 3283, Jan.
15, 2013; 81 FR 17280, Mar. 28, 2016]
Subpart C_Special Purpose Monitors
Source: 71 FR 61302, Oct. 17, 2006, unless otherwise noted.
[[Page 264]]
Sec. 58.20 Special purpose monitors (SPM).
(a) An SPM is defined as any monitor included in an agency's
monitoring network that the agency has designated as a special purpose
monitor in its annual monitoring network plan and in AQS, and which the
agency does not count when showing compliance with the minimum
requirements of this subpart for the number and siting of monitors of
various types. Any SPM operated by an air monitoring agency must be
included in the periodic assessments and annual monitoring network plan
required by Sec. 58.10. The plan shall include a statement of purposes
for each SPM monitor and evidence that operation of each monitor meets
the requirements of appendix A or an approved alternative as provided by
Sec. 58.11(a)(2) where applicable. The monitoring agency may designate a
monitor as an SPM after January 1, 2007 only if it is a new monitor,
i.e., a SLAMS monitor that is not included in the currently applicable
monitoring plan or, for a monitor included in the monitoring plan prior
to January 1, 2007, if the Regional Administrator has approved the
discontinuation of the monitor as a SLAMS site.
(b) Any SPM data collected by an air monitoring agency using a
Federal reference method (FRM), Federal equivalent method (FEM), or
approved regional method (ARM) must meet the requirements of Sec. 58.11,
Sec. 58.12, and appendix A to this part or an approved alternative to
appendix A to this part. Compliance with appendix E to this part is
optional but encouraged except when the monitoring agency's data
objectives are inconsistent with those requirements. Data collected at
an SPM using a FRM, FEM, or ARM meeting the requirements of appendix A
must be submitted to AQS according to the requirements of Sec. 58.16.
Data collected by other SPMs may be submitted. The monitoring agency
must also submit to AQS an indication of whether each SPM reporting data
to AQS monitor meets the requirements of appendices A and E to this
part.
(c) All data from an SPM using an FRM, FEM, or ARM which has
operated for more than 24 months are eligible for comparison to the
relevant NAAQS, subject to the conditions of Secs. 58.11(e) and 58.30,
unless the air monitoring agency demonstrates that the data came from a
particular period during which the requirements of appendix A, appendix
C, or appendix E to this part were not met, subject to review and EPA
Regional Office approval as part of t, App. he annual monitoring network
plan described in Sec. 58.10.
(d) If an SPM using an FRM, FEM, or ARM is discontinued within 24
months of start-up, the Administrator will not base a NAAQS violation
determination for the PM 2.5 or ozone NAAQS solely on data
from the SPM.
(e) If an SPM using an FRM, FEM, or ARM is discontinued within 24
months of start-up, the Administrator will not designate an area as
nonattainment for the CO, SO2, NO2, or 24-hour PM
10 NAAQS solely on the basis of data from the SPM. Such data
are eligible for use in determinations of whether a nonattainment area
has attained one of these NAAQS.
(f) Prior approval from EPA is not required for discontinuance of an
SPM.
[71 FR 61298, Oct. 17, 2006, as amended at 72 FR 32210, June 12, 2007;
73 FR 67060, Nov. 12, 2008; 78 FR 3283, Jan. 15, 2013]
Subpart D_Comparability of Ambient Data to the NAAQS
Source: 71 FR 61302, Oct. 17, 2006, unless otherwise noted.
Sec. 58.30 Special considerations for data comparisons to the NAAQS.
(a) Comparability of PM 2.5 data. The primary and secondary annual
and 24-hour PM 2.5 NAAQS are described in part 50 of this
chapter. Monitors that follow the network technical requirements
specified in Sec. 58.11 are eligible for comparison to the NAAQS subject
to the additional requirements of this section. PM 2.5
measurement data from all eligible monitors are comparable to the 24-
hour PM 2.5 NAAQS. PM 2.5 measurement data from
all eligible monitors that are representative of area-wide air quality
are comparable to the annual PM 2.5 NAAQS. Consistent with
appendix D to this part, section 4.7.1, when micro- or middle-scale PM
2.5 monitoring sites collectively identify a larger region of
localized high ambient
[[Page 265]]
PM 2.5 concentrations, such sites would be considered
representative of an area-wide location and, therefore, eligible for
comparison to the annual PM 2.5 NAAQS. PM 2.5
measurement data from monitors that are not representative of area-wide
air quality but rather of relatively unique micro-scale, or localized
hot spot, or unique middle-scale impact sites are not eligible for
comparison to the annual PM 2.5 NAAQS. PM 2.5
measurement data from these monitors are eligible for comparison to the
24-hour PM 2.5 NAAQS. For example, if a micro- or middle-
scale PM 2.5 monitoring site is adjacent to a unique
dominating local PM 2.5 source, then the PM 2.5
measurement data from such a site would only be eligible for comparison
to the 24-hour PM 2.5 NAAQS. Approval of sites that are
suitable and sites that are not suitable for comparison with the annual
PM 2.5 NAAQS is provided for as part of the annual monitoring
network plan described in Sec. 58.10.
(b) [Reserved]
[71 FR 61302, Oct. 17, 2006, as amended at 78 FR 3283, Jan. 15, 2013]
Subpart E [Reserved]
Subpart F_Air Quality Index Reporting
Sec. 58.50 Index reporting.
(a) The State or where applicable, local agency shall report to the
general public on a daily basis through prominent notice an air quality
index that complies with the requirements of appendix G to this part.
(b) Reporting is required for all individual MSA with a population
exceeding 350,000.
(c) The population of a metropolitan statistical area for purposes
of index reporting is the latest available U.S. census population.
[71 FR 61302, Oct. 17, 2006, as amended at 80 FR 65466, Oct. 26, 2015]
Subpart G_Federal Monitoring
Source: 44 FR 27571, May 10, 1979, unless otherwise noted.
Redesignated at 58 FR 8467, Feb. 12, 1993.
Sec. 58.60 Federal monitoring.
The Administrator may locate and operate an ambient air monitoring
site if the State or local agency fails to locate, or schedule to be
located, during the initial network design process, or as a result of
the 5-year network assessments required in Sec. 58.10, a SLAMS station
at a site which is necessary in the judgment of the Regional
Administrator to meet the objectives defined in appendix D to this part.
[71 FR 61303, Oct. 17, 2006]
Sec. 58.61 Monitoring other pollutants.
The Administrator may promulgate criteria similar to that referenced
in subpart B of this part for monitoring a pollutant for which an NAAQS
does not exist. Such an action would be taken whenever the Administrator
determines that a nationwide monitoring program is necessary to monitor
such a pollutant.
[71 FR 61303, Oct. 17, 2006]
Sec. Appendix A to Part 58--Quality Assurance Requirements for Monitors
used in Evaluations of National Ambient Air Quality Standards
1. General Information
2. Quality System Requirements
3. Measurement Quality Check Requirements
4. Calculations for Data Quality Assessments
5. Reporting Requirements
6. References
1. General Information
1.1 Applicability. (a) This appendix specifies the minimum quality
system requirements applicable to SLAMS and other monitor types whose
data are intended to be used to determine compliance with the NAAQS
(e.g., SPMs, tribal, CASTNET, NCore, industrial, etc.), unless the EPA
Regional Administrator has reviewed and approved the monitor for
exclusion from NAAQS use and these quality assurance requirements.
(b) Primary quality assurance organizations are encouraged to
develop and maintain quality systems more extensive than the required
minimums. Additional guidance for the requirements reflected in this
appendix can be found in the ``Quality Assurance Handbook for Air
Pollution Measurement Systems,'' Volume II (see reference 10 of this
appendix) and at a national level in references 1, 2, and 3 of this
appendix.
1.2 Primary Quality Assurance Organization (PQAO). A PQAO is defined
as a monitoring
[[Page 266]]
organization or a group of monitoring organizations or other
organization that is responsible for a set of stations that monitors the
same pollutant and for which data quality assessments will be pooled.
Each criteria pollutant sampler/monitor must be associated with only one
PQAO. In some cases, data quality is assessed at the PQAO level.
1.2.1 Each PQAO shall be defined such that measurement uncertainty
among all stations in the organization can be expected to be reasonably
homogeneous as a result of common factors. Common factors that should be
considered in defining PQAOs include:
(a) Operation by a common team of field operators according to a
common set of procedures;
(b) Use of a common quality assurance project plan (QAPP) or
standard operating procedures;
(c) Common calibration facilities and standards;
(d) Oversight by a common quality assurance organization; and
(e) Support by a common management organization (i.e., state agency)
or laboratory.
Since data quality assessments are made and data certified at the
PQAO level, the monitoring organization identified as the PQAO will be
responsible for the oversight of the quality of data of all monitoring
organizations within the PQAO.
1.2.2 Monitoring organizations having difficulty describing its
PQAO or in assigning specific monitors to primary quality assurance
organizations should consult with the appropriate EPA Regional Office.
Any consolidation of monitoring organizations to PQAOs shall be subject
to final approval by the appropriate EPA Regional Office.
1.2.3 Each PQAO is required to implement a quality system that
provides sufficient information to assess the quality of the monitoring
data. The quality system must, at a minimum, include the specific
requirements described in this appendix. Failure to conduct or pass a
required check or procedure, or a series of required checks or
procedures, does not by itself invalidate data for regulatory decision
making. Rather, PQAOs and the EPA shall use the checks and procedures
required in this appendix in combination with other data quality
information, reports, and similar documentation that demonstrate overall
compliance with Part 58. Accordingly, the EPA and PQAOs shall use a
``weight of evidence'' approach when determining the suitability of data
for regulatory decisions. The EPA reserves the authority to use or not
use monitoring data submitted by a monitoring organization when making
regulatory decisions based on the EPA's assessment of the quality of the
data. Consensus built validation templates or validation criteria
already approved in QAPPs should be used as the basis for the weight of
evidence approach.
1.3 Definitions.
(a) Measurement Uncertainty. A term used to describe deviations from
a true concentration or estimate that are related to the measurement
process and not to spatial or temporal population attributes of the air
being measured.
(b) Precision. A measurement of mutual agreement among individual
measurements of the same property usually under prescribed similar
conditions, expressed generally in terms of the standard deviation.
(c) Bias. The systematic or persistent distortion of a measurement
process which causes errors in one direction.
(d) Accuracy. The degree of agreement between an observed value and
an accepted reference value. Accuracy includes a combination of random
error (imprecision) and systematic error (bias) components which are due
to sampling and analytical operations.
(e) Completeness. A measure of the amount of valid data obtained
from a measurement system compared to the amount that was expected to be
obtained under correct, normal conditions.
(f) Detection Limit. The lowest concentration or amount of target
analyte that can be determined to be different from zero by a single
measurement at a stated level of probability.
1.4 Measurement Quality Checks. The measurement quality checks
described in section 3 of this appendix shall be reported to AQS and are
included in the data required for certification.
1.5 Assessments and Reports. Periodic assessments and documentation
of data quality are required to be reported to the EPA. To provide
national uniformity in this assessment and reporting of data quality for
all networks, specific assessment and reporting procedures are
prescribed in detail in sections 3, 4, and 5 of this appendix. On the
other hand, the selection and extent of the quality assurance and
quality control activities used by a monitoring organization depend on a
number of local factors such as field and laboratory conditions, the
objectives for monitoring, the level of data quality needed, the
expertise of assigned personnel, the cost of control procedures,
pollutant concentration levels, etc. Therefore, quality system
requirements in section 2 of this appendix are specified in general
terms to allow each monitoring organization to develop a quality system
that is most efficient and effective for its own circumstances while
achieving the data quality objectives described in this appendix.
2. Quality System Requirements
A quality system (reference 1 of this appendix) is the means by
which an organization manages the quality of the monitoring
[[Page 267]]
information it produces in a systematic, organized manner. It provides a
framework for planning, implementing, assessing and reporting work
performed by an organization and for carrying out required quality
assurance and quality control activities.
2.1 Quality Management Plans and Quality Assurance Project Plans.
All PQAOs must develop a quality system that is described and approved
in quality management plans (QMP) and QAPPs to ensure that the
monitoring results:
(a) Meet a well-defined need, use, or purpose (reference 5 of this
appendix);
(b) Provide data of adequate quality for the intended monitoring
objectives;
(c) Satisfy stakeholder expectations;
(d) Comply with applicable standards specifications;
(e) Comply with statutory (and other legal) requirements; and
(f) Reflect consideration of cost and economics.
2.1.1 The QMP describes the quality system in terms of the
organizational structure, functional responsibilities of management and
staff, lines of authority, and required interfaces for those planning,
implementing, assessing and reporting activities involving environmental
data operations (EDO). The QMP must be suitably documented in accordance
with EPA requirements (reference 2 of this appendix), and approved by
the appropriate Regional Administrator, or his or her representative.
The quality system described in the QMP will be reviewed during the
systems audits described in section 2.5 of this appendix. Organizations
that implement long-term monitoring programs with EPA funds should have
a separate QMP document. Smaller organizations, organizations that do
infrequent work with the EPA or have monitoring programs of limited size
or scope may combine the QMP with the QAPP if approved by, and subject
to any conditions of the EPA. Additional guidance on this process can be
found in reference 10 of this appendix. Approval of the recipient's QMP
by the appropriate Regional Administrator or his or her representative
may allow delegation of authority to the PQAOs independent quality
assurance function to review and approve environmental data collection
activities adequately described and covered under the scope of the QMP
and documented in appropriate planning documents (QAPP). Where a PQAO or
monitoring organization has been delegated authority to review and
approve their QAPP, an electronic copy must be submitted to the EPA
region at the time it is submitted to the PQAO/monitoring organization's
QAPP approving authority. The QAPP will be reviewed by the EPA during
systems audits or circumstances related to data quality. The QMP
submission and approval dates for PQAOs/monitoring organizations must be
reported to AQS either by the monitoring organization or the EPA Region.
2.1.2 The QAPP is a formal document describing, in sufficient
detail, the quality system that must be implemented to ensure that the
results of work performed will satisfy the stated objectives. PQAOs must
develop QAPPs that describe how the organization intends to control
measurement uncertainty to an appropriate level in order to achieve the
data quality objectives for the EDO. The quality assurance policy of the
EPA requires every EDO to have a written and approved QAPP prior to the
start of the EDO. It is the responsibility of the PQAO/monitoring
organization to adhere to this policy. The QAPP must be suitably
documented in accordance with EPA requirements (reference 3 of this
appendix) and include standard operating procedures for all EDOs either
within the document or by appropriate reference. The QAPP must identify
each PQAO operating monitors under the QAPP as well as generally
identify the sites and monitors to which it is applicable either within
the document or by appropriate reference. The QAPP submission and
approval dates must be reported to AQS either by the monitoring
organization or the EPA Region.
2.1.3 The PQAO/monitoring organization's quality system must have
adequate resources both in personnel and funding to plan, implement,
assess and report on the achievement of the requirements of this
appendix and it's approved QAPP.
2.2 Independence of Quality Assurance. The PQAO must provide for a
quality assurance management function, that aspect of the overall
management system of the organization that determines and implements the
quality policy defined in a PQAO's QMP. Quality management includes
strategic planning, allocation of resources and other systematic
planning activities (e.g., planning, implementation, assessing and
reporting) pertaining to the quality system. The quality assurance
management function must have sufficient technical expertise and
management authority to conduct independent oversight and assure the
implementation of the organization's quality system relative to the
ambient air quality monitoring program and should be organizationally
independent of environmental data generation activities.
2.3. Data Quality Performance Requirements.
2.3.1 Data Quality Objectives. The DQOs, or the results of other
systematic planning processes, are statements that define the
appropriate type of data to collect and specify the tolerable levels of
potential decision errors that will be used as a basis for establishing
the quality and quantity of data needed to support the monitoring
objectives (reference 5 of this appendix). The DQOs will be developed by
the EPA to support the primary regulatory objectives for each criteria
[[Page 268]]
pollutant. As they are developed, they will be added to the regulation.
The quality of the conclusions derived from data interpretation can be
affected by population uncertainty (spatial or temporal uncertainty) and
measurement uncertainty (uncertainty associated with collecting,
analyzing, reducing and reporting concentration data). This appendix
focuses on assessing and controlling measurement uncertainty.
2.3.1.1 Measurement Uncertainty for Automated and Manual
PM2.5 Methods. The goal for acceptable measurement
uncertainty is defined for precision as an upper 90 percent confidence
limit for the coefficient of variation (CV) of 10 percent and 10
percent for total bias.
2.3.1.2 Measurement Uncertainty for Automated O3
Methods. The goal for acceptable measurement uncertainty is defined for
precision as an upper 90 percent confidence limit for the CV of 7
percent and for bias as an upper 95 percent confidence limit for the
absolute bias of 7 percent.
2.3.1.3 Measurement Uncertainty for Pb Methods. The goal for
acceptable measurement uncertainty is defined for precision as an upper
90 percent confidence limit for the CV of 20 percent and for bias as an
upper 95 percent confidence limit for the absolute bias of 15 percent.
2.3.1.4 Measurement Uncertainty for NO2. The goal for
acceptable measurement uncertainty is defined for precision as an upper
90 percent confidence limit for the CV of 15 percent and for bias as an
upper 95 percent confidence limit for the absolute bias of 15 percent.
2.3.1.5 Measurement Uncertainty for SO2. The goal for
acceptable measurement uncertainty for precision is defined as an upper
90 percent confidence limit for the CV of 10 percent and for bias as an
upper 95 percent confidence limit for the absolute bias of 10 percent.
2.4 National Performance Evaluation Programs. The PQAO shall
provide for the implementation of a program of independent and adequate
audits of all monitors providing data for NAAQS compliance purposes
including the provision of adequate resources for such audit programs. A
monitoring plan (or QAPP) which provides for PQAO participation in the
EPA's National Performance Audit Program (NPAP), the PM2.5
Performance Evaluation Program (PM2.5-PEP) program and the Pb
Performance Evaluation Program (Pb-PEP) and indicates the consent of the
PQAO for the EPA to apply an appropriate portion of the grant funds,
which the EPA would otherwise award to the PQAO for these QA activities,
will be deemed by the EPA to meet this requirement. For clarification
and to participate, PQAOs should contact either the appropriate EPA
regional quality assurance (QA) coordinator at the appropriate EPA
Regional Office location, or the NPAP coordinator at the EPA Air Quality
Assessment Division, Office of Air Quality Planning and Standards, in
Research Triangle Park, North Carolina. The PQAOs that plan to implement
these programs (self-implement) rather than use the federal programs
must meet the adequacy requirements found in the appropriate sections
that follow, as well as meet the definition of independent assessment
that follows.
2.4.1 Independent assessment. An assessment performed by a
qualified individual, group, or organization that is not part of the
organization directly performing and accountable for the work being
assessed. This auditing organization must not be involved with the
generation of the ambient air monitoring data. An organization can
conduct the performance evaluation (PE) if it can meet this definition
and has a management structure that, at a minimum, will allow for the
separation of its routine sampling personnel from its auditing personnel
by two levels of management. In addition, the sample analysis of audit
filters must be performed by a laboratory facility and laboratory
equipment separate from the facilities used for routine sample analysis.
Field and laboratory personnel will be required to meet PE field and
laboratory training and certification requirements to establish
comparability to federally implemented programs.
2.5 Technical Systems Audit Program. Technical systems audits of
each PQAO shall be conducted at least every 3 years by the appropriate
EPA Regional Office and reported to the AQS. If a PQAO is made up of
more than one monitoring organization, all monitoring organizations in
the PQAO should be audited within 6 years (two TSA cycles of the PQAO).
As an example, if a state has five local monitoring organizations that
are consolidated under one PQAO, all five local monitoring organizations
should receive a technical systems audit within a 6-year period. Systems
audit programs are described in reference 10 of this appendix.
2.6 Gaseous and Flow Rate Audit Standards.
2.6.1 Gaseous pollutant concentration standards (permeation devices
or cylinders of compressed gas) used to obtain test concentrations for
CO, SO2, NO, and NO2 must be traceable to either a
National Institute of Standards and Technology (NIST) Traceable
Reference Material (NTRM) or a NIST-certified Gas Manufacturer's
Internal Standard (GMIS), certified in accordance with one of the
procedures given in reference 4 of this appendix. Vendors advertising
certification with the procedures provided in reference 4 of this
appendix and distributing gases as ``EPA Protocol Gas'' for ambient air
monitoring purposes must participate in the EPA
[[Page 269]]
Ambient Air Protocol Gas Verification Program or not use ``EPA'' in any
form of advertising. Monitoring organizations must provide information
to the EPA on the gas producers they use on an annual basis and those
PQAOs purchasing standards will be obligated, at the request of the EPA,
to participate in the program at least once every 5 years by sending a
new unused standard to a designated verification laboratory.
2.6.2 Test concentrations for O3 must be obtained in
accordance with the ultraviolet photometric calibration procedure
specified in appendix D to Part 50 of this chapter and by means of a
certified NIST-traceable O3 transfer standard. Consult
references 7 and 8 of this appendix for guidance on transfer standards
for O3.
2.6.3 Flow rate measurements must be made by a flow measuring
instrument that is NIST-traceable to an authoritative volume or other
applicable standard. Guidance for certifying some types of flowmeters is
provided in reference 10 of this appendix.
2.7 Primary Requirements and Guidance. Requirements and guidance
documents for developing the quality system are contained in references
1 through 11 of this appendix, which also contain many suggested
procedures, checks, and control specifications. Reference 10 describes
specific guidance for the development of a quality system for data
collected for comparison to the NAAQS. Many specific quality control
checks and specifications for methods are included in the respective
reference methods described in Part 50 of this chapter or in the
respective equivalent method descriptions available from the EPA
(reference 6 of this appendix). Similarly, quality control procedures
related to specifically designated reference and equivalent method
monitors are contained in the respective operation or instruction
manuals associated with those monitors.
3. Measurement Quality Check Requirements
This section provides the requirements for PQAOs to perform the
measurement quality checks that can be used to assess data quality. Data
from these checks are required to be submitted to the AQS within the
same time frame as routinely-collected ambient concentration data as
described in 40 CFR 58.16. Table A-1 of this appendix provides a summary
of the types and frequency of the measurement quality checks that will
be described in this section.
3.1. Gaseous Monitors of SO2, NO2,
O3, and CO.
3.1.1 One-Point Quality Control (QC) Check for SO2,
NO2, O3, and CO. (a) A one-point QC check must be
performed at least once every 2 weeks on each automated monitor used to
measure SO2, NO2, O3 and CO. With the
advent of automated calibration systems, more frequent checking is
strongly encouraged. See Reference 10 of this appendix for guidance on
the review procedure. The QC check is made by challenging the monitor
with a QC check gas of known concentration (effective concentration for
open path monitors) between the prescribed range of 0.005 and 0.08 parts
per million (ppm) for SO2, NO2, and O3,
and between the prescribed range of 0.5 and 5 ppm for CO monitors. The
QC check gas concentration selected within the prescribed range should
be related to the monitoring objectives for the monitor. If monitoring
at an NCore site or for trace level monitoring, the QC check
concentration should be selected to represent the mean or median
concentrations at the site. If the mean or median concentrations at
trace gas sites are below the MDL of the instrument the agency can
select the lowest concentration in the prescribed range that can be
practically achieved. If the mean or median concentrations at trace gas
sites are above the prescribed range the agency can select the highest
concentration in the prescribed range. An additional QC check point is
encouraged for those organizations that may have occasional high values
or would like to confirm the monitors' linearity at the higher end of
the operational range or around NAAQS concentrations. If monitoring for
NAAQS decisions, the QC concentration can be selected at a higher
concentration within the prescribed range but should also consider
precision points around mean or median monitor concentrations.
(b) Point analyzers must operate in their normal sampling mode
during the QC check and the test atmosphere must pass through all
filters, scrubbers, conditioners and other components used during normal
ambient sampling and as much of the ambient air inlet system as is
practicable. The QC check must be conducted before any calibration or
adjustment to the monitor.
(c) Open path monitors are tested by inserting a test cell
containing a QC check gas concentration into the optical measurement
beam of the instrument. If possible, the normally used transmitter,
receiver, and as appropriate, reflecting devices should be used during
the test, and the normal monitoring configuration of the instrument
should be altered as little as possible to accommodate the test cell for
the test. However, if permitted by the associated operation or
instruction manual, an alternate local light source or an alternate
optical path that does not include the normal atmospheric monitoring
path may be used. The actual concentration of the QC check gas in the
test cell must be selected to produce an effective concentration in the
range specified earlier in this section. Generally, the QC test
concentration measurement will be the sum of the atmospheric pollutant
concentration and
[[Page 270]]
the QC test concentration. As such, the result must be corrected to
remove the atmospheric concentration contribution. The corrected
concentration is obtained by subtracting the average of the atmospheric
concentrations measured by the open path instrument under test
immediately before and immediately after the QC test from the QC check
gas concentration measurement. If the difference between these before
and after measurements is greater than 20 percent of the effective
concentration of the test gas, discard the test result and repeat the
test. If possible, open path monitors should be tested during periods
when the atmospheric pollutant concentrations are relatively low and
steady.
(d) Report the audit concentration of the QC gas and the
corresponding measured concentration indicated by the monitor to AQS.
The percent differences between these concentrations are used to assess
the precision and bias of the monitoring data as described in sections
4.1.2 (precision) and 4.1.3 (bias) of this appendix.
3.1.2 Annual performance evaluation for SO2, NO2, O3, or CO. A
performance evaluation must be conducted on each primary monitor once a
year. This can be accomplished by evaluating 25 percent of the primary
monitors each quarter. The evaluation should be conducted by a trained
experienced technician other than the routine site operator.
3.1.2.1 The evaluation is made by challenging the monitor with
audit gas standards of known concentration from at least three audit
levels. One point must be within two to three times the method detection
limit of the instruments within the PQAOs network, the second point will
be less than or equal to the 99th percentile of the data at the site or
the network of sites in the PQAO or the next highest audit concentration
level. The third point can be around the primary NAAQS or the highest 3-
year concentration at the site or the network of sites in the PQAO. An
additional 4th level is encouraged for those agencies that would like to
confirm the monitors' linearity at the higher end of the operational
range. In rare circumstances, there may be sites measuring
concentrations above audit level 10. Notify the appropriate EPA region
and the AQS program in order to make accommodations for auditing at
levels above level 10.
----------------------------------------------------------------------------------------------------------------
Concentration Range, ppm
Audit level ---------------------------------------------------------------
O3 SO2 NO2 CO
----------------------------------------------------------------------------------------------------------------
1............................................... 0.004-0.0059 0.0003-0.0029 0.0003-0.0029 0.020-0.059
2............................................... 0.006-0.019 0.0030-0.0049 0.0030-0.0049 0.060-0.199
3............................................... 0.020-0.039 0.0050-0.0079 0.0050-0.0079 0.200-0.899
4............................................... 0.040-0.069 0.0080-0.0199 0.0080-0.0199 0.900-2.999
5............................................... 0.070-0.089 0.0200-0.0499 0.0200-0.0499 3.000-7.999
6............................................... 0.090-0.119 0.0500-0.0999 0.0500-0.0999 8.000-15.999
7............................................... 0.120-0.139 0.1000-0.1499 0.1000-0.2999 16.000-30.999
8............................................... 0.140-0.169 0.1500-0.2599 0.3000-0.4999 31.000-39.999
9............................................... 0.170-0.189 0.2600-0.7999 0.5000-0.7999 40.000-49.999
10.............................................. 0.190-0.259 0.8000-1.000 0.8000-1.000 50.000-60.000
----------------------------------------------------------------------------------------------------------------
3.1.2.2 The NO2 audit techniques may vary depending on
the ambient monitoring method. For chemiluminescence-type NO2
analyzers, gas phase titration (GPT) techniques should be based on EPA
guidance documents and monitoring agency experience. The NO2
gas standards may be more appropriate than GPT for direct NO2
methods that do not employ converters. Care should be taken to ensure
the stability of such gas standards prior to use.
3.1.2.3 The standards from which audit gas test concentrations are
obtained must meet the specifications of section 2.6.1 of this appendix.
The gas standards and equipment used for the performance evaluation must
not be the same as the standards and equipment used for one-point QC,
calibrations, span evaluations or NPAP.
3.1.2.4 For point analyzers, the evaluation shall be carried out by
allowing the monitor to analyze the audit gas test atmosphere in its
normal sampling mode such that the test atmosphere passes through all
filters, scrubbers, conditioners, and other sample inlet components used
during normal ambient sampling and as much of the ambient air inlet
system as is practicable.
3.1.2.5 Open-path monitors are evaluated by inserting a test cell
containing the various audit gas concentrations into the optical
measurement beam of the instrument. If possible, the normally used
transmitter, receiver, and, as appropriate, reflecting devices should be
used during the evaluation, and the normal monitoring configuration of
the instrument should be modified as little as possible to accommodate
the test cell for the evaluation. However, if permitted by the
associated operation or instruction manual, an alternate local light
source or an alternate optical path that does not include the normal
atmospheric monitoring path may be used. The actual concentrations of
the audit gas in the test cell must be selected to
[[Page 271]]
produce effective concentrations in the evaluation level ranges
specified in this section of this appendix. Generally, each evaluation
concentration measurement result will be the sum of the atmospheric
pollutant concentration and the evaluation test concentration. As such,
the result must be corrected to remove the atmospheric concentration
contribution. The corrected concentration is obtained by subtracting the
average of the atmospheric concentrations measured by the open path
instrument under test immediately before and immediately after the
evaluation test (or preferably before and after each evaluation
concentration level) from the evaluation concentration measurement. If
the difference between the before and after measurements is greater than
20 percent of the effective concentration of the test gas standard,
discard the test result for that concentration level and repeat the test
for that level. If possible, open path monitors should be evaluated
during periods when the atmospheric pollutant concentrations are
relatively low and steady. Also, if the open-path instrument is not
installed in a permanent manner, the monitoring path length must be
reverified to be within 3 percent to validate the evaluation since the
monitoring path length is critical to the determination of the effective
concentration.
3.1.2.6 Report both the evaluation concentrations (effective
concentrations for open-path monitors) of the audit gases and the
corresponding measured concentration (corrected concentrations, if
applicable, for open path monitors) indicated or produced by the monitor
being tested to AQS. The percent differences between these
concentrations are used to assess the quality of the monitoring data as
described in section 4.1.1 of this appendix.
3.1.3 National Performance Audit Program (NPAP).
The NPAP is a performance evaluation which is a type of audit where
quantitative data are collected independently in order to evaluate the
proficiency of an analyst, monitoring instrument or laboratory. Due to
the implementation approach used in the program, NPAP provides a
national independent assessment of performance while maintaining a
consistent level of data quality. Details of the program can be found in
reference 11 of this appendix. The program requirements include:
3.1.3.1 Performing audits of the primary monitors at 20 percent of
monitoring sites per year, and 100 percent of the sites every 6 years.
High-priority sites may be audited more frequently. Since not all
gaseous criteria pollutants are monitored at every site within a PQAO,
it is not required that 20 percent of the primary monitors for each
pollutant receive an NPAP audit each year only that 20 percent of the
PQAOs monitoring sites receive an NPAP audit. It is expected that over
the 6-year period all primary monitors for all gaseous pollutants will
receive an NPAP audit.
3.1.3.2 Developing a delivery system that will allow for the audit
concentration gasses to be introduced to the probe inlet where
logistically feasible.
3.1.3.3 Using audit gases that are verified against the NIST
standard reference methods or special review procedures and validated
annually for CO, SO2 and NO2, and at the beginning
of each quarter of audits for O3.
3.1.3.4 As described in section 2.4 of this appendix, the PQAO may
elect, on an annual basis, to utilize the federally implemented NPAP
program. If the PQAO plans to self-implement NPAP, the EPA will
establish training and other technical requirements for PQAOs to
establish comparability to federally implemented programs. In addition
to meeting the requirements in sections 3.1.3.1 through 3.1.3.3 of this
appendix, the PQAO must:
(a) Utilize an audit system equivalent to the federally implemented
NPAP audit system and is separate from equipment used in annual
performance evaluations.
(b) Perform a whole system check by having the NPAP system tested
against an independent and qualified EPA lab, or equivalent.
(c) Evaluate the system with the EPA NPAP program through collocated
auditing at an acceptable number of sites each year (at least one for an
agency network of five or less sites; at least two for a network with
more than five sites).
(d) Incorporate the NPAP in the PQAO's quality assurance project
plan.
(e) Be subject to review by independent, EPA-trained personnel.
(f) Participate in initial and update training/certification
sessions.
3.1.3.5 OAQPS, in consultation with the relevant EPA Regional
Office, may approve the PQAO's plan to self-implement NPAP if the OAQPS
determines that the PQAO's self-implementation plan is equivalent to the
federal programs and adequate to meet the objectives of national
consistency and data quality.
3.2 PM2.5.
3.2.1 Flow Rate Verification for PM2.5. A one-point flow rate
verification check must be performed at least once every month (each
verification minimally separated by 14 days) on each monitor used to
measure PM2.5. The verification is made by checking the
operational flow rate of the monitor. If the verification is made in
conjunction with a flow rate adjustment, it must be made prior to such
flow rate adjustment. For the standard procedure, use a flow rate
transfer standard certified in accordance with section 2.6 of this
appendix to check the monitor's
[[Page 272]]
normal flow rate. Care should be used in selecting and using the flow
rate measurement device such that it does not alter the normal operating
flow rate of the monitor. Report the flow rate of the transfer standard
and the corresponding flow rate measured by the monitor to AQS. The
percent differences between the audit and measured flow rates are used
to assess the bias of the monitoring data as described in section 4.2.2
of this appendix (using flow rates in lieu of concentrations).
3.2.2 Semi-Annual Flow Rate Audit for PM2.5. Audit the flow rate of
the particulate monitor twice a year. The two audits should ideally be
spaced between 5 and 7 months apart. The EPA strongly encourages more
frequent auditing. The audit should (preferably) be conducted by a
trained experienced technician other than the routine site operator. The
audit is made by measuring the monitor's normal operating flow rate(s)
using a flow rate transfer standard certified in accordance with section
2.6 of this appendix. The flow rate standard used for auditing must not
be the same flow rate standard used for verifications or to calibrate
the monitor. However, both the calibration standard and the audit
standard may be referenced to the same primary flow rate or volume
standard. Care must be taken in auditing the flow rate to be certain
that the flow measurement device does not alter the normal operating
flow rate of the monitor. Report the audit flow rate of the transfer
standard and the corresponding flow rate measured by the monitor to AQS.
The percent differences between these flow rates are used to evaluate
monitor performance.
3.2.3 Collocated Quality Control Sampling Procedures for PM2.5. For
each pair of collocated monitors, designate one sampler as the primary
monitor whose concentrations will be used to report air quality for the
site, and designate the other as the quality control monitor. There can
be only one primary monitor at a monitoring site for a given time
period.
3.2.3.1 For each distinct monitoring method designation (FRM or
FEM) that a PQAO is using for a primary monitor, the PQAO must have 15
percent of the primary monitors of each method designation collocated
(values of 0.5 and greater round up); and have at least one collocated
quality control monitor (if the total number of monitors is less than
three). The first collocated monitor must be a designated FRM monitor.
3.2.3.2 In addition, monitors selected for collocation must also
meet the following requirements:
(a) A primary monitor designated as an EPA FRM shall be collocated
with a quality control monitor having the same EPA FRM method
designation.
(b) For each primary monitor designated as an EPA FEM used by the
PQAO, 50 percent of the monitors designated for collocation, or the
first if only one collocation is necessary, shall be collocated with a
FRM quality control monitor and 50 percent of the monitors shall be
collocated with a monitor having the same method designation as the FEM
primary monitor. If an odd number of collocated monitors is required,
the additional monitor shall be a FRM quality control monitor. An
example of the distribution of collocated monitors for each unique FEM
is provided below. Table A-2 of this appendix demonstrates the
collocation procedure with a PQAO having one type of primary FRM and
multiple primary FEMs.
------------------------------------------------------------------------
#Collocated
#Primary FEMS of a unique method #Collocated with same
designation #Collocated with an FRM method
designation
------------------------------------------------------------------------
1-9.............................. 1 1 0
10-16............................ 2 1 1
17-23............................ 3 2 1
24-29............................ 4 2 2
30-36............................ 5 3 2
37-43............................ 6 3 3
------------------------------------------------------------------------
3.2.3.3 Since the collocation requirements are used to assess
precision of the primary monitors and there can only be one primary
monitor at a monitoring site, a site can only count for the collocation
of the method designation of the primary monitor at that site.
3.2.3.4 The collocated monitors should be deployed according to the
following protocol:
(a) Fifty percent of the collocated quality control monitors should
be deployed at sites with annual average or daily concentrations
estimated to be within plus or minus 20 percent of either the annual or
24-hour NAAQS and the remainder at the PQAOs discretion;
(b) If an organization has no sites with annual average or daily
concentrations within 20 percent of the annual NAAQS or 24-hour NAAQS,
50 percent of the collocated quality control monitors should be deployed
at those sites with the annual mean concentrations or 24-hour
concentrations among the highest for all sites in the network and the
remainder at the PQAOs discretion.
(c) The two collocated monitors must be within 4 meters (inlet to
inlet) of each other and at least 2 meters apart for flow rates greater
than 200 liters/min or at least 1 meter apart for samplers having flow
rates less than 200 liters/min to preclude airflow interference. A
waiver allowing up to 10 meters horizontal distance and up to 3 meters
vertical distance (inlet to inlet) between a primary and collocated
sampler may be approved by the Regional Administrator for sites at a
neighborhood or larger scale of representation during the annual network
plan approval process. Sampling and analytical methodologies must be the
consistently implemented for both primary and collocated quality control
samplers and for all other samplers in the network.
[[Page 273]]
(d) Sample the collocated quality control monitor on a 1-in-12 day
schedule. Report the measurements from both primary and collocated
quality control monitors at each collocated sampling site to AQS. The
calculations for evaluating precision between the two collocated
monitors are described in section 4.2.1 of this appendix.
3.2.4 PM2.5 Performance Evaluation Program (PEP) Procedures. The
PEP is an independent assessment used to estimate total measurement
system bias. These evaluations will be performed under the NPEP as
described in section 2.4 of this appendix or a comparable program.
Performance evaluations will be performed annually within each PQAO. For
PQAOs with less than or equal to five monitoring sites, five valid
performance evaluation audits must be collected and reported each year.
For PQAOs with greater than five monitoring sites, eight valid
performance evaluation audits must be collected and reported each year.
A valid performance evaluation audit means that both the primary monitor
and PEP audit concentrations are valid and above 3 mg/m\3\. Siting of
the PEP monitor must be consistent with section 3.2.3.4(c). However, any
horizontal distance greater than 4 meters and any vertical distance
greater than one meter must be reported to the EPA regional PEP
coordinator. Additionally for every monitor designated as a primary
monitor, a primary quality assurance organization must:
3.2.4.1 Have each method designation evaluated each year; and,
3.2.4.2 Have all FRM, FEM or ARM samplers subject to a PEP audit at
least once every 6 years, which equates to approximately 15 percent of
the monitoring sites audited each year.
3.2.4.3. Additional information concerning the PEP is contained in
reference 10 of this appendix. The calculations for evaluating bias
between the primary monitor and the performance evaluation monitor for
PM2.5 are described in section 4.2.5 of this appendix.
3.3PM10.
3.3.1 Flow Rate Verification for PM10 Low Volume Samplers (less
than 200 liter/minute). A one-point flow rate verification check must be
performed at least once every month (each verification minimally
separated by 14 days) on each monitor used to measure PM10.
The verification is made by checking the operational flow rate of the
monitor. If the verification is made in conjunction with a flow rate
adjustment, it must be made prior to such flow rate adjustment. For the
standard procedure, use a flow rate transfer standard certified in
accordance with section 2.6 of this appendix to check the monitor's
normal flow rate. Care should be taken in selecting and using the flow
rate measurement device such that it does not alter the normal operating
flow rate of the monitor. The percent differences between the audit and
measured flow rates are reported to AQS and used to assess the bias of
the monitoring data as described in section 4.2.2 of this appendix
(using flow rates in lieu of concentrations).
3.3.2 Flow Rate Verification for PM10 High Volume Samplers (greater
than 200 liters/minute). For PM10 high volume samplers, the
verification frequency is one verification every 90 days (quarter) with
4 in a year. Other than verification frequency, follow the same
technical procedure as described in section 3.3.1 of this appendix.
3.3.3 Semi-Annual Flow Rate Audit for PM10. Audit the flow rate of
the particulate monitor twice a year. The two audits should ideally be
spaced between 5 and 7 months apart. The EPA strongly encourages more
frequent auditing. The audit should (preferably) be conducted by a
trained experienced technician other than the routine site operator. The
audit is made by measuring the monitor's normal operating flow rate
using a flow rate transfer standard certified in accordance with section
2.6 of this appendix. The flow rate standard used for auditing must not
be the same flow rate standard used for verifications or to calibrate
the monitor. However, both the calibration standard and the audit
standard may be referenced to the same primary flow rate or volume
standard. Care must be taken in auditing the flow rate to be certain
that the flow measurement device does not alter the normal operating
flow rate of the monitor. Report the audit flow rate of the transfer
standard and the corresponding flow rate measured by the monitor to AQS.
The percent differences between these flow rates are used to evaluate
monitor performance.
3.3.4 Collocated Quality Control Sampling Procedures for Manual
PM10. Collocated sampling for PM10 is only required for
manual samplers. For each pair of collocated monitors, designate one
sampler as the primary monitor whose concentrations will be used to
report air quality for the site and designate the other as the quality
control monitor.
3.3.4.1 For manual PM10 samplers, a PQAO must:
(a) Have 15 percent of the primary monitors collocated (values of
0.5 and greater round up); and
(b) Have at least one collocated quality control monitor (if the
total number of monitors is less than three).
3.3.4.2 The collocated quality control monitors should be deployed
according to the following protocol:
(a) Fifty percent of the collocated quality control monitors should
be deployed at sites with daily concentrations estimated to be within
plus or minus 20 percent of the applicable NAAQS and the remainder at
the PQAOs discretion;
[[Page 274]]
(b) If an organization has no sites with daily concentrations within
plus or minus 20 percent of the NAAQS, 50 percent of the collocated
quality control monitors should be deployed at those sites with the
daily mean concentrations among the highest for all sites in the network
and the remainder at the PQAOs discretion.
(c) The two collocated monitors must be within 4 meters (inlet to
inlet) of each other and at least 2 meters apart for flow rates greater
than 200 liters/min or at least 1 meter apart for samplers having flow
rates less than 200 liters/min to preclude airflow interference. A
waiver allowing up to 10 meters horizontal distance and up to 3 meters
vertical distance (inlet to inlet) between a primary and collocated
sampler may be approved by the Regional Administrator for sites at a
neighborhood or larger scale of representation. This waiver may be
approved during the annual network plan approval process. Sampling and
analytical methodologies must be the consistently implemented for both
collocated samplers and for all other samplers in the network.
(d) Sample the collocated quality control monitor on a 1-in-12 day
schedule. Report the measurements from both primary and collocated
quality control monitors at each collocated sampling site to AQS. The
calculations for evaluating precision between the two collocated
monitors are described in section 4.2.1 of this appendix.
(e) In determining the number of collocated quality control sites
required for PM10, monitoring networks for lead (Pb-
PM10) should be treated independently from networks for
particulate matter (PM), even though the separate networks may share one
or more common samplers. However, a single quality control monitor that
meets the collocation requirements for Pb-PM10 and
PM10 may serve as a collocated quality control monitor for
both networks. Extreme care must be taken when using the filter from a
quality control monitor for both PM10 and Pb analysis. A
PM10 filter weighing should occur prior to any Pb analysis.
3.4 Pb.
3.4.1 Flow Rate Verification for Pb-PM10 Low Volume Samplers (less
than 200 liter/minute). A one-point flow rate verification check must be
performed at least once every month (each verification minimally
separated by 14 days) on each monitor used to measure Pb. The
verification is made by checking the operational flow rate of the
monitor. If the verification is made in conjunction with a flow rate
adjustment, it must be made prior to such flow rate adjustment. For the
standard procedure, use a flow rate transfer standard certified in
accordance with section 2.6 of this appendix to check the monitor's
normal flow rate. Care should be taken in selecting and using the flow
rate measurement device such that it does not alter the normal operating
flow rate of the monitor. The percent differences between the audit and
measured flow rates are reported to AQS and used to assess the bias of
the monitoring data as described in section 4.2.2 of this appendix
(using flow rates in lieu of concentrations).
3.4.2 Flow Rate Verification for Pb High Volume Samplers (greater
than 200 liters/minute). For high volume samplers, the verification
frequency is one verification every 90 days (quarter) with four in a
year. Other than verification frequency, follow the same technical
procedure as described in section 3.4.1 of this appendix.
3.4.3 Semi-Annual Flow Rate Audit for Pb. Audit the flow rate of
the particulate monitor twice a year. The two audits should ideally be
spaced between 5 and 7 months apart. The EPA strongly encourages more
frequent auditing. The audit should (preferably) be conducted by a
trained experienced technician other than the routine site operator. The
audit is made by measuring the monitor's normal operating flow rate
using a flow rate transfer standard certified in accordance with section
2.6 of this appendix. The flow rate standard used for auditing must not
be the same flow rate standard used for verifications or to calibrate
the monitor. However, both the calibration standard and the audit
standard may be referenced to the same primary flow rate or volume
standard. Care must be taken in auditing the flow rate to be certain
that the flow measurement device does not alter the normal operating
flow rate of the monitor. Report the audit flow rate of the transfer
standard and the corresponding flow rate measured by the monitor to AQS.
The percent differences between these flow rates are used to evaluate
monitor performance.
3.4.4 Collocated Quality Control Sampling for TSP Pb for monitoring
sites other than non-source oriented NCore. For each pair of collocated
monitors for manual TSP Pb samplers, designate one sampler as the
primary monitor whose concentrations will be used to report air quality
for the site, and designate the other as the quality control monitor.
3.4.4.1 A PQAO must:
(a) Have 15 percent of the primary monitors (not counting non-source
oriented NCore sites in PQAO) collocated. Values of 0.5 and greater
round up; and
(b) Have at least one collocated quality control monitor (if the
total number of monitors is less than three).
3.4.4.2 The collocated quality control monitors should be deployed
according to the following protocol:
(a) The first collocated Pb site selected must be the site measuring
the highest Pb concentrations in the network. If the site is
impractical, alternative sites, approved by
[[Page 275]]
the EPA Regional Administrator, may be selected. If additional
collocated sites are necessary, collocated sites may be chosen that
reflect average ambient air Pb concentrations in the network.
(b) The two collocated monitors must be within 4 meters (inlet to
inlet) of each other and at least 2 meters apart for flow rates greater
than 200 liters/min or at least 1 meter apart for samplers having flow
rates less than 200 liters/min to preclude airflow interference.
(c) Sample the collocated quality control monitor on a 1-in-12 day
schedule. Report the measurements from both primary and collocated
quality control monitors at each collocated sampling site to AQS. The
calculations for evaluating precision between the two collocated
monitors are described in section 4.2.1 of this appendix.
3.4.5 Collocated Quality Control Sampling for Pb-PM10 at
monitoring sites other than non-source oriented NCore. If a PQAO is
monitoring for Pb-PM10 at sites other than at a non-source
oriented NCore site then the PQAO must:
3.4.5.1 Have 15 percent of the primary monitors (not counting non-
source oriented NCore sites in PQAO) collocated. Values of 0.5 and
greater round up; and
3.4.5.2 Have at least one collocated quality control monitor (if
the total number of monitors is less than three).
3.4.5.3 The collocated monitors should be deployed according to the
following protocol:
(a) Fifty percent of the collocated quality control monitors should
be deployed at sites with the highest 3-month average concentrations and
the remainder at the PQAOs discretion.
(b) The two collocated monitors must be within 4 meters (inlet to
inlet) of each other and at least 2 meters apart for flow rates greater
than 200 liters/min or at least 1 meter apart for samplers having flow
rates less than 200 liters/min to preclude airflow interference. A
waiver allowing up to 10 meters horizontal distance and up to 3 meters
vertical distance (inlet to inlet) between a primary and collocated
sampler may be approved by the Regional Administrator for sites at a
neighborhood or larger scale of representation. This waiver may be
approved during the annual network plan approval process. Sampling and
analytical methodologies must be the consistently implemented for both
collocated samplers and for all other samplers in the network.
(c) Sample the collocated quality control monitor on a 1-in-12 day
schedule. Report the measurements from both primary and collocated
quality control monitors at each collocated sampling site to AQS. The
calculations for evaluating precision between the two collocated
monitors are described in section 4.2.1 of this appendix.
(d) In determining the number of collocated quality control sites
required for Pb-PM10, monitoring networks for PM10
should be treated independently from networks for Pb-PM10,
even though the separate networks may share one or more common samplers.
However, a single quality control monitor that meets the collocation
requirements for Pb-PM10 and PM10 may serve as a
collocated quality control monitor for both networks. Extreme care must
be taken when using a using the filter from a quality control monitor
for both PM10 and Pb analysis. A PM10 filter
weighing should occur prior to any Pb analysis.
3.4.6 Pb Analysis Audits. Each calendar quarter, audit the Pb
reference or equivalent method analytical procedure using filters
containing a known quantity of Pb. These audit filters are prepared by
depositing a Pb standard on unexposed filters and allowing them to dry
thoroughly. The audit samples must be prepared using batches of reagents
different from those used to calibrate the Pb analytical equipment being
audited. Prepare audit samples in the following concentration ranges:
------------------------------------------------------------------------
Equivalent ambient Pb concentration,
Range mg/m \3\
------------------------------------------------------------------------
1............................... 30-100% of Pb NAAQS.
2............................... 200-300% of Pb NAAQS.
------------------------------------------------------------------------
(a) Extract the audit samples using the same extraction procedure
used for exposed filters.
(b) Analyze three audit samples in each of the two ranges each
quarter samples are analyzed. The audit sample analyses shall be
distributed as much as possible over the entire calendar quarter.
(c) Report the audit concentrations (in mg Pb/filter or strip) and
the corresponding measured concentrations (in mg Pb/filter or strip) to
AQS using AQS unit code 077. The percent differences between the
concentrations are used to calculate analytical accuracy as described in
section 4.2.6 of this appendix.
3.4.7 Pb PEP Procedures for monitoring sites other than non-source
oriented NCore. The PEP is an independent assessment used to estimate
total measurement system bias. These evaluations will be performed under
the NPEP described in section 2.4 of this appendix or a comparable
program. Each year, one performance evaluation audit must be performed
at one Pb site in each primary quality assurance organization that has
less than or equal to five sites and two audits at PQAOs with greater
than five sites. Non-source oriented NCore sites are not counted. Siting
of the PEP monitor must be consistent with section 3.4.5.3(b). However,
any horizontal distance greater than 4 meters and any vertical distance
greater than 1 meter must be reported to the EPA regional
[[Page 276]]
PEP coordinator. In addition, each year, four collocated samples from
PQAOs with less than or equal to five sites and six collocated samples
at PQAOs with greater than five sites must be sent to an independent
laboratory, the same laboratory as the performance evaluation audit, for
analysis. The calculations for evaluating bias between the primary
monitor and the performance evaluation monitor for Pb are described in
section 4.2.4 of this appendix.
4. Calculations for Data Quality Assessments
(a) Calculations of measurement uncertainty are carried out by the
EPA according to the following procedures. The PQAOs must report the
data to AQS for all measurement quality checks as specified in this
appendix even though they may elect to perform some or all of the
calculations in this section on their own.
(b) The EPA will provide annual assessments of data quality
aggregated by site and PQAO for SO2, NO2,
O3 and CO and by PQAO for PM10, PM2.5,
and Pb.
(c) At low concentrations, agreement between the measurements of
collocated quality control samplers, expressed as relative percent
difference or percent difference, may be relatively poor. For this
reason, collocated measurement pairs are selected for use in the
precision and bias calculations only when both measurements are equal to
or above the following limits:
(1) Pb: 0.002 mg/m\3\ (Methods approved after 3/04/2010, with
exception of manual equivalent method EQLA-0813-803).
(2) Pb: 0.02 mg/m\3\ (Methods approved before 3/04/2010, and manual
equivalent method EQLA-0813-803).
(3) PM10 (Hi-Vol): 15 mg/m\3\.
(4) PM10 (Lo-Vol): 3 mg/m\3\.
(5) PM2.5: 3 mg/m\3\.
4.1 Statistics for the Assessment of QC Checks for SO2,
NO2, O3 and CO.
4.1.1 Percent Difference. Many of the measurement quality checks
start with a comparison of an audit concentration or value (flow rate)
to the concentration/value measured by the monitor and use percent
difference as the comparison statistic as described in equation 1 of
this section. For each single point check, calculate the percent
difference, di, as follows:
[GRAPHIC] [TIFF OMITTED] TR28MR16.000
where meas is the concentration indicated by the PQAO's instrument and
audit is the audit concentration of the standard used in the QC check
being measured.
4.1.2 Precision Estimate. The precision estimate is used to assess
the one-point QC checks for SO2, NO2,
O3, or CO described in section 3.1.1 of this appendix. The
precision estimator is the coefficient of variation upper bound and is
calculated using equation 2 of this section:
[GRAPHIC] [TIFF OMITTED] TR28MR16.001
where n is the number of single point checks being aggregated; X\2\
0.1,n-1 is the 10th percentile of a chi-squared distribution
with n-1 degrees of freedom.
4.1.3 Bias Estimate. The bias estimate is calculated using the one-
point QC checks for SO2, NO2, O3, or CO
described in section 3.1.1 of this appendix. The bias estimator is an
upper bound on the mean absolute value of the percent differences as
described in equation 3 of this section:
[[Page 277]]
[GRAPHIC] [TIFF OMITTED] TR28MR16.002
where n is the number of single point checks being aggregated;
t0.95,n-1 is the 95th quantile of a t-distribution with n-1
degrees of freedom; the quantity AB is the mean of the absolute values
of the d i , s and is calculated using equation 4 of this
section:
[GRAPHIC] [TIFF OMITTED] TR28MR16.003
and the quantity AS is the standard deviation of the absolute value of
the di , s and is calculated using equation 5 of this
section:
[GRAPHIC] [TIFF OMITTED] TR28MR16.004
4.1.3.1 Assigning a sign (positive/negative) to the bias estimate.
Since the bias statistic as calculated in equation 3 of this appendix
uses absolute values, it does not have a tendency (negative or positive
bias) associated with it. A sign will be designated by rank ordering the
percent differences of the QC check samples from a given site for a
particular assessment interval.
4.1.3.2 Calculate the 25th and 75th percentiles of the percent
differences for each site. The absolute bias upper bound should be
flagged as positive if both percentiles are positive and negative if
both percentiles are negative. The absolute bias upper bound would not
be flagged if the 25th and 75th percentiles are of different signs.
4.2 Statistics for the Assessment of PM10,
PM2.5, and Pb.
4.2.1 Collocated Quality Control Sampler Precision Estimate for PM10,
PM2.5 and Pb. Precision is estimated via duplicate measurements from
collocated samplers. It is recommended that the precision be aggregated
at the PQAO level quarterly, annually, and at the 3-year level. The data
pair would only be considered valid if both concentrations are greater
than or equal to the minimum values specified in section 4(c) of this
appendix. For each collocated data pair, calculate the relative percent
difference, di, using equation 6 of this appendix:
[GRAPHIC] [TIFF OMITTED] TR28MR16.005
[[Page 278]]
where Xi is the concentration from the primary sampler and
Yi is the concentration value from the audit sampler. The
coefficient of variation upper bound is calculated using equation 7 of
this appendix:
[GRAPHIC] [TIFF OMITTED] TR28MR16.006
where n is the number of valid data pairs being aggregated, and X\2\
0.1,n-1 is the 10th percentile of a chi-squared distribution
with n-1 degrees of freedom. The factor of 2 in the denominator adjusts
for the fact that each di is calculated from two values with
error.
4.2.2 One-Point Flow Rate Verification Bias Estimate for PM10,
PM2.5 and Pb. For each one-point flow rate verification, calculate the
percent difference in volume using equation 1 of this appendix where
meas is the value indicated by the sampler's volume measurement and
audit is the actual volume indicated by the auditing flow meter. The
absolute volume bias upper bound is then calculated using equation 3,
where n is the number of flow rate audits being aggregated;
t0.95,n-1 is the 95th quantile of a t-distribution with n-1
degrees of freedom, the quantity AB is the mean of the absolute values
of the di,s and is calculated using equation 4 of this
appendix, and the quantity AS in equation 3 of this appendix is the
standard deviation of the absolute values if the di,s and is
calculated using equation 5 of this appendix.
4.2.3 Semi-Annual Flow Rate Audit Bias Estimate for PM10, PM2.5 and
Pb. Use the same procedure described in section 4.2.2 for the evaluation
of flow rate audits.
4.2.4 Performance Evaluation Programs Bias Estimate for Pb. The Pb
bias estimate is calculated using the paired routine and the PEP monitor
as described in section 3.4.7. Use the same procedures as described in
section 4.1.3 of this appendix.
4.2.5 Performance Evaluation Programs Bias Estimate for PM2.5. The
bias estimate is calculated using the PEP audits described in section
4.1.3 of this appendix. The bias estimator is based on the mean percent
differences (Equation 1). The mean percent difference, D, is calculated
by Equation 8 below.
[GRAPHIC] [TIFF OMITTED] TR28MR16.007
where nj is the number of pairs and
d1,d2,...dnj are the biases for each
pair to be averaged.
4.2.6 Pb Analysis Audit Bias Estimate. The bias estimate is
calculated using the analysis audit data described in section 3.4.6. Use
the same bias estimate procedure as described in section 4.1.3 of this
appendix.
5. Reporting Requirements
5.1 Reporting Requirements. For each pollutant, prepare a list of
all monitoring sites and their AQS site identification codes in each
PQAO and submit the list to the appropriate EPA Regional Office, with a
copy to AQS. Whenever there is a change in this list of monitoring sites
in a PQAO, report this change to the EPA Regional Office and to AQS.
5.1.1 Quarterly Reports. For each quarter, each PQAO shall report
to AQS directly (or via the appropriate EPA Regional Office for
organizations not direct users of AQS) the results of all valid
measurement quality checks it has carried out during the quarter. The
quarterly reports must be submitted consistent with the data reporting
requirements specified for air quality data as set forth in 40 CFR
58.16. The EPA strongly encourages early submission of the quality
assurance data in order to assist the PQAOs ability to control and
evaluate the quality of the ambient air data.
[[Page 279]]
5.1.2 Annual Reports.
5.1.2.1 When the PQAO has certified relevant data for the calendar
year, the EPA will calculate and report the measurement uncertainty for
the entire calendar year.
6. References
(1) American National Standard--Specifications and Guidelines for
Quality Systems for Environmental Data Collection and Environmental
Technology Programs. ANSI/ASQC E4-2014. February 2014. Available from
American Society for Quality Control, 611 East Wisconsin Avenue,
Milwaukee, WI 53202.
(2) EPA Requirements for Quality Management Plans. EPA QA/R-2. EPA/
240/B-01/002. March 2001, Reissue May 2006. Office of Environmental
Information, Washington DC 20460. http://www.epa.gov/quality/agency-
wide-quality-system-documents.
(3) EPA Requirements for Quality Assurance Project Plans for
Environmental Data Operations. EPA QA/R-5. EPA/240/B-01/003. March 2001,
Reissue May 2006. Office of Environmental Information, Washington DC
20460. http://www.epa.gov/quality/agency-wide-quality-system-documents.
(4) EPA Traceability Protocol for Assay and Certification of Gaseous
Calibration Standards. EPA-600/R-12/531. May, 2012. Available from U.S.
Environmental Protection Agency, National Risk Management Research
Laboratory, Research Triangle Park NC 27711. http://cfpub.epa.gov/si/
si_public
_record_report.cfm?dirEntryId=245292.
(5) Guidance for the Data Quality Objectives Process. EPA QA/G-4.
EPA/240/B-06/001. February, 2006. Office of Environmental Information,
Washington DC 20460. http://www.epa.gov/quality/agency-wide-quality-
system-documents.
(6) List of Designated Reference and Equivalent Methods. Available
from U.S. Environmental Protection Agency, National Exposure Research
Laboratory, Human Exposure and Atmospheric Sciences Division, MD-D205-
03, Research Triangle Park, NC 27711. http://www3.epa.gov/ttn/amtic/
criteria.html.
(7) Transfer Standards for the Calibration of Ambient Air Monitoring
Analyzers for Ozone. EPA-454/B-13-004 U.S. Environmental Protection
Agency, Research Triangle Park, NC 27711, October, 2013. http://
www3.epa.gov/ttn/amtic/qapollutant.html.
(8) Paur, R.J. and F.F. McElroy. Technical Assistance Document for
the Calibration of Ambient Ozone Monitors. EPA-600/4-79-057. U.S.
Environmental Protection Agency, Research Triangle Park, NC 27711,
September, 1979. http://www.epa.gov/ttn/amtic/cpreldoc.html.
(9) Quality Assurance Handbook for Air Pollution Measurement
Systems, Volume 1--A Field Guide to Environmental Quality Assurance.
EPA-600/R-94/038a. April 1994. Available from U.S. Environmental
Protection Agency, ORD Publications Office, Center for Environmental
Research Information (CERI), 26 W. Martin Luther King Drive, Cincinnati,
OH 45268. http://www3.epa.gov/ttn/amtic/qalist.html.
(10) Quality Assurance Handbook for Air Pollution Measurement
Systems, Volume II: Ambient Air Quality Monitoring Program Quality
System Development. EPA-454/B-13-003. http://www3.epa.gov/ttn/amtic/
qalist.html.
(11) National Performance Evaluation Program Standard Operating
Procedures. http://www3.epa.gov/ttn/amtic/npapsop.html.
Table A-1 of Appendix A to Part 58--Minimum Data Assessment Requirements for NAAQS Related Criteria Pollutant Monitors
--------------------------------------------------------------------------------------------------------------------------------------------------------
Method Assessment method Coverage Minimum frequency Parameters reported AQS assessment type
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gaseous Methods (CO, NO2, SO2, O3)
--------------------------------------------------------------------------------------------------------------------------------------------------------
One-Point QC for SO2, NO2, O3, CO.. Response check at Each analyzer......... Once per 2 weeks..... Audit concentration One-Point QC.
concentration 0.005- \1\ and measured
0.08 ppm SO2, NO2, concentration. \2\
O3, and.
0.5 and 5 ppm CO......
Annual performance evaluation for See section 3.1.2 of Each analyzer......... Once per year........ Audit concentration Annual PE.
SO2, NO2, O3, CO. this appendix. \1\ and measured
concentration \2\
for each level.
NPAP for SO2, NO2, O3, CO.......... Independent Audit..... 20% of sites each year Once per year........ Audit concentration NPAP.
\1\ and measured
concentration \2\
for each level.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Particulate Methods
--------------------------------------------------------------------------------------------------------------------------------------------------------
Continuous \4\ method--collocated Collocated samplers... 15%................... 1-in-12 days......... Primary sampler No Transaction
quality control sampling PM2.5. concentration and reported as raw
duplicate sampler data.
concentration. \3\
[[Page 280]]
Manual method--collocated quality Collocated samplers... 15%................... 1-in-12 days......... Primary sampler No Transaction
control sampling PM10, PM2.5, Pb- concentration and reported as raw
TSP, Pb-PM10. duplicate sampler data.
concentration. \3\
Flow rate verification PM10 (low Check of sampler flow Each sampler.......... Once every month..... Audit flow rate and Flow Rate
Vol) PM2.5, Pb-PM10. rate. measured flow rate Verification.
indicated by the
sampler.
Flow rate verification PM10 (High- Check of sampler flow Each sampler.......... Once every quarter... Audit flow rate and Flow Rate
Vol), Pb-TSP. rate. measured flow rate Verification.
indicated by the
sampler.
Semi-annual flow rate audit PM10, Check of sampler flow Each sampler,......... Once every 6 months.. Audit flow rate and Semi Annual Flow Rate
TSP, PM10-2.5, PM2.5, Pb-TSP, Pb- rate using measured flow rate Audit.
PM10. independent standard. indicated by the
sampler.
Pb analysis audits Pb-TSP, Pb-PM10. Check of analytical Analytical............ Once each quarter.... Measured value and Pb Analysis Audits.
system with Pb audit audit value (ug Pb/
strips/filters. filter) using AQS
unit code 077.
Performance Evaluation Program Collocated samplers... (1) 5 valid audits for Distributed over all Primary sampler PEP.
PM2.5. primary QA orgs, with 4 quarters. concentration and
5 sites.. performance
(2) 8 valid audits for evaluation sampler
primary QA orgs, with concentration.
>5 sites..
(3) All samplers in 6
years.
Performance Evaluation Program Pb- Collocated samplers... (1) 1 valid audit and Distributed over all Primary sampler PEP.
TSP, Pb-PM10. 4 collocated samples 4 quarters. concentration and
for primary QA orgs, performance
with 5 sites.. evaluation sampler
(2) 2 valid audits and concentration.
6 collocated samples Primary sampler
for primary QA orgs concentration and
with >5 sites. duplicate sampler
concentration.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Effective concentration for open path analyzers.
\2\ Corrected concentration, if applicable for open path analyzers.
\3\ Both primary and collocated sampler values are reported as raw data.
\4\ PM2.5 is the only particulate criteria pollutant requiring collocation of continuous and manual primary monitors.
Table A-2 of Appendix A to Part 58--Summary of PM2.5 Number and Type of Collocation (15% Collocation
Requirement) Required Using an Example of a PQAO That Has 54 Primary Monitors (54 sites) With One Federal
Reference Method Type and Three Types of Approved Federal Equivalent Methods
----------------------------------------------------------------------------------------------------------------
No. of
collocated
Total No. of Total No. of No. of with same
Primary sampler method designation monitors collocated collocated method
with FRM designation
as primary
----------------------------------------------------------------------------------------------------------------
FRM............................................. 20 3 3 3
FEM (A)......................................... 20 3 2 1
FEM (B)......................................... 2 1 1 0
FEM (C)......................................... 12 2 1 1
----------------------------------------------------------------------------------------------------------------
[81 FR 17280, Mar. 28, 2016]
[[Page 281]]
Sec. Appendix B to Part 58--Quality Assurance Requirements for
Prevention of Significant Deterioration (PSD) Air Monitoring
1. General Information
2. Quality System Requirements
3. Measurement Quality Check Requirements
4. Calculations for Data Quality Assessments
5. Reporting Requirements
6. References
1. General Information
1.1 Applicability.
(a) This appendix specifies the minimum quality assurance
requirements for the control and assessment of the quality of the
ambient air monitoring data submitted to a PSD reviewing authority or
the EPA by an organization operating an air monitoring station, or
network of stations, operated in order to comply with Part 51 New Source
Review--Prevention of Significant Deterioration (PSD). Such
organizations are encouraged to develop and maintain quality assurance
programs more extensive than the required minimum. Additional guidance
for the requirements reflected in this appendix can be found in the
``Quality Assurance Handbook for Air Pollution Measurement Systems,''
Volume II (Ambient Air) and ``Quality Assurance Handbook for Air
Pollution Measurement Systems,'' Volume IV (Meteorological Measurements)
and at a national level in references 1, 2, and 3 of this appendix.
(b) It is not assumed that data generated for PSD under this
appendix will be used in making NAAQS decisions. However, if all the
requirements in this appendix are followed (including the NPEP programs)
and reported to AQS, with review and concurrence from the EPA region,
data may be used for NAAQS decisions. With the exception of the NPEP
programs (NPAP, PM2.5 PEP, Pb-PEP), for which implementation
is at the discretion of the PSD reviewing authority, all other quality
assurance and quality control requirements found in the appendix must be
met.
1.2 PSD Primary Quality Assurance Organization (PQAO). A PSD PQAO
is defined as a monitoring organization or a coordinated aggregation of
such organizations that is responsible for a set of stations within one
PSD reviewing authority that monitors the same pollutant and for which
data quality assessments will be pooled. Each criteria pollutant
sampler/monitor must be associated with only one PSD PQAO.
1.2.1 Each PSD PQAO shall be defined such that measurement
uncertainty among all stations in the organization can be expected to be
reasonably homogeneous, as a result of common factors. A PSD PQAO must
be associated with only one PSD reviewing authority. Common factors that
should be considered in defining PSD PQAOs include:
(a) Operation by a common team of field operators according to a
common set of procedures;
(b) Use of a common QAPP and/or standard operating procedures;
(c) Common calibration facilities and standards;
(d) Oversight by a common quality assurance organization; and
(e) Support by a common management organization or laboratory.
1.2.2 PSD monitoring organizations having difficulty describing its
PQAO or in assigning specific monitors to a PSD PQAO should consult with
the PSD reviewing authority. Any consolidation of PSD PQAOs shall be
subject to final approval by the PSD reviewing authority.
1.2.3 Each PSD PQAO is required to implement a quality system that
provides sufficient information to assess the quality of the monitoring
data. The quality system must, at a minimum, include the specific
requirements described in this appendix. Failure to conduct or pass a
required check or procedure, or a series of required checks or
procedures, does not by itself invalidate data for regulatory decision
making. Rather, PSD PQAOs and the PSD reviewing authority shall use the
checks and procedures required in this appendix in combination with
other data quality information, reports, and similar documentation that
demonstrate overall compliance with parts 51, 52 and 58 of this chapter.
Accordingly, the PSD reviewing authority shall use a ``weight of
evidence'' approach when determining the suitability of data for
regulatory decisions. The PSD reviewing authority reserves the authority
to use or not use monitoring data submitted by a PSD monitoring
organization when making regulatory decisions based on the PSD reviewing
authority's assessment of the quality of the data. Generally, consensus
built validation templates or validation criteria already approved in
quality assurance project plans (QAPPs) should be used as the basis for
the weight of evidence approach.
1.3 Definitions.
(a) Measurement Uncertainty. A term used to describe deviations from
a true concentration or estimate that are related to the measurement
process and not to spatial or temporal population attributes of the air
being measured.
(b) Precision. A measurement of mutual agreement among individual
measurements of the same property usually under prescribed similar
conditions, expressed generally in terms of the standard deviation.
(c) Bias. The systematic or persistent distortion of a measurement
process which causes errors in one direction.
[[Page 282]]
(d) Accuracy. The degree of agreement between an observed value and
an accepted reference value. Accuracy includes a combination of random
error (imprecision) and systematic error (bias) components which are due
to sampling and analytical operations.
(e) Completeness. A measure of the amount of valid data obtained
from a measurement system compared to the amount that was expected to be
obtained under correct, normal conditions.
(f) Detectability. The low critical range value of a characteristic
that a method specific procedure can reliably discern.
1.4 Measurement Quality Check Reporting. The measurement quality
checks described in section 3 of this appendix, are required to be
submitted to the PSD reviewing authority within the same time frame as
routinely-collected ambient concentration data as described in 40 CFR
58.16. The PSD reviewing authority may as well require that the
measurement quality check data be reported to AQS.
1.5 Assessments and Reports. Periodic assessments and documentation
of data quality are required to be reported to the PSD reviewing
authority. To provide national uniformity in this assessment and
reporting of data quality for all networks, specific assessment and
reporting procedures are prescribed in detail in sections 3, 4, and 5 of
this appendix.
2. Quality System Requirements
A quality system (reference 1 of this appendix) is the means by
which an organization manages the quality of the monitoring information
it produces in a systematic, organized manner. It provides a framework
for planning, implementing, assessing and reporting work performed by an
organization and for carrying out required quality assurance and quality
control activities.
2.1 Quality Assurance Project Plans. All PSD PQAOs must develop a
quality system that is described and approved in quality assurance
project plans (QAPP) to ensure that the monitoring results:
(a) Meet a well-defined need, use, or purpose (reference 5 of this
appendix);
(b) Provide data of adequate quality for the intended monitoring
objectives;
(c) Satisfy stakeholder expectations;
(d) Comply with applicable standards specifications;
(e) Comply with statutory (and other legal) requirements; and
(f) Assure quality assurance and quality control adequacy and
independence.
2.1.1 The QAPP is a formal document that describes these activities
in sufficient detail and is supported by standard operating procedures.
The QAPP must describe how the organization intends to control
measurement uncertainty to an appropriate level in order to achieve the
objectives for which the data are collected. The QAPP must be documented
in accordance with EPA requirements (reference 3 of this appendix).
2.1.2 The PSD PQAO's quality system must have adequate resources
both in personnel and funding to plan, implement, assess and report on
the achievement of the requirements of this appendix and it's approved
QAPP.
2.1.3 Incorporation of quality management plan (QMP) elements into
the QAPP. The QMP describes the quality system in terms of the
organizational structure, functional responsibilities of management and
staff, lines of authority, and required interfaces for those planning,
implementing, assessing and reporting activities involving environmental
data operations (EDO). The PSD PQAOs may combine pertinent elements of
the QMP into the QAPP rather than requiring the submission of both QMP
and QAPP documents separately, with prior approval of the PSD reviewing
authority. Additional guidance on QMPs can be found in reference 2 of
this appendix.
2.2 Independence of Quality Assurance Management. The PSD PQAO must
provide for a quality assurance management function for its PSD data
collection operation, that aspect of the overall management system of
the organization that determines and implements the quality policy
defined in a PSD PQAO's QAPP. Quality management includes strategic
planning, allocation of resources and other systematic planning
activities (e.g., planning, implementation, assessing and reporting)
pertaining to the quality system. The quality assurance management
function must have sufficient technical expertise and management
authority to conduct independent oversight and assure the implementation
of the organization's quality system relative to the ambient air quality
monitoring program and should be organizationally independent of
environmental data generation activities.
2.3 Data Quality Performance Requirements.
2.3.1 Data Quality Objectives (DQOs). The DQOs, or the results of
other systematic planning processes, are statements that define the
appropriate type of data to collect and specify the tolerable levels of
potential decision errors that will be used as a basis for establishing
the quality and quantity of data needed to support air monitoring
objectives (reference 5 of the appendix). The DQOs have been developed
by the EPA to support attainment decisions for comparison to national
ambient air quality standards (NAAQS). The PSD reviewing authority and
the PSD monitoring organization will be jointly responsible for
determining whether adherence to the EPA developed NAAQS DQOs specified
in appendix A of this part are appropriate or if DQOs from a project-
specific systematic planning process are necessary.
[[Page 283]]
2.3.1.1 Measurement Uncertainty for Automated and Manual PM2.5
Methods. The goal for acceptable measurement uncertainty for precision
is defined as an upper 90 percent confidence limit for the coefficient
of variation (CV) of 10 percent and plus or minus 10 percent for total
bias.
2.3.1.2 Measurement Uncertainty for Automated Ozone Methods. The
goal for acceptable measurement uncertainty is defined for precision as
an upper 90 percent confidence limit for the CV of 7 percent and for
bias as an upper 95 percent confidence limit for the absolute bias of 7
percent.
2.3.1.3 Measurement Uncertainty for Pb Methods. The goal for
acceptable measurement uncertainty is defined for precision as an upper
90 percent confidence limit for the CV of 20 percent and for bias as an
upper 95 percent confidence limit for the absolute bias of 15 percent.
2.3.1.4 Measurement Uncertainty for NO2. The goal for acceptable
measurement uncertainty is defined for precision as an upper 90 percent
confidence limit for the CV of 15 percent and for bias as an upper 95
percent confidence limit for the absolute bias of 15 percent.
2.3.1.5 Measurement Uncertainty for SO2. The goal for acceptable
measurement uncertainty for precision is defined as an upper 90 percent
confidence limit for the CV of 10 percent and for bias as an upper 95
percent confidence limit for the absolute bias of 10 percent.
2.4 National Performance Evaluation Program. Organizations
operating PSD monitoring networks are required to implement the EPA's
national performance evaluation program (NPEP) if the data will be used
for NAAQS decisions and at the discretion of the PSD reviewing authority
if PSD data are not used for NAAQS decisions. The NPEP includes the
National Performance Audit Program (NPAP), the PM2.5
Performance Evaluation Program (PM2.5-PEP) and the Pb
Performance Evaluation Program (Pb-PEP). The PSD QAPP shall provide for
the implementation of NPEP including the provision of adequate resources
for such NPEP if the data will be used for NAAQS decisions or if
required by the PSD reviewing authority. Contact the PSD reviewing
authority to determine the best procedure for implementing the audits
which may include an audit by the PSD reviewing authority, a contractor
certified for the activity, or through self-implementation which is
described in sections below. A determination of which entity will be
performing this audit program should be made as early as possible and
during the QAPP development process. The PSD PQAOs, including
contractors that plan to implement these programs on behalf of PSD
PQAOs, that plan to implement these programs (self-implement) rather
than use the federal programs, must meet the adequacy requirements found
in the appropriate sections that follow, as well as meet the definition
of independent assessment that follows.
2.4.1 Independent Assessment. An assessment performed by a
qualified individual, group, or organization that is not part of the
organization directly performing and accountable for the work being
assessed. This auditing organization must not be involved with the
generation of the routinely-collected ambient air monitoring data. An
organization can conduct the performance evaluation (PE) if it can meet
this definition and has a management structure that, at a minimum, will
allow for the separation of its routine sampling personnel from its
auditing personnel by two levels of management. In addition, the sample
analysis of audit filters must be performed by a laboratory facility and
laboratory equipment separate from the facilities used for routine
sample analysis. Field and laboratory personnel will be required to meet
the performance evaluation field and laboratory training and
certification requirements. The PSD PQAO will be required to participate
in the centralized field and laboratory standards certification and
comparison processes to establish comparability to federally implemented
programs.
2.5 Technical Systems Audit Program. The PSD reviewing authority or
the EPA may conduct system audits of the ambient air monitoring programs
or organizations operating PSD networks. The PSD monitoring
organizations shall consult with the PSD reviewing authority to verify
the schedule of any such technical systems audit. Systems audit programs
are described in reference 10 of this appendix.
2.6 Gaseous and Flow Rate Audit Standards.
2.6.1 Gaseous pollutant concentration standards (permeation devices
or cylinders of compressed gas) used to obtain test concentrations for
carbon monoxide (CO), sulfur dioxide (SO2), nitrogen oxide
(NO), and nitrogen dioxide (NO2) must be traceable to either
a National Institute of Standards and Technology (NIST) Traceable
Reference Material (NTRM) or a NIST-certified Gas Manufacturer's
Internal Standard (GMIS), certified in accordance with one of the
procedures given in reference 4 of this appendix. Vendors advertising
certification with the procedures provided in reference 4 of this
appendix and distributing gases as ``EPA Protocol Gas'' must participate
in the EPA Protocol Gas Verification Program or not use ``EPA'' in any
form of advertising. The PSD PQAOs must provide information to the PSD
reviewing authority on the gas vendors they use (or will use) for the
duration of the PSD monitoring project. This information can be provided
in the QAPP or monitoring plan, but must be updated if there is a change
in the producer used.
[[Page 284]]
2.6.2 Test concentrations for ozone (O3) must be
obtained in accordance with the ultraviolet photometric calibration
procedure specified in appendix D to Part 50, and by means of a
certified NIST-traceable O3 transfer standard. Consult
references 7 and 8 of this appendix for guidance on transfer standards
for O3.
2.6.3 Flow rate measurements must be made by a flow measuring
instrument that is NIST-traceable to an authoritative volume or other
applicable standard. Guidance for certifying some types of flow-meters
is provided in reference 10 of this appendix.
2.7 Primary Requirements and Guidance. Requirements and guidance
documents for developing the quality system are contained in references
1 through 11 of this appendix, which also contain many suggested
procedures, checks, and control specifications. Reference 10 describes
specific guidance for the development of a quality system for data
collected for comparison to the NAAQS. Many specific quality control
checks and specifications for methods are included in the respective
reference methods described in Part 50 or in the respective equivalent
method descriptions available from the EPA (reference 6 of this
appendix). Similarly, quality control procedures related to specifically
designated reference and equivalent method monitors are contained in the
respective operation or instruction manuals associated with those
monitors. For PSD monitoring, the use of reference and equivalent method
monitors are required.
3. Measurement Quality Check Requirements
This section provides the requirements for PSD PQAOs to perform the
measurement quality checks that can be used to assess data quality. Data
from these checks are required to be submitted to the PSD reviewing
authority within the same time frame as routinely-collected ambient
concentration data as described in 40 CFR 58.16. Table B-1 of this
appendix provides a summary of the types and frequency of the
measurement quality checks that are described in this section. Reporting
these results to AQS may be required by the PSD reviewing authority.
3.1 Gaseous monitors of SO2, NO2, O3, and CO.
3.1.1 One-Point Quality Control (QC) Check for SO2, NO2, O3, and
CO. (a) A one-point QC check must be performed at least once every 2
weeks on each automated monitor used to measure SO2,
NO2, O3 and CO. With the advent of automated
calibration systems, more frequent checking is strongly encouraged and
may be required by the PSD reviewing authority. See Reference 10 of this
appendix for guidance on the review procedure. The QC check is made by
challenging the monitor with a QC check gas of known concentration
(effective concentration for open path monitors) between the prescribed
range of 0.005 and 0.08 parts per million (ppm) for SO2,
NO2, and O3, and between the prescribed range of
0.5 and 5 ppm for CO monitors. The QC check gas concentration selected
within the prescribed range should be related to monitoring objectives
for the monitor. If monitoring for trace level monitoring, the QC check
concentration should be selected to represent the mean or median
concentrations at the site. If the mean or median concentrations at
trace gas sites are below the MDL of the instrument the agency can
select the lowest concentration in the prescribed range that can be
practically achieved. If the mean or median concentrations at trace gas
sites are above the prescribed range the agency can select the highest
concentration in the prescribed range. The PSD monitoring organization
will consult with the PSD reviewing authority on the most appropriate
one-point QC concentration based on the objectives of the monitoring
activity. An additional QC check point is encouraged for those
organizations that may have occasional high values or would like to
confirm the monitors' linearity at the higher end of the operational
range or around NAAQS concentrations. If monitoring for NAAQS decisions
the QC concentration can be selected at a higher concentration within
the prescribed range but should also consider precision points around
mean or median concentrations.
(b) Point analyzers must operate in their normal sampling mode
during the QC check and the test atmosphere must pass through all
filters, scrubbers, conditioners and other components used during normal
ambient sampling and as much of the ambient air inlet system as is
practicable. The QC check must be conducted before any calibration or
adjustment to the monitor.
(c) Open-path monitors are tested by inserting a test cell
containing a QC check gas concentration into the optical measurement
beam of the instrument. If possible, the normally used transmitter,
receiver, and as appropriate, reflecting devices should be used during
the test and the normal monitoring configuration of the instrument
should be altered as little as possible to accommodate the test cell for
the test. However, if permitted by the associated operation or
instruction manual, an alternate local light source or an alternate
optical path that does not include the normal atmospheric monitoring
path may be used. The actual concentration of the QC check gas in the
test cell must be selected to produce an effective concentration in the
range specified earlier in this section. Generally, the QC test
concentration measurement will be the sum of the atmospheric pollutant
concentration and
[[Page 285]]
the QC test concentration. As such, the result must be corrected to
remove the atmospheric concentration contribution. The corrected
concentration is obtained by subtracting the average of the atmospheric
concentrations measured by the open path instrument under test
immediately before and immediately after the QC test from the QC check
gas concentration measurement. If the difference between these before
and after measurements is greater than 20 percent of the effective
concentration of the test gas, discard the test result and repeat the
test. If possible, open path monitors should be tested during periods
when the atmospheric pollutant concentrations are relatively low and
steady.
(d) Report the audit concentration of the QC gas and the
corresponding measured concentration indicated by the monitor. The
percent differences between these concentrations are used to assess the
precision and bias of the monitoring data as described in sections 4.1.2
(precision) and 4.1.3 (bias) of this appendix.
3.1.2 Quarterly performance evaluation for SO2, NO2, O3, or CO.
Evaluate each primary monitor each monitoring quarter (or 90 day
frequency) during which monitors are operated or a least once (if
operated for less than one quarter). The quarterly performance
evaluation (quarterly PE) must be performed by a qualified individual,
group, or organization that is not part of the organization directly
performing and accountable for the work being assessed. The person or
entity performing the quarterly PE must not be involved with the
generation of the routinely-collected ambient air monitoring data. A PSD
monitoring organization can conduct the quarterly PE itself if it can
meet this definition and has a management structure that, at a minimum,
will allow for the separation of its routine sampling personnel from its
auditing personnel by two levels of management. The quarterly PE also
requires a set of equipment and standards independent from those used
for routine calibrations or zero, span or precision checks.
3.1.2.1 The evaluation is made by challenging the monitor with
audit gas standards of known concentration from at least three audit
levels. One point must be within two to three times the method detection
limit of the instruments within the PQAOs network, the second point will
be less than or equal to the 99th percentile of the data at the site or
the network of sites in the PQAO or the next highest audit concentration
level. The third point can be around the primary NAAQS or the highest 3-
year concentration at the site or the network of sites in the PQAO. An
additional 4th level is encouraged for those PSD organizations that
would like to confirm the monitor's linearity at the higher end of the
operational range. In rare circumstances, there may be sites measuring
concentrations above audit level 10. These sites should be identified to
the PSD reviewing authority.
----------------------------------------------------------------------------------------------------------------
Concentration range, ppm
Audit level ---------------------------------------------------------------
O3 SO2 NO2 CO
----------------------------------------------------------------------------------------------------------------
1............................................... 0.004-0.0059 0.0003-0.0029 0.0003-0.0029 0.020-0.059
2............................................... 0.006-0.019 0.0030-0.0049 0.0030-0.0049 0.060-0.199
3............................................... 0.020-0.039 0.0050-0.0079 0.0050-0.0079 0.200-0.899
4............................................... 0.040-0.069 0.0080-0.0199 0.0080-0.0199 0.900-2.999
5............................................... 0.070-0.089 0.0200-0.0499 0.0200-0.0499 3.000-7.999
6............................................... 0.090-0.119 0.0500-0.0999 0.0500-0.0999 8.000-15.999
7............................................... 0.120-0.139 0.1000-0.1499 0.1000-0.2999 16.000-30.999
8............................................... 0.140-0.169 0.1500-0.2599 0.3000-0.4999 31.000-39.999
9............................................... 0.170-0.189 0.2600-0.7999 0.5000-0.7999 40.000-49.999
10.............................................. 0.190-0.259 0.8000-1.000 0.8000-1.000 50.000-60.000
----------------------------------------------------------------------------------------------------------------
3.1.2.2 The NO2 audit techniques may vary depending on
the ambient monitoring method. For chemiluminescence-type NO2
analyzers, gas phase titration (GPT) techniques should be based on the
EPA guidance documents and monitoring agency experience. The
NO2 gas standards may be more appropriate than GPT for direct
NO2 methods that do not employ converters. Care should be
taken to ensure the stability of such gas standards prior to use.
3.1.2.3 The standards from which audit gas test concentrations are
obtained must meet the specifications of section 2.6.1 of this appendix.
3.1.2.4 For point analyzers, the evaluation shall be carried out by
allowing the monitor to analyze the audit gas test atmosphere in its
normal sampling mode such that the test atmosphere passes through all
filters, scrubbers, conditioners, and other sample inlet components used
during normal ambient sampling and as much of the ambient air inlet
system as is practicable.
3.1.2.5 Open-path monitors are evaluated by inserting a test cell
containing the various audit gas concentrations into the optical
measurement beam of the instrument. If possible, the normally used
transmitter, receiver, and, as appropriate, reflecting devices should be
used during the evaluation, and
[[Page 286]]
the normal monitoring configuration of the instrument should be modified
as little as possible to accommodate the test cell for the evaluation.
However, if permitted by the associated operation or instruction manual,
an alternate local light source or an alternate optical path that does
not include the normal atmospheric monitoring path may be used. The
actual concentrations of the audit gas in the test cell must be selected
to produce effective concentrations in the evaluation level ranges
specified in this section of this appendix. Generally, each evaluation
concentration measurement result will be the sum of the atmospheric
pollutant concentration and the evaluation test concentration. As such,
the result must be corrected to remove the atmospheric concentration
contribution. The corrected concentration is obtained by subtracting the
average of the atmospheric concentrations measured by the open-path
instrument under test immediately before and immediately after the
evaluation test (or preferably before and after each evaluation
concentration level) from the evaluation concentration measurement. If
the difference between the before and after measurements is greater than
20 percent of the effective concentration of the test gas standard,
discard the test result for that concentration level and repeat the test
for that level. If possible, open-path monitors should be evaluated
during periods when the atmospheric pollutant concentrations are
relatively low and steady. Also, if the open-path instrument is not
installed in a permanent manner, the monitoring path length must be
reverified to be within 3 percent to validate the evaluation, since the
monitoring path length is critical to the determination of the effective
concentration.
3.1.2.6 Report both the evaluation concentrations (effective
concentrations for open-path monitors) of the audit gases and the
corresponding measured concentration (corrected concentrations, if
applicable, for open-path monitors) indicated or produced by the monitor
being tested. The percent differences between these concentrations are
used to assess the quality of the monitoring data as described in
section 4.1.1 of this appendix.
3.1.3 National Performance Audit Program (NPAP).As stated in
sections 1.1 and 2.4, PSD monitoring networks may be subject to the
NPEP, which includes the NPAP. The NPAP is a performance evaluation
which is a type of audit where quantitative data are collected
independently in order to evaluate the proficiency of an analyst,
monitoring instrument and laboratory. Due to the implementation approach
used in this program, NPAP provides for a national independent
assessment of performance with a consistent level of data quality. The
NPAP should not be confused with the quarterly PE program described in
section 3.1.2. The PSD organizations shall consult with the PSD
reviewing authority or the EPA regarding whether the implementation of
NPAP is required and the implementation options available. Details of
the EPA NPAP can be found in reference 11 of this appendix. The program
requirements include:
3.1.3.1 Performing audits on 100 percent of monitors and sites each
year including monitors and sites that may be operated for less than 1
year. The PSD reviewing authority has the authority to require more
frequent audits at sites they consider to be high priority.
3.1.3.2 Developing a delivery system that will allow for the audit
concentration gasses to be introduced at the probe inlet where
logistically feasible.
3.1.3.3 Using audit gases that are verified against the National
Institute for Standards and Technology (NIST) standard reference methods
or special review procedures and validated annually for CO,
SO2 and NO2, and at the beginning of each quarter
of audits for O3.
3.1.3.4 The PSD PQAO may elect to self-implement NPAP. In these
cases, the PSD reviewing authority will work with those PSD PQAOs to
establish training and other technical requirements to establish
comparability to federally implemented programs. In addition to meeting
the requirements in sections 3.1.1.3 through 3.1.3.3, the PSD PQAO must:
(a) Ensure that the PSD audit system is equivalent to the EPA NPAP
audit system and is an entirely separate set of equipment and standards
from the equipment used for quarterly performance evaluations. If this
system does not generate and analyze the audit concentrations, as the
EPA NPAP system does, its equivalence to the EPA NPAP system must be
proven to be as accurate under a full range of appropriate and varying
conditions as described in section 3.1.3.6.
(b) Perform a whole system check by having the PSD audit system
tested at an independent and qualified EPA lab, or equivalent.
(c) Evaluate the system with the EPA NPAP program through collocated
auditing at an acceptable number of sites each year (at least one for a
PSD network of five or less sites; at least two for a network with more
than five sites).
(d) Incorporate the NPAP into the PSD PQAO's QAPP.
(e) Be subject to review by independent, EPA-trained personnel.
(f) Participate in initial and update training/certification
sessions.
3.2 PM2.5.
3.2.1 Flow Rate Verification for PM2.5. A one-point flow rate
verification check must be performed at least once every month (each
verification minimally separated by 14 days) on each monitor used to
measure
[[Page 287]]
PM2.5. The verification is made by checking the operational
flow rate of the monitor. If the verification is made in conjunction
with a flow rate adjustment, it must be made prior to such flow rate
adjustment. For the standard procedure, use a flow rate transfer
standard certified in accordance with section 2.6 of this appendix to
check the monitor's normal flow rate. Care should be used in selecting
and using the flow rate measurement device such that it does not alter
the normal operating flow rate of the monitor. Flow rate verification
results are to be reported to the PSD reviewing authority quarterly as
described in section 5.1. Reporting these results to AQS is encouraged.
The percent differences between the audit and measured flow rates are
used to assess the bias of the monitoring data as described in section
4.2.2 of this appendix (using flow rates in lieu of concentrations).
3.2.2 Semi-Annual Flow Rate Audit for PM2.5. Every 6 months, audit
the flow rate of the PM2.5 particulate monitors. For short-
term monitoring operations (those less than 1 year), the flow rate
audits must occur at start up, at the midpoint, and near the completion
of the monitoring project. The audit must be conducted by a trained
technician other than the routine site operator. The audit is made by
measuring the monitor's normal operating flow rate using a flow rate
transfer standard certified in accordance with section 2.6 of this
appendix. The flow rate standard used for auditing must not be the same
flow rate standard used for verifications or to calibrate the monitor.
However, both the calibration standard and the audit standard may be
referenced to the same primary flow rate or volume standard. Care must
be taken in auditing the flow rate to be certain that the flow
measurement device does not alter the normal operating flow rate of the
monitor. Report the audit flow rate of the transfer standard and the
corresponding flow rate measured by the monitor. The percent differences
between these flow rates are used to evaluate monitor performance.
3.2.3 Collocated Sampling Procedures for PM2.5. A PSD PQAO must
have at least one collocated monitor for each PSD monitoring network.
3.2.3.1 For each pair of collocated monitors, designate one sampler
as the primary monitor whose concentrations will be used to report air
quality for the site, and designate the other as the QC monitor. There
can be only one primary monitor at a monitoring site for a given time
period.
(a) If the primary monitor is a FRM, then the quality control
monitor must be a FRM of the same method designation.
(b) If the primary monitor is a FEM, then the quality control
monitor must be a FRM unless the PSD PQAO submits a waiver for this
requirement, provides a specific reason why a FRM cannot be implemented,
and the waiver is approved by the PSD reviewing authority. If the waiver
is approved, then the quality control monitor must be the same method
designation as the primary FEM monitor.
3.2.3.2 In addition, the collocated monitors should be deployed
according to the following protocol:
(a) The collocated quality control monitor(s) should be deployed at
sites with the highest predicted daily PM2.5 concentrations
in the network. If the highest PM2.5 concentration site is
impractical for collocation purposes, alternative sites approved by the
PSD reviewing authority may be selected. If additional collocated sites
are necessary, the PSD PQAO and the PSD reviewing authority should
determine the appropriate location(s) based on data needs.
(b) The two collocated monitors must be within 4 meters of each
other and at least 2 meters apart for flow rates greater than 200
liters/min or at least 1 meter apart for samplers having flow rates less
than 200 liters/min to preclude airflow interference. A waiver allowing
up to 10 meters horizontal distance and up to 3 meters vertical distance
(inlet to inlet) between a primary and collocated quality control
monitor may be approved by the PSD reviewing authority for sites at a
neighborhood or larger scale of representation. This waiver may be
approved during the QAPP review and approval process. Sampling and
analytical methodologies must be the consistently implemented for both
collocated samplers and for all other samplers in the network.
(c) Sample the collocated quality control monitor on a 6-day
schedule for sites not requiring daily monitoring and on a 3-day
schedule for any site requiring daily monitoring. Report the
measurements from both primary and collocated quality control monitors
at each collocated sampling site. The calculations for evaluating
precision between the two collocated monitors are described in section
4.2.1 of this appendix.
3.2.4 PM2.5 Performance Evaluation Program (PEP) Procedures. As
stated in sections 1.1 and 2.4 of this appendix, PSD monitoring networks
may be subject to the NPEP, which includes the PM2.5 PEP. The
PSD monitoring organizations shall consult with the PSD reviewing
authority or the EPA regarding whether the implementation of
PM2.5 PEP is required and the implementation options
available for the PM2.5 PEP. For PSD PQAOs with less than or
equal to five monitoring sites, five valid performance evaluation audits
must be collected and reported each year. For PSD PQAOs with greater
than five monitoring sites, eight valid performance evaluation audits
must be collected and reported each year. Additionally, within the five
or eight required audits, each type of method designation (FRM/FEM
designation)
[[Page 288]]
used as a primary monitor in the PSD network shall be audited. For a PE
to be valid, both the primary monitor and PEP audit measurements must
meet quality control requirements and be above 3 mg/m\3\ or a predefined
lower concentration level determined by a systematic planning process
and approved by the PSD reviewing authority. Due to the relatively
short-term nature of most PSD monitoring, the likelihood of measuring
low concentrations in many areas attaining the PM2.5 standard
and the time required to weigh filters collected in PEs, a PSD
monitoring organization's QAPP may contain a provision to waive the 3
mg/m\3\ threshold for validity of PEs conducted in the last quarter of
monitoring, subject to approval by the PSD reviewing authority.
3.3 PM10.
3.3.1 Flow Rate Verification for PM10. A one-point flow rate
verification check must be performed at least once every month (each
verification minimally separated by 14 days) on each monitor used to
measure PM10. The verification is made by checking the
operational flow rate of the monitor. If the verification is made in
conjunction with a flow rate adjustment, it must be made prior to such
flow rate adjustment. For the standard procedure, use a flow rate
transfer standard certified in accordance with section 2.6 of this
appendix to check the monitor's normal flow rate. Care should be taken
in selecting and using the flow rate measurement device such that it
does not alter the normal operating flow rate of the monitor. The
percent differences between the audit and measured flow rates are used
to assess the bias of the monitoring data as described in section 4.2.2
of this appendix (using flow rates in lieu of concentrations).
3.3.2 Semi-Annual Flow Rate Audit for PM10. Every 6 months, audit
the flow rate of the PM10 particulate monitors. For short-
term monitoring operations (those less than 1 year), the flow rate
audits must occur at start up, at the midpoint, and near the completion
of the monitoring project. Where possible, the EPA strongly encourages
more frequent auditing. The audit must be conducted by a trained
technician other than the routine site operator. The audit is made by
measuring the monitor's normal operating flow rate using a flow rate
transfer standard certified in accordance with section 2.6 of this
appendix. The flow rate standard used for auditing must not be the same
flow rate standard used for verifications or to calibrate the monitor.
However, both the calibration standard and the audit standard may be
referenced to the same primary flow rate or volume standard. Care must
be taken in auditing the flow rate to be certain that the flow
measurement device does not alter the normal operating flow rate of the
monitor. Report the audit flow rate of the transfer standard and the
corresponding flow rate measured by the monitor. The percent differences
between these flow rates are used to evaluate monitor performance
3.3.3 Collocated Sampling Procedures for Manual PM10. A PSD PQAO
must have at least one collocated monitor for each PSD monitoring
network.
3.3.3.1 For each pair of collocated monitors, designate one sampler
as the primary monitor whose concentrations will be used to report air
quality for the site, and designate the other as the quality control
monitor.
3.3.3.2 In addition, the collocated monitors should be deployed
according to the following protocol:
(a) The collocated quality control monitor(s) should be deployed at
sites with the highest predicted daily PM10 concentrations in
the network. If the highest PM10 concentration site is
impractical for collocation purposes, alternative sites approved by the
PSD reviewing authority may be selected.
(b) The two collocated monitors must be within 4 meters of each
other and at least 2 meters apart for flow rates greater than 200
liters/min or at least 1 meter apart for samplers having flow rates less
than 200 liters/min to preclude airflow interference. A waiver allowing
up to 10 meters horizontal distance and up to 3 meters vertical distance
(inlet to inlet) between a primary and collocated sampler may be
approved by the PSD reviewing authority for sites at a neighborhood or
larger scale of representation. This waiver may be approved during the
QAPP review and approval process. Sampling and analytical methodologies
must be the consistently implemented for both collocated samplers and
for all other samplers in the network.
(c) Sample the collocated quality control monitor on a 6-day
schedule or 3-day schedule for any site requiring daily monitoring.
Report the measurements from both primary and collocated quality control
monitors at each collocated sampling site. The calculations for
evaluating precision between the two collocated monitors are described
in section 4.2.1 of this appendix.
(d) In determining the number of collocated sites required for
PM10, PSD monitoring networks for Pb-PM10 should
be treated independently from networks for particulate matter (PM), even
though the separate networks may share one or more common samplers.
However, a single quality control monitor that meets the collocation
requirements for Pb-PM10 and PM10 may serve as a
collocated quality control monitor for both networks. Extreme care must
be taken if using the filter from a quality control monitor for both
PM10 and Pb analysis. PM10 filter weighing should
occur prior to any Pb analysis.
3.4 Pb.
[[Page 289]]
3.4.1 Flow Rate Verification for Pb. A one-point flow rate
verification check must be performed at least once every month (each
verification minimally separated by 14 days) on each monitor used to
measure Pb. The verification is made by checking the operational flow
rate of the monitor. If the verification is made in conjunction with a
flow rate adjustment, it must be made prior to such flow rate
adjustment. Use a flow rate transfer standard certified in accordance
with section 2.6 of this appendix to check the monitor's normal flow
rate. Care should be taken in selecting and using the flow rate
measurement device such that it does not alter the normal operating flow
rate of the monitor. The percent differences between the audit and
measured flow rates are used to assess the bias of the monitoring data
as described in section 4.2.2 of this appendix (using flow rates in lieu
of concentrations).
3.4.2 Semi-Annual Flow Rate Audit for Pb. Every 6 months, audit the
flow rate of the Pb particulate monitors. For short-term monitoring
operations (those less than 1 year), the flow rate audits must occur at
start up, at the midpoint, and near the completion of the monitoring
project. Where possible, the EPA strongly encourages more frequent
auditing. The audit must be conducted by a trained technician other than
the routine site operator. The audit is made by measuring the monitor's
normal operating flow rate using a flow rate transfer standard certified
in accordance with section 2.6 of this appendix. The flow rate standard
used for auditing must not be the same flow rate standard used to in
verifications or to calibrate the monitor. However, both the calibration
standard and the audit standard may be referenced to the same primary
flow rate or volume standard. Great care must be taken in auditing the
flow rate to be certain that the flow measurement device does not alter
the normal operating flow rate of the monitor. Report the audit flow
rate of the transfer standard and the corresponding flow rate measured
by the monitor. The percent differences between these flow rates are
used to evaluate monitor performance.
3.4.3 Collocated Sampling for Pb. A PSD PQAO must have at least one
collocated monitor for each PSD monitoring network.
3.4.3.1 For each pair of collocated monitors, designate one sampler
as the primary monitor whose concentrations will be used to report air
quality for the site, and designate the other as the quality control
monitor.
3.4.3.2 In addition, the collocated monitors should be deployed
according to the following protocol:
(a) The collocated quality control monitor(s) should be deployed at
sites with the highest predicted daily Pb concentrations in the network.
If the highest Pb concentration site is impractical for collocation
purposes, alternative sites approved by the PSD reviewing authority may
be selected.
(b) The two collocated monitors must be within 4 meters of each
other and at least 2 meters apart for flow rates greater than 200
liters/min or at least 1 meter apart for samplers having flow rates less
than 200 liters/min to preclude airflow interference. A waiver allowing
up to 10 meters horizontal distance and up to 3 meters vertical distance
(inlet to inlet) between a primary and collocated sampler may be
approved by the PSD reviewing authority for sites at a neighborhood or
larger scale of representation. This waiver may be approved during the
QAPP review and approval process. Sampling and analytical methodologies
must be the consistently implemented for both collocated samplers and
all other samplers in the network.
(c) Sample the collocated quality control monitor on a 6-day
schedule if daily monitoring is not required or 3-day schedule for any
site requiring daily monitoring. Report the measurements from both
primary and collocated quality control monitors at each collocated
sampling site. The calculations for evaluating precision between the two
collocated monitors are described in section 4.2.1 of this appendix.
(d) In determining the number of collocated sites required for Pb-
PM10, PSD monitoring networks for PM10 should be
treated independently from networks for Pb-PM10, even though
the separate networks may share one or more common samplers. However, a
single quality control monitor that meets the collocation requirements
for Pb-PM10 and PM10 may serve as a collocated
quality control monitor for both networks. Extreme care must be taken if
using a using the filter from a quality control monitor for both
PM10 and Pb analysis. The PM10 filter weighing
should occur prior to any Pb analysis.
3.4.4 Pb Analysis Audits. Each calendar quarter, audit the Pb
reference or equivalent method analytical procedure using filters
containing a known quantity of Pb. These audit filters are prepared by
depositing a Pb standard on unexposed filters and allowing them to dry
thoroughly. The audit samples must be prepared using batches of reagents
different from those used to calibrate the Pb analytical equipment being
audited. Prepare audit samples in the following concentration ranges:
------------------------------------------------------------------------
Equivalent ambient Pb
Range concentration, mg/m\3\
------------------------------------------------------------------------
1...................................... 30-100% of Pb NAAQS.
2...................................... 200-300% of Pb NAAQS.
------------------------------------------------------------------------
(a) Audit samples must be extracted using the same extraction
procedure used for exposed filters.
[[Page 290]]
(b) Analyze three audit samples in each of the two ranges each
quarter samples are analyzed. The audit sample analyses shall be
distributed as much as possible over the entire calendar quarter.
(c) Report the audit concentrations (in mg Pb/filter or strip) and
the corresponding measured concentrations (in mg Pb/filter or strip)
using AQS unit code 077 (if reporting to AQS). The percent differences
between the concentrations are used to calculate analytical accuracy as
described in section 4.2.5 of this appendix.
3.4.5 Pb Performance Evaluation Program (PEP) Procedures. As stated
in sections 1.1 and 2.4, PSD monitoring networks may be subject to the
NPEP, which includes the Pb PEP. The PSD monitoring organizations shall
consult with the PSD reviewing authority or the EPA regarding whether
the implementation of Pb-PEP is required and the implementation options
available for the Pb-PEP. The PEP is an independent assessment used to
estimate total measurement system bias. Each year, one PE audit must be
performed at one Pb site in each PSD PQAO network that has less than or
equal to five sites and two audits for PSD PQAO networks with greater
than five sites. In addition, each year, four collocated samples from
PSD PQAO networks with less than or equal to five sites and six
collocated samples from PSD PQAO networks with greater than five sites
must be sent to an independent laboratory for analysis. The calculations
for evaluating bias between the primary monitor and the PE monitor for
Pb are described in section 4.2.4 of this appendix.
4. Calculations for Data Quality Assessments
(a) Calculations of measurement uncertainty are carried out by PSD
PQAO according to the following procedures. The PSD PQAOs should report
the data for all appropriate measurement quality checks as specified in
this appendix even though they may elect to perform some or all of the
calculations in this section on their own.
(b) At low concentrations, agreement between the measurements of
collocated samplers, expressed as relative percent difference or percent
difference, may be relatively poor. For this reason, collocated
measurement pairs will be selected for use in the precision and bias
calculations only when both measurements are equal to or above the
following limits:
(1) Pb: 0.002 mg/m\3\ (Methods approved after 3/04/2010, with
exception of manual equivalent method EQLA-0813-803).
(2) Pb: 0.02 mg/m\3\ (Methods approved before 3/04/2010, and manual
equivalent method EQLA-0813-803).
(3) PM10 (Hi-Vol): 15 mg/m\3\.
(4) PM10 (Lo-Vol): 3 mg/m\3\.
(5) PM2.5: 3 mg/m\3\.
(c) The PM2.5 3 mg/m\3\ limit for the
PM2.5^PEP may be superseded by mutual agreement between the
PSD PQAO and the PSD reviewing authority as specified in section 3.2.4
of the appendix and detailed in the approved QAPP.
4.1 Statistics for the Assessment of QC Checks for SO2, NO2, O3 and
CO.
4.1.1 Percent Difference. Many of the measurement quality checks
start with a comparison of an audit concentration or value (flow-rate)
to the concentration/value measured by the monitor and use percent
difference as the comparison statistic as described in equation 1 of
this section. For each single point check, calculate the percent
difference, di, as follows:
[GRAPHIC] [TIFF OMITTED] TR28MR16.008
where meas is the concentration indicated by the PQAO's instrument and
audit is the audit concentration of the standard used in the QC check
being measured.
4.1.2 Precision Estimate. The precision estimate is used to assess
the one-point QC checks for SO2, NO2,
O3, or CO described in section 3.1.1 of this appendix. The
precision estimator is the coefficient of variation upper bound and is
calculated using equation 2 of this section:
[[Page 291]]
[GRAPHIC] [TIFF OMITTED] TR28MR16.009
where n is the number of single point checks being aggregated; X\2\
0.1,n-1 is the 10th percentile of a chi-squared distribution
with n-1 degrees of freedom.
4.1.3 Bias Estimate. The bias estimate is calculated using the one-
point QC checks for SO2, NO2, O3, or CO
described in section 3.1.1 of this appendix. The bias estimator is an
upper bound on the mean absolute value of the percent differences as
described in equation 3 of this section:
[GRAPHIC] [TIFF OMITTED] TR28MR16.010
where n is the number of single point checks being aggregated;
t0.95,n-1 is the 95th quantile of a t-distribution with n-1
degrees of freedom; the quantity AB is the mean of the absolute values
of the di,s and is calculated using equation 4 of this
section:
[GRAPHIC] [TIFF OMITTED] TR28MR16.011
and the quantity AS is the standard deviation of the absolute value of
the di,s and is calculated using equation 5 of this section:
[GRAPHIC] [TIFF OMITTED] TR28MR16.012
[[Page 292]]
4.1.3.1 Assigning a sign (positive/negative) to the bias estimate.
Since the bias statistic as calculated in equation 3 of this appendix
uses absolute values, it does not have a tendency (negative or positive
bias) associated with it. A sign will be designated by rank ordering the
percent differences of the QC check samples from a given site for a
particular assessment interval.
4.1.3.2 Calculate the 25th and 75th percentiles of the percent
differences for each site. The absolute bias upper bound should be
flagged as positive if both percentiles are positive and negative if
both percentiles are negative. The absolute bias upper bound would not
be flagged if the 25th and 75th percentiles are of different signs.
4.2 Statistics for the Assessment of PM10, PM2.5, and
Pb.
4.2.1 Collocated Quality Control Sampler Precision Estimate for
PM10, PM2.5 and Pb. Precision is estimated via duplicate measurements
from collocated samplers. It is recommended that the precision be
aggregated at the PQAO level quarterly, annually, and at the 3-year
level. The data pair would only be considered valid if both
concentrations are greater than or equal to the minimum values specified
in section 4(c) of this appendix. For each collocated data pair,
calculate the relative percent difference, di, using equation
6 of this appendix:
[GRAPHIC] [TIFF OMITTED] TR28MR16.013
where Xi is the concentration from the primary sampler and
Yi is the concentration value from the audit sampler. The
coefficient of variation upper bound is calculated using equation 7 of
this appendix:
[GRAPHIC] [TIFF OMITTED] TR28MR16.014
where n is the number of valid data pairs being aggregated, and X\2\
0.1,n-1 is the 10th percentile of a chi-squared distribution
with n-1 degrees of freedom. The factor of 2 in the denominator adjusts
for the fact that each di is calculated from two values with
error.
4.2.2 One-Point Flow Rate Verification Bias Estimate for PM10,
PM2.5 and Pb. For each one-point flow rate verification, calculate the
percent difference in volume using equation 1 of this appendix where
meas is the value indicated by the sampler's volume measurement and
audit is the actual volume indicated by the auditing flow meter. The
absolute volume bias upper bound is then calculated using equation 3,
where n is the number of flow rate audits being aggregated;
t0.95,n-1 is the 95th quantile of a t-distribution with n-1
degrees of freedom, the quantity AB is the mean of the absolute values
of the di,s and is calculated using equation 4 of this
appendix, and the quantity AS in equation 3 of this appendix is the
standard deviation of the absolute values if the di,s and is
calculated using equation 5 of this appendix.
4.2.3 Semi-Annual Flow Rate Audit Bias Estimate for PM10, PM2.5 and
Pb. Use the same procedure described in section 4.2.2 for the evaluation
of flow rate audits.
4.2.4 Performance Evaluation Programs Bias Estimate for Pb. The Pb
bias estimate is calculated using the paired routine and the PEP monitor
as described in section 3.4.5. Use the same procedures as described in
section 4.1.3 of this appendix.
4.2.5 Performance Evaluation Programs Bias Estimate for PM2.5. The
bias estimate is calculated using the PEP audits described in
[[Page 293]]
section 4.1.3 of this appendix. The bias estimator is based on the mean
percent differences (Equation 1). The mean percent difference, D, is
calculated by Equation 8 below.
[GRAPHIC] [TIFF OMITTED] TR28MR16.015
where nj is the number of pairs and
d1,d2,...dnj are the biases for each
pair to be averaged.
4.2.6 Pb Analysis Audit Bias Estimate. The bias estimate is
calculated using the analysis audit data described in section 3.4.4. Use
the same bias estimate procedure as described in section 4.1.3 of this
appendix.
5. Reporting Requirements
5.1. Quarterly Reports. For each quarter, each PSD PQAO shall
report to the PSD reviewing authority (and AQS if required by the PSD
reviewing authority) the results of all valid measurement quality checks
it has carried out during the quarter. The quarterly reports must be
submitted consistent with the data reporting requirements specified for
air quality data as set forth in 40 CFR 58.16 and pertain to PSD
monitoring.
6. References
(1) American National Standard--Specifications and Guidelines for
Quality Systems for Environmental Data Collection and Environmental
Technology Programs. ANSI/ASQC E4-2014. February 2014. Available from
American Society for Quality Control, 611 East Wisconsin Avenue,
Milwaukee, WI 53202.
(2) EPA Requirements for Quality Management Plans. EPA QA/R-2. EPA/
240/B-01/002. March 2001, Reissue May 2006. Office of Environmental
Information, Washington, DC 20460. http://www.epa.gov/quality/agency-
wide-quality-system-documents.
(3) EPA Requirements for Quality Assurance Project Plans for
Environmental Data Operations. EPA QA/R-5. EPA/240/B-01/003. March 2001,
Reissue May 2006. Office of Environmental Information, Washington, DC
20460. http://www.epa.gov/quality/agency-wide-quality-system-documents.
(4) EPA Traceability Protocol for Assay and Certification of Gaseous
Calibration Standards. EPA-600/R-12/531. May, 2012. Available from U.S.
Environmental Protection Agency, National Risk Management Research
Laboratory, Research Triangle Park NC 27711. http://cfpub.epa.gov/si/
si_public
_record_report.cfm?dirEntryId=245292.
(5) Guidance for the Data Quality Objectives Process. EPA QA/G-4.
EPA/240/B-06/001. February, 2006. Office of Environmental Information,
Washington, DC 20460. http://www.epa.gov/quality/agency-wide-quality-
system-documents.
(6) List of Designated Reference and Equivalent Methods. Available
from U.S. Environmental Protection Agency, National Exposure Research
Laboratory, Human Exposure and Atmospheric Sciences Division, MD-D205-
03, Research Triangle Park, NC 27711. http://www3.epa.gov/ttn/amtic/
criteria.html.
(7) Transfer Standards for the Calibration of Ambient Air Monitoring
Analyzers for Ozone. EPA-454/B-13-004 U.S. Environmental Protection
Agency, Research Triangle Park, NC 27711, October, 2013. http://
www3.epa.gov/ttn/amtic/qapollutant.html.
(8) Paur, R.J. and F.F. McElroy. Technical Assistance Document for
the Calibration of Ambient Ozone Monitors. EPA-600/4-79-057. U.S.
Environmental Protection Agency, Research Triangle Park, NC 27711,
September, 1979. http://www.epa.gov/ttn/amtic/cpreldoc.html.
(9) Quality Assurance Handbook for Air Pollution Measurement
Systems, Volume 1--A Field Guide to Environmental Quality Assurance.
EPA-600/R-94/038a. April 1994. Available from U.S. Environmental
Protection Agency, ORD Publications Office, Center for Environmental
Research Information (CERI), 26 W. Martin Luther King Drive, Cincinnati,
OH 45268. http://www3.epa.gov/ttn/amtic/qalist.html.
(10) Quality Assurance Handbook for Air Pollution Measurement
Systems, Volume II: Ambient Air Quality Monitoring Program Quality
System Development. EPA-454/B-13-003. http://www3.epa.gov/ttn/amtic/
qalist.html.
(11) National Performance Evaluation Program Standard Operating
Procedures. http://www3.epa.gov/ttn/amtic/npapsop.html.
[[Page 294]]
Table B-1--Minimum Data Assessment Requirements for NAAQS Related Criteria Pollutant PSD Monitors
--------------------------------------------------------------------------------------------------------------------------------------------------------
Method Assessment method Coverage Minimum frequency Parameters reported AQS Assessment type
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gaseous Methods (CO, NO2, SO2, O3)
--------------------------------------------------------------------------------------------------------------------------------------------------------
One-Point QC for SO2, NO2, O3, CO.. Response check at Each analyzer........ Once per 2 weeks..... Audit concentration One-Point QC.
concentration 0.005- \1\ and measured
0.08 ppm SO2, NO2, concentration \2\.
O3, & 0.5 and 5 ppm
CO.
Quarterly performance evaluation See section 3.1.2 of Each analyzer........ Once per quarter..... Audit concentration Annual PE.
for SO2, NO2, O3, CO. this appendix. \1\ and measured
concentration \2\
for each level.
NPAP for SO2, NO2, O3, CO\3\....... Independent Audit..... Each primary monitor. Once per year........ Audit concentration NPAP.
\1\ and measured
concentration \2\
for each level.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Particulate Methods
--------------------------------------------------------------------------------------------------------------------------------------------------------
Collocated sampling PM10, PM2.5, Pb Collocated samplers... 1 per PSD Network per Every 6 days or every Primary sampler No Transaction
pollutant. 3 days if daily concentration and reported as raw data.
monitoring required. duplicate sampler
concentration \4\.
Flow rate verification PM10, PM2.5, Check of sampler flow Each sampler......... Once every month..... Audit flow rate and Flow Rate
Pb. rate. measured flow rate Verification.
indicated by the
sampler.
Semi-annual flow rate audit PM10, Check of sampler flow Each sampler......... Once every 6 months Audit flow rate and Semi Annual Flow Rate
PM2.5, Pb. rate using or beginning, middle measured flow rate Audit.
independent standard. and end of indicated by the
monitoring. sampler.
Pb analysis audits Pb-TSP, Pb-PM10. Check of analytical Analytical........... Each quarter......... Measured value and Pb Analysis Audits.
system with Pb audit audit value (ug Pb/
strips/filters. filter) using AQS
unit code 077 for
parameters:
14129--Pb (TSP) LC
FRM/FEM.
85129--Pb (TSP) LC
Non-FRM/FEM..
Performance Evaluation Program Collocated samplers... (1) 5 valid audits Over all 4 quarters.. Primary sampler PEP.
PM2.5 \3\. for PQAOs with <= 5 concentration and
sites. performance
(2) 8 valid audits evaluation sampler
for PQAOs with > 5 concentration.
sites.
(3) All samplers in 6
years.
Performance Evaluation Program Pb Collocated samplers... (1) 1 valid audit and Over all 4 quarters.. Primary sampler PEP.
\3\. 4 collocated samples concentration and
for PQAOs, with <=5 performance
sites. evaluation sampler
(2) 2 valid audits concentration.
and 6 collocated Primary sampler
samples for PQAOs concentration and
with >5 sites. duplicate sampler
concentration.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Effective concentration for open path analyzers.
\2\ Corrected concentration, if applicable for open path analyzers.
\3\ NPAP, PM2.5 PEP and Pb-PEP must be implemented if data is used for NAAQS decisions otherwise implementation is at PSD reviewing authority
discretion.
\4\ Both primary and collocated sampler values are reported as raw data.
[81 FR 17290, Mar. 28, 2016]
[[Page 295]]
Sec. Appendix C to Part 58--Ambient Air Quality Monitoring Methodology
1.0 Purpose
2.0 SLAMS Ambient Air Monitoring Stations
3.0 NCore Ambient Air Monitoring Stations
4.0 Photochemical Assessment Monitoring Stations (PAMS)
5.0 Particulate Matter Episode Monitoring
6.0 References
1.0 Purpose
This appendix specifies the criteria pollutant monitoring methods
(manual methods or automated analyzers) which must be used in SLAMS and
NCore stations that are a subset of SLAMS.
2.0 SLAMS Ambient Air Monitoring Network
2.1 Except as otherwise provided in this appendix, a criteria
pollutant monitoring method used for making NAAQS decisions at a SLAMS
site must be a reference or equivalent method as defined in Sec. 50.1 of
this chapter.
2.1.1 Any NO2 FRM or FEM used for making primary NAAQS
decisions must be capable of providing hourly averaged concentration
data.
2.2 Reserved
2.3 Any manual method or analyzer purchased prior to cancellation
of its reference or equivalent method designation under Sec. 53.11 or
Sec. 53.16 of this chapter may be used at a SLAMS site following
cancellation for a reasonable period of time to be determined by the
Administrator.
2.4 Approval of Non-designated Continuous PM 2.5 Methods
as Approved Regional Methods (ARMs) Operated Within a Network of Sites.
A method for PM 2.5 that has not been designated as an FRM or
FEM as defined in Sec. 50.1 of this chapter may be approved as an ARM
for purposes of section 2.1 of this appendix at a particular site or
network of sites under the following stipulations.
2.4.1 The candidate ARM must be demonstrated to meet the
requirements for PM 2.5 Class III equivalent methods as
defined in subpart C of part 53 of this chapter. Specifically the
requirements for precision, correlation, and additive and multiplicative
bias apply. For purposes of this section 2.4, the following requirements
shall apply:
2.4.1.1 The candidate ARM shall be tested at the site(s) in which
it is intended to be used. For a network of sites operated by one
reporting agency or primary quality assurance organization, the testing
shall occur at a subset of sites to include one site in each MSA/CSA, up
to the first 2 highest population MSA/CSA and at least one rural area or
Micropolitan Statistical Area site. If the candidate ARM for a network
is already approved for purposes of this section in another agency's
network, subsequent testing shall minimally occur at one site in a MSA/
CSA and one rural area or Micropolitan Statistical Area. There shall be
no requirement for tests at any other sites.
2.4.1.2 For purposes of this section, a full year of testing may
begin and end in any season, so long as all seasons are covered.
2.4.1.3 No PM 10 samplers shall be required for the
test, as determination of the PM 2.5/PM 10 ratio
at the test site shall not be required.
2.4.1.4 The test specification for PM 2.5 Class III
equivalent method precision defined in subpart C of part 53 of this
chapter applies; however, there is no specific requirement that
collocated continuous monitors be operated for purposes of generating a
statistic for coefficient of variation (CV). To provide an estimate of
precision that meets the requirement identified in subpart C of part 53
of this chapter, agencies may cite peer-reviewed published data or data
in AQS that can be presented demonstrating the candidate ARM operated
will produce data that meets the specification for precision of Class
III PM 2.5 methods.
2.4.1.5 A minimum of 90 valid sample pairs per site for the year
with no less than 20 valid sample pairs per season must be generated for
use in demonstrating that additive bias, multiplicative bias and
correlation meet the comparability requirements specified in subpart C
of part 53 of this chapter. A valid sample pair may be generated with as
little as one valid FRM and one valid candidate ARM measurement per day.
2.4.1.6 For purposes of determining bias, FRM data with
concentrations less than 3 micrograms per cubic meter (mg/m\3\) may be
excluded. Exclusion of data does not result in failure of sample
completeness specified in this section.
2.4.1.7 Data transformations are allowed to be used to demonstrate
meeting the comparability requirements specified in subpart C of part 53
of this chapter. Data transformation may be linear or non-linear, but
must be applied in the same way to all sites used in the testing.
2.4.2 The monitoring agency wishing to use an ARM must develop and
implement appropriate quality assurance procedures for the method.
Additionally, the following procedures are required for the method:
2.4.2.1 The ARM must be consistently operated throughout the
network. Exceptions to a consistent operation must be approved according
to section 2.8 of this appendix;
2.4.2.2 The ARM must be operated on an hourly sampling frequency
capable of providing data suitable for aggregation into daily 24-hour
average measurements;
[[Page 296]]
2.4.2.3 The ARM must use an inlet and separation device, as needed,
that are already approved in either the reference method identified in
appendix L to part 50 of this chapter or under part 53 of this chapter
as approved for use on a PM 2.5 reference or equivalent
method. The only exceptions to this requirement are those methods that
by their inherent measurement principle may not need an inlet or
separation device that segregates the aerosol; and
2.4.2.4 The ARM must be capable of providing for flow audits,
unless by its inherent measurement principle, measured flow is not
required. These flow audits are to be performed on the frequency
identified in appendix A to this part.
2.4.2.5 If data transformations are used, they must be described in
the monitoring agencies Quality Assurance Project plan (or addendum to
QAPP). The QAPP shall describe how often (e.g., quarterly, yearly) and
under what provisions the data transformation will be updated. For
example, not meeting the data quality objectives for a site over a
season or year may be cause for recalculating a data transformation, but
by itself would not be cause for invalidating the data. Data
transformations must be applied prospectively, i.e., in real-time or
near real-time, to the data output from the PM 2.5 continuous
method. See reference 7 of this appendix.
2.4.3 The monitoring agency wishing to use the method must develop
and implement appropriate procedures for assessing and reporting the
precision and accuracy of the method comparable to the procedures set
forth in appendix A of this part for designated reference and equivalent
methods.
2.4.4 Assessments of data quality shall follow the same frequencies
and calculations as required under section 3 of appendix A to this part
with the following exceptions:
2.4.4.1 Collocation of ARM with FRM/FEM samplers must be maintained
at a minimum of 30 percent of the required SLAMS sites with a minimum of
1 per network;
2.4.4.2 All collocated FRM/FEM samplers must maintain a sample
frequency of at least 1 in 6 sample days;
2.4.4.3 Collocated FRM/FEM samplers shall be located at the design
value site, with the required FRM/FEM samplers deployed among the
largest MSA/CSA in the network, until all required FRM/FEM are deployed;
and
2.4.4.4 Data from collocated FRM/FEM are to be substituted for any
calendar quarter that an ARM method has incomplete data.
2.4.4.5 Collocation with an ARM under this part for purposes of
determining the coefficient of variation of the method shall be
conducted at a minimum of 7.5 percent of the sites with a minimum of 1
per network. This is consistent with the requirements in appendix A to
this part for one-half of the required collocation of FRM/FEM (15
percent) to be collocated with the same method.
2.4.4.6 Assessments of bias with an independent audit of the total
measurement system shall be conducted with the same frequency as an FEM
as identified in appendix A to this part.
2.4.5 Request for approval of a candidate ARM, that is not already
approved in another agency's network under this section, must meet the
general submittal requirements of section 2.7 of this appendix. Requests
for approval under this section when an ARM is already approved in
another agency's network are to be submitted to the EPA Regional
Administrator. Requests for approval under section 2.4 of this appendix
must include the following requirements:
2.4.5.1 A clear and unique description of the site(s) at which the
candidate ARM will be used and tested, and a description of the nature
or character of the site and the particulate matter that is expected to
occur there.
2.4.5.2 A detailed description of the method and the nature of the
sampler or analyzer upon which it is based.
2.4.5.3 A brief statement of the reason or rationale for requesting
the approval.
2.4.5.4 A detailed description of the quality assurance procedures
that have been developed and that will be implemented for the method.
2.4.5.5 A detailed description of the procedures for assessing the
precision and accuracy of the method that will be implemented for
reporting to AQS.
2.4.5.6 Test results from the comparability tests as required in
section 2.4.1 through 2.4.1.4 of this appendix.
2.4.5.7 Such further supplemental information as may be necessary
or helpful to support the required statements and test results.
2.4.6 Within 120 days after receiving a request for approval of the
use of an ARM at a particular site or network of sites under section 2.4
of this appendix, the Administrator will approve or disapprove the
method by letter to the person or agency requesting such approval. When
appropriate for methods that are already approved in another SLAMS
network, the EPA Regional Administrator has approval/disapproval
authority. In either instance, additional information may be requested
to assist with the decision.
2.5 [Reserved]
2.6 Use of Methods With Higher, Nonconforming Ranges in Certain
Geographical Areas.
2.6.1 [Reserved]
2.6.2 An analyzer may be used (indefinitely) on a range which
extends to concentrations higher than two times the upper limit
specified in table B-1 of part 53 of this chapter if:
[[Page 297]]
2.6.2.1 The analyzer has more than one selectable range and has
been designated as a reference or equivalent method on at least one of
its ranges, or has been approved for use under section 2.5 (which
applies to analyzers purchased before February 18, 1975);
2.6.2.2 The pollutant intended to be measured with the analyzer is
likely to occur in concentrations more than two times the upper range
limit specified in table B-1 of part 53 of this chapter in the
geographical area in which use of the analyzer is proposed; and
2.6.2.3 The Administrator determines that the resolution of the
range or ranges for which approval is sought is adequate for its
intended use. For purposes of this section (2.6), ``resolution'' means
the ability of the analyzer to detect small changes in concentration.
2.6.3 Requests for approval under section 2.6.2 of this appendix
must meet the submittal requirements of section 2.7. Except as provided
in section 2.7.3 of this appendix, each request must contain the
information specified in section 2.7.2 in addition to the following:
2.6.3.1 The range or ranges proposed to be used;
2.6.3.2 Test data, records, calculations, and test results as
specified in section 2.7.2.2 of this appendix for each range proposed to
be used;
2.6.3.3 An identification and description of the geographical area
in which use of the analyzer is proposed;
2.6.3.4 Data or other information demonstrating that the pollutant
intended to be measured with the analyzer is likely to occur in
concentrations more than two times the upper range limit specified in
table B-1 of part 53 of this chapter in the geographical area in which
use of the analyzer is proposed; and
2.6.3.5 Test data or other information demonstrating the resolution
of each proposed range that is broader than that permitted by section
2.5 of this appendix.
2.6.4 Any person who has obtained approval of a request under this
section (2.6.2) shall assure that the analyzer for which approval was
obtained is used only in the geographical area identified in the request
and only while operated in the range or ranges specified in the request.
2.7 Requests for Approval; Withdrawal of Approval.
2.7.1 Requests for approval under sections 2.4, 2.6.2, or 2.8 of
this appendix must be submitted to: Director, National Exposure Research
Laboratory (MD-D205-03), U.S. Environmental Protection Agency, Research
Triangle Park, North Carolina 27711. For ARM that are already approved
in another agency's network, subsequent requests for approval under
section 2.4 are to be submitted to the applicable EPA Regional
Administrator.
2.7.2 Except as provided in section 2.7.3 of this appendix, each
request must contain:
2.7.2.1 A statement identifying the analyzer (e.g., by serial
number) and the method of which the analyzer is representative (e.g., by
manufacturer and model number); and
2.7.2.2 Test data, records, calculations, and test results for the
analyzer (or the method of which the analyzer is representative) as
specified in subpart B, subpart C, or both (as applicable) of part 53 of
this chapter.
2.7.3 A request may concern more than one analyzer or geographical
area and may incorporate by reference any data or other information
known to EPA from one or more of the following:
2.7.3.1 An application for a reference or equivalent method
determination submitted to EPA for the method of which the analyzer is
representative, or testing conducted by the applicant or by EPA in
connection with such an application;
2.7.3.2 Testing of the method of which the analyzer is
representative at the initiative of the Administrator under Sec. 53.7 of
this chapter; or
2.7.3.3 A previous or concurrent request for approval submitted to
EPA under this section (2.7).
2.7.4 To the extent that such incorporation by reference provides
data or information required by this section (2.7) or by sections 2.4,
2.5, or 2.6 of this appendix, independent data or duplicative
information need not be submitted.
2.7.5 After receiving a request under this section (2.7), the
Administrator may request such additional testing or information or
conduct such tests as may be necessary in his judgment for a decision on
the request.
2.7.6 If the Administrator determines, on the basis of any
available information, that any of the determinations or statements on
which approval of a request under this section was based are invalid or
no longer valid, or that the requirements of section 2.4, 2.5, or 2.6,
as applicable, have not been met, he/she may withdraw the approval after
affording the person who obtained the approval an opportunity to submit
information and arguments opposing such action.
2.8 Modifications of Methods by Users.
2.8.1 Except as otherwise provided in this section, no reference
method, equivalent method, or ARM may be used in a SLAMS network if it
has been modified in a manner that could significantly alter the
performance characteristics of the method without prior approval by the
Administrator. For purposes of this section, ``alternative method''
means an analyzer, the use of which has been approved under section 2.4,
2.5, or 2.6 of this appendix or some combination thereof.
[[Page 298]]
2.8.2 Requests for approval under this section (2.8) must meet the
submittal requirements of sections 2.7.1 and 2.7.2.1 of this appendix.
2.8.3 Each request submitted under this section (2.8) must include:
2.8.3.1 A description, in such detail as may be appropriate, of the
desired modification;
2.8.3.2 A brief statement of the purpose(s) of the modification,
including any reasons for considering it necessary or advantageous;
2.8.3.3 A brief statement of belief concerning the extent to which
the modification will or may affect the performance characteristics of
the method; and
2.8.3.4 Such further information as may be necessary to explain and
support the statements required by sections 2.8.3.2 and 2.8.3.3.
2.8.4 The Administrator will approve or disapprove the modification
by letter to the person or agency requesting such approval within 75
days after receiving a request for approval under this section and any
further information that the applicant may be asked to provide.
2.8.5 A temporary modification that could alter the performance
characteristics of a reference, equivalent, or ARM may be made without
prior approval under this section if the method is not functioning or is
malfunctioning, provided that parts necessary for repair in accordance
with the applicable operation manual cannot be obtained within 45 days.
Unless such temporary modification is later approved under section 2.8.4
of this appendix, the temporarily modified method shall be repaired in
accordance with the applicable operation manual as quickly as
practicable but in no event later than 4 months after the temporary
modification was made, unless an extension of time is granted by the
Administrator. Unless and until the temporary modification is approved,
air quality data obtained with the method as temporarily modified must
be clearly identified as such when submitted in accordance with
Sec. 58.16 and must be accompanied by a report containing the
information specified in section 2.8.3 of this appendix. A request that
the Administrator approve a temporary modification may be submitted in
accordance with sections 2.8.1 through 2.8.4 of this appendix. In such
cases the request will be considered as if a request for prior approval
had been made.
2.9 Use of IMPROVE Samplers at a SLAMS Site. ``IMPROVE'' samplers
may be used in SLAMS for monitoring of regional background and regional
transport concentrations of fine particulate matter. The IMPROVE
samplers were developed for use in the Interagency Monitoring of
Protected Visual Environments (IMPROVE) network to characterize all of
the major components and many trace constituents of the particulate
matter that impair visibility in Federal Class I Areas. Descriptions of
the IMPROVE samplers and the data they collect are available in
references 4, 5, and 6 of this appendix.
2.10 Use of Pb-PM10 at SLAMS Sites.
2.10.1 The EPA Regional Administrator may approve the use of a Pb-
PM 10 FRM or Pb-PM 10 FEM sampler in lieu of a Pb-
TSP sampler as part of the network plan required under part 58.10(a)(4)
in the following cases.
2.10.1.1 Pb-PM 10 samplers can be approved for use at
the non-source-oriented sites required under paragraph 4.5(b) of
Appendix D to part 58 if there is no existing monitoring data indicating
that the maximum arithmetic 3-month mean Pb concentration (either Pb-TSP
or Pb-PM 10) at the site was equal to or greater than 0.10
micrograms per cubic meter during the previous 3 years.
2.10.1.2 Pb-PM 10 samplers can be approved for use at
source-oriented sites required under paragraph 4.5(a) if the monitoring
agency can demonstrate (through modeling or historic monitoring data
from the last 3 years) that Pb concentrations (either Pb-TSP or Pb-PM
10) will not equal or exceed 0.10 micrograms per cubic meter
on an arithmetic 3-month mean and the source is expected to emit a
substantial majority of its Pb in the fraction of PM with an aerodynamic
diameter of less than or equal to 10 micrometers.
2.10.2 The approval of a Pb-PM 10 sampler in lieu of a
Pb-TSP sampler as allowed for in paragraph 2.10.1 above will be revoked
if measured Pb-PM 10 concentrations equal or exceed 0.10
micrograms per cubic meter on an arithmetic 3-month mean. Monitoring
agencies will have up to 6 months from the end of the 3-month period in
which the arithmetic 3-month Pb-PM 10 mean concentration
equaled or exceeded 0.10 micrograms per cubic meter to install and begin
operation of a Pb-TSP sampler at the site.
3.0 NCore Ambient Air Monitoring Stations
3.1 Methods employed in NCore multipollutant sites used to measure
SO2, CO, NO2, O3, PM 2.5, or
PM 10-2.5 must be reference or equivalent methods as defined
in Sec. 50.1 of this chapter, or an ARM as defined in section 2.4 of
this appendix, for any monitors intended for comparison with applicable
NAAQS.
3.2 If alternative SO2, CO, NO2,
O3, PM 2.5, or PM 10-2.5 monitoring
methodologies are proposed for monitors not intended for NAAQS
comparison, such techniques must be detailed in the network description
required by Sec. 58.10 and subsequently approved by the Administrator.
Examples of locations that are not intended to be compared to the NAAQS
may be rural background and transport sites or areas where the
concentration of the pollutant is so low that it would be
[[Page 299]]
more useful to operate a higher sensitivity method that is not an FRM or
FEM.
4.0 Photochemical Assessment Monitoring Stations (PAMS)
4.1 Methods used for O3 monitoring at PAMS must be
automated reference or equivalent methods as defined in Sec. 50.1 of
this chapter.
4.2 Methods used for NO, NO2 and NOX
monitoring at PAMS should be automated reference or equivalent methods
as defined for NO2 in Sec. 50.1 of this chapter. If
alternative NO, NO2 or NOX monitoring
methodologies are proposed, such techniques must be detailed in the
network description required by Sec. 58.10 and subsequently approved by
the Administrator.
4.3 Methods for meteorological measurements and speciated VOC
monitoring are included in the guidance provided in references 2 and 3
of this appendix. If alternative VOC monitoring methodology (including
the use of new or innovative technologies), which is not included in the
guidance, is proposed, it must be detailed in the network description
required by Sec. 58.10 and subsequently approved by the Administrator.
5.0 Particulate Matter Episode Monitoring
5.1 For short-term measurements of PM 10 during air
pollution episodes (see Sec. 51.152 of this chapter) the measurement
method must be:
5.1.1 Either the ``Staggered PM 10'' method or the ``PM
10 Sampling Over Short Sampling Times'' method, both of which
are based on the reference method for PM 10 and are described
in reference 1: or
5.1.2 Any other method for measuring PM 10:
5.1.2.1 Which has a measurement range or ranges appropriate to
accurately measure air pollution episode concentration of PM
10,
5.1.2.2 Which has a sample period appropriate for short-term PM
10 measurements, and
5.1.2.3 For which a quantitative relationship to a reference or
equivalent method for PM 10 has been established at the use
site. Procedures for establishing a quantitative site-specific
relationship are contained in reference 1.
5.2 PM 10 methods other than the reference method are
not covered under the quality assessment requirements of appendix to
this part. Therefore, States must develop and implement their own
quality assessment procedures for those methods allowed under this
section 4. These quality assessment procedures should be similar or
analogous to those described in section 3 of appendix A to this part for
the PM 10 reference method.
6.0 References
1. Pelton, D. J. Guideline for Particulate Episode Monitoring
Methods, GEOMET Technologies, Inc., Rockville, MD. Prepared for U.S.
Environmental Protection Agency, Research Triangle Park, NC. EPA
Contract No. 68-02-3584. EPA 450/4-83-005. February 1983.
2. Technical Assistance Document For Sampling and Analysis of Ozone
Precursors. Atmospheric Research and Exposure Assessment Laboratory,
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711.
EPA 600/8-91-215. October 1991.
3. Quality Assurance Handbook for Air Pollution Measurement Systems:
Volume IV. Meteorological Measurements. Atmospheric Research and
Exposure Assessment Laboratory, U.S. Environmental Protection Agency,
Research Triangle Park, NC 27711. EPA 600/4-90-0003. August 1989.
4. Eldred, R.A., Cahill, T.A., Wilkenson, L.K., et al., Measurements
of fine particles and their chemical components in the IMPROVE/NPS
networks, in Transactions of the International Specialty Conference on
Visibility and Fine Particles, Air and Waste Management Association:
Pittsburgh, PA, 1990; pp. 187-196.
5. Sisler, J.F., Huffman, D., and Latimer, D.A.; Spatial and
temporal patterns and the chemical composition of the haze in the United
States: An analysis of data from the IMPROVE network, 1988-1991, ISSN
No. 0737-5253-26, National Park Service, Ft. Collins, CO, 1993.
6. Eldred, R.A., Cahill, T.A., Pitchford, M., and Malm, W.C.;
IMPROVE--a new remote area particulate monitoring system for visibility
studies, Proceedings of the 81st Annual Meeting of the Air Pollution
Control Association, Dallas, Paper 88-54.3, 1988.
7. Data Quality Objectives (DQOs) for Relating Federal Reference
Method (FRM) and Continuous PM 2.5 Measurements to Report an
Air Quality Index (AQI). Office of Air Quality Planning and Standards,
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711.
EPA 454/B-02-2002. November 2002.
[71 FR 61313, Oct. 17, 2006, as amended at 73 FR 67061, Nov. 12, 2008;
75 FR 6534, Feb. 9, 2010]
Sec. Appendix D to Part 58--Network Design Criteria for Ambient Air
Quality Monitoring
1. Monitoring Objectives and Spatial Scales
2. General Monitoring Requirements
3. Design Criteria for NCore Sites
4. Pollutant-Specific Design Criteria for SLAMS Sites
5. Design Criteria for Photochemical Assessment Monitoring Stations
(PAMS)
6. References
[[Page 300]]
1. Monitoring Objectives and Spatial Scales
The purpose of this appendix is to describe monitoring objectives
and general criteria to be applied in establishing the required SLAMS
ambient air quality monitoring stations and for choosing general
locations for additional monitoring sites. This appendix also describes
specific requirements for the number and location of FRM, FEM, and ARM
sites for specific pollutants, NCore multipollutant sites, PM
10 mass sites, PM 2.5 mass sites, chemically-
speciated PM 2.5 sites, and O3 precursor
measurements sites (PAMS). These criteria will be used by EPA in
evaluating the adequacy of the air pollutant monitoring networks.
1.1 Monitoring Objectives. The ambient air monitoring networks must
be designed to meet three basic monitoring objectives. These basic
objectives are listed below. The appearance of any one objective in the
order of this list is not based upon a prioritized scheme. Each
objective is important and must be considered individually.
(a) Provide air pollution data to the general public in a timely
manner. Data can be presented to the public in a number of attractive
ways including through air quality maps, newspapers, Internet sites, and
as part of weather forecasts and public advisories.
(b) Support compliance with ambient air quality standards and
emissions strategy development. Data from FRM, FEM, and ARM monitors for
NAAQS pollutants will be used for comparing an area's air pollution
levels against the NAAQS. Data from monitors of various types can be
used in the development of attainment and maintenance plans. SLAMS, and
especially NCore station data, will be used to evaluate the regional air
quality models used in developing emission strategies, and to track
trends in air pollution abatement control measures' impact on improving
air quality. In monitoring locations near major air pollution sources,
source-oriented monitoring data can provide insight into how well
industrial sources are controlling their pollutant emissions.
(c) Support for air pollution research studies. Air pollution data
from the NCore network can be used to supplement data collected by
researchers working on health effects assessments and atmospheric
processes, or for monitoring methods development work.
1.1.1 In order to support the air quality management work indicated
in the three basic air monitoring objectives, a network must be designed
with a variety of types of monitoring sites. Monitoring sites must be
capable of informing managers about many things including the peak air
pollution levels, typical levels in populated areas, air pollution
transported into and outside of a city or region, and air pollution
levels near specific sources. To summarize some of these sites, here is
a listing of six general site types:
(a) Sites located to determine the highest concentrations expected
to occur in the area covered by the network.
(b) Sites located to measure typical concentrations in areas of high
population density.
(c) Sites located to determine the impact of significant sources or
source categories on air quality.
(d) Sites located to determine general background concentration
levels.
(e) Sites located to determine the extent of regional pollutant
transport among populated areas; and in support of secondary standards.
(f) Sites located to measure air pollution impacts on visibility,
vegetation damage, or other welfare-based impacts.
1.1.2 This appendix contains criteria for the basic air monitoring
requirements. The total number of monitoring sites that will serve the
variety of data needs will be substantially higher than these minimum
requirements provide. The optimum size of a particular network involves
trade-offs among data needs and available resources. This regulation
intends to provide for national air monitoring needs, and to lend
support for the flexibility necessary to meet data collection needs of
area air quality managers. The EPA, State, and local agencies will
periodically collaborate on network design issues through the network
assessment process outlined in Sec. 58.10.
1.1.3 This appendix focuses on the relationship between monitoring
objectives, site types, and the geographic location of monitoring sites.
Included are a rationale and set of general criteria for identifying
candidate site locations in terms of physical characteristics which most
closely match a specific monitoring objective. The criteria for more
specifically locating the monitoring site, including spacing from
roadways and vertical and horizontal probe and path placement, are
described in appendix E to this part.
1.2 Spatial Scales. (a) To clarify the nature of the link between
general monitoring objectives, site types, and the physical location of
a particular monitor, the concept of spatial scale of representativeness
is defined. The goal in locating monitors is to correctly match the
spatial scale represented by the sample of monitored air with the
spatial scale most appropriate for the monitoring site type, air
pollutant to be measured, and the monitoring objective.
(b) Thus, spatial scale of representativeness is described in terms
of the physical dimensions of the air parcel nearest to a monitoring
site throughout which actual pollutant concentrations are reasonably
similar.
[[Page 301]]
The scales of representativeness of most interest for the monitoring
site types described above are as follows:
(1) Microscale--Defines the concentrations in air volumes associated
with area dimensions ranging from several meters up to about 100 meters.
(2) Middle scale--Defines the concentration typical of areas up to
several city blocks in size with dimensions ranging from about 100
meters to 0.5 kilometer.
(3) Neighborhood scale--Defines concentrations within some extended
area of the city that has relatively uniform land use with dimensions in
the 0.5 to 4.0 kilometers range. The neighborhood and urban scales
listed below have the potential to overlap in applications that concern
secondarily formed or homogeneously distributed air pollutants.
(4) Urban scale--Defines concentrations within an area of city-like
dimensions, on the order of 4 to 50 kilometers. Within a city, the
geographic placement of sources may result in there being no single site
that can be said to represent air quality on an urban scale.
(5) Regional scale--Defines usually a rural area of reasonably
homogeneous geography without large sources, and extends from tens to
hundreds of kilometers.
(6) National and global scales--These measurement scales represent
concentrations characterizing the nation and the globe as a whole.
(c) Proper siting of a monitor requires specification of the
monitoring objective, the types of sites necessary to meet the
objective, and then the desired spatial scale of representativeness. For
example, consider the case where the objective is to determine NAAQS
compliance by understanding the maximum ozone concentrations for an
area. Such areas would most likely be located downwind of a metropolitan
area, quite likely in a suburban residential area where children and
other susceptible individuals are likely to be outdoors. Sites located
in these areas are most likely to represent an urban scale of
measurement. In this example, physical location was determined by
considering ozone precursor emission patterns, public activity, and
meteorological characteristics affecting ozone formation and dispersion.
Thus, spatial scale of representativeness was not used in the selection
process but was a result of site location.
(d) In some cases, the physical location of a site is determined
from joint consideration of both the basic monitoring objective and the
type of monitoring site desired, or required by this appendix. For
example, to determine PM 2.5 concentrations which are typical
over a geographic area having relatively high PM 2.5
concentrations, a neighborhood scale site is more appropriate. Such a
site would likely be located in a residential or commercial area having
a high overall PM 2.5 emission density but not in the
immediate vicinity of any single dominant source. Note that in this
example, the desired scale of representativeness was an important factor
in determining the physical location of the monitoring site.
(e) In either case, classification of the monitor by its type and
spatial scale of representativeness is necessary and will aid in
interpretation of the monitoring data for a particular monitoring
objective (e.g., public reporting, NAAQS compliance, or research
support).
(f) Table D-1 of this appendix illustrates the relationship between
the various site types that can be used to support the three basic
monitoring objectives, and the scales of representativeness that are
generally most appropriate for that type of site.
Table D-1 of Appendix D to Part 58--Relationship Between Site Types and
Scales of Representativeness
------------------------------------------------------------------------
Site type Appropriate siting scales
------------------------------------------------------------------------
1. Highest concentration.................. Micro, middle, neighborhood
(sometimes urban or
regional for secondarily
formed pollutants).
2. Population oriented.................... Neighborhood, urban.
3. Source impact.......................... Micro, middle, neighborhood.
4. General/background & regional transport Urban, regional.
5. Welfare-related impacts................ Urban, regional.
------------------------------------------------------------------------
2. General Monitoring Requirements
(a) The National ambient air monitoring system includes several
types of monitoring stations, each targeting a key data collection need
and each varying in technical sophistication.
(b) Research grade sites are platforms for scientific studies,
either involved with health or welfare impacts, measurement methods
development, or other atmospheric studies. These sites may be
collaborative efforts between regulatory agencies and researchers with
specific scientific objectives for each. Data from these sites might be
collected with both traditional and experimental techniques, and data
collection might involve specific laboratory analyses not common in
routine measurement programs. The research grade sites are not required
by regulation; however, they are included here due to their important
role in supporting the air quality management program.
(c) The NCore multipollutant sites are sites that measure multiple
pollutants in order to provide support to integrated air quality
management data needs. NCore sites include both neighborhood and urban
scale measurements in general, in a selection of metropolitan areas and
a limited number of more rural locations. Continuous monitoring
[[Page 302]]
methods are to be used at the NCore sites when available for a pollutant
to be measured, as it is important to have data collected over common
time periods for integrated analyses. NCore multipollutant sites are
intended to be long-term sites useful for a variety of applications
including air quality trends analyses, model evaluation, and tracking
metropolitan area statistics. As such, the NCore sites should be placed
away from direct emission sources that could substantially impact the
ability to detect area-wide concentrations. The Administrator must
approve the NCore sites.
(d) Monitoring sites designated as SLAMS sites, but not as NCore
sites, are intended to address specific air quality management
interests, and as such, are frequently single-pollutant measurement
sites. The EPA Regional Administrator must approve the SLAMS sites.
(e) This appendix uses the statistical-based definitions for
metropolitan areas provided by the Office of Management and Budget and
the Census Bureau. These areas are referred to as metropolitan
statistical areas (MSA), micropolitan statistical areas, core-based
statistical areas (CBSA), and combined statistical areas (CSA). A CBSA
associated with at least one urbanized area of 50,000 population or
greater is termed a Metropolitan Statistical Area (MSA). A CBSA
associated with at least one urbanized cluster of at least 10,000
population or greater is termed a Micropolitan Statistical Area. CSA
consist of two or more adjacent CBSA. In this appendix, the term MSA is
used to refer to a Metropolitan Statistical Area. By definition, both
MSA and CSA have a high degree of integration; however, many such areas
cross State or other political boundaries. MSA and CSA may also cross
more than one air shed. The EPA recognizes that State or local agencies
must consider MSA/CSA boundaries and their own political boundaries and
geographical characteristics in designing their air monitoring networks.
The EPA recognizes that there may be situations where the EPA Regional
Administrator and the affected State or local agencies may need to
augment or to divide the overall MSA/CSA monitoring responsibilities and
requirements among these various agencies to achieve an effective
network design. Full monitoring requirements apply separately to each
affected State or local agency in the absence of an agreement between
the affected agencies and the EPA Regional Administrator.
3. Design Criteria for NCore Sites
(a) Each State (i.e. the fifty States, District of Columbia, Puerto
Rico, and the Virgin Islands) is required to operate at least one NCore
site. States may delegate this requirement to a local agency. States
with many MSAs often also have multiple air sheds with unique
characteristics and, often, elevated air pollution. These States
include, at a minimum, California, Florida, Illinois, Michigan, New
York, North Carolina, Ohio, Pennsylvania, and Texas. These States are
required to identify one to two additional NCore sites in order to
account for their unique situations. These additional sites shall be
located to avoid proximity to large emission sources. Any State or local
agency can propose additional candidate NCore sites or modifications to
these requirements for approval by the Administrator. The NCore
locations should be leveraged with other multipollutant air monitoring
sites including PAMS sites, National Air Toxics Trends Stations (NATTS)
sites, CASTNET sites, and STN sites. Site leveraging includes using the
same monitoring platform and equipment to meet the objectives of the
variety of programs where possible and advantageous.
(b) The NCore sites must measure, at a minimum, PM2.5
particle mass using continuous and integrated/filter-based samplers,
speciated PM2.5, PM10-2.5 particle mass,
O3, SO2, CO, NO/NOY, wind speed, wind
direction, relative humidity, and ambient temperature.
(1) Although the measurement of NOy is required in
support of a number of monitoring objectives, available commercial
instruments may indicate little difference in their measurement of
NOy compared to the conventional measurement of
NOX, particularly in areas with relatively fresh sources of
nitrogen emissions. Therefore, in areas with negligible expected
difference between NOy and NOX measured
concentrations, the Administrator may allow for waivers that permit
NOX monitoring to be substituted for the required
NOy monitoring at applicable NCore sites.
(2) The EPA recognizes that, in some cases, the physical location of
the NCore site may not be suitable for representative meteorological
measurements due to the site's physical surroundings. It is also
possible that nearby meteorological measurements may be able to fulfill
this data need. In these cases, the requirement for meteorological
monitoring can be waived by the Administrator.
(c) [Reserved]
(d) Siting criteria are provided for urban and rural locations.
Sites with significant historical records that do not meet siting
criteria may be approved as NCore by the Administrator. Sites with the
suite of NCore measurements that are explicitly designed for other
monitoring objectives are exempt from these siting criteria (e.g., a
near-roadway site).
(1) Urban NCore stations are to be generally located at urban or
neighborhood scale to provide representative concentrations of exposure
expected throughout the metropolitan area; however, a middle-scale
[[Page 303]]
site may be acceptable in cases where the site can represent many such
locations throughout a metropolitan area.
(2) Rural NCore stations are to be located to the maximum extent
practicable at a regional or larger scale away from any large local
emission source, so that they represent ambient concentrations over an
extensive area.
4. Pollutant-Specific Design Criteria for SLAMS Sites
4.1 Ozone (O3) Design Criteria. (a) State, and where
appropriate, local agencies must operate O3 sites for various
locations depending upon area size (in terms of population and
geographic characteristics) and typical peak concentrations (expressed
in percentages below, or near the O3 NAAQS). Specific SLAMS
O3 site minimum requirements are included in Table D-2 of
this appendix. The NCore sites are expected to complement the
O3 data collection that takes place at single-pollutant SLAMS
sites, and both types of sites can be used to meet the network minimum
requirements. The total number of O3 sites needed to support
the basic monitoring objectives of public data reporting, air quality
mapping, compliance, and understanding O3-related atmospheric
processes will include more sites than these minimum numbers required in
Table D-2 of this appendix. The EPA Regional Administrator and the
responsible State or local air monitoring agency must work together to
design and/or maintain the most appropriate O3 network to
service the variety of data needs in an area.
Table D-2 of Appendix D to Part 58-- SLAMS Minimum O3 Monitoring
Requirements
------------------------------------------------------------------------
Most recent 3-year Most recent 3-year
design value design value
MSA population 1 2 concentrations concentrations
$85% of any O3 <85% of any O3
NAAQS \3\ NAAQS \3 4\
------------------------------------------------------------------------
>10 million..................... 4 2
4-10 million.................... 3 1
350,000-<4 million.............. 2 1
50,000-<350,000 \5\............. 1 0
------------------------------------------------------------------------
\1\ Minimum monitoring requirements apply to the Metropolitan
statistical area (MSA).
\2\ Population based on latest available census figures.
\3\ The ozone (O3) National Ambient Air Quality Standards (NAAQS) levels
and forms are defined in 40 CFR part 50.
\4\ These minimum monitoring requirements apply in the absence of a
design value.
\5\ Metropolitan statistical areas (MSA) must contain an urbanized area
of 50,000 or more population.
(b) Within an O3 network, at least one O3 site
for each MSA, or CSA if multiple MSAs are involved, must be designed to
record the maximum concentration for that particular metropolitan area.
More than one maximum concentration site may be necessary in some areas.
Table D-2 of this appendix does not account for the full breadth of
additional factors that would be considered in designing a complete
O3 monitoring program for an area. Some of these additional
factors include geographic size, population density, complexity of
terrain and meteorology, adjacent O3 monitoring programs, air
pollution transport from neighboring areas, and measured air quality in
comparison to all forms of the O3 NAAQS (i.e., 8-hour and 1-
hour forms). Networks must be designed to account for all of these area
characteristics. Network designs must be re-examined in periodic network
assessments. Deviations from the above O3 requirements are
allowed if approved by the EPA Regional Administrator.
(c) The appropriate spatial scales for O3 sites are
neighborhood, urban, and regional. Since O3 requires
appreciable formation time, the mixing of reactants and products occurs
over large volumes of air, and this reduces the importance of monitoring
small scale spatial variability.
(1) Neighborhood scale--Measurements in this category represent
conditions throughout some reasonably homogeneous urban sub-region, with
dimensions of a few kilometers. Homogeneity refers to pollutant
concentrations. Neighborhood scale data will provide valuable
information for developing, testing, and revising concepts and models
that describe urban/regional concentration patterns. These data will be
useful to the understanding and definition of processes that take
periods of hours to occur and hence involve considerable mixing and
transport. Under stagnation conditions, a site located in the
neighborhood scale may also experience peak concentration levels within
a metropolitan area.
(2) Urban scale--Measurement in this scale will be used to estimate
concentrations over large portions of an urban area with dimensions of
several kilometers to 50 or more kilometers. Such measurements will be
used for determining trends, and designing area-wide control strategies.
The urban scale sites would also be used to measure high concentrations
downwind of the area having the highest precursor emissions.
(3) Regional scale--This scale of measurement will be used to typify
concentrations over large portions of a metropolitan area and even
larger areas with dimensions of as much as hundreds of kilometers. Such
measurements will be useful for assessing the O3 that is
transported to and from a metropolitan area, as well as background
concentrations. In some situations, particularly when considering very
large metropolitan areas with complex source mixtures, regional scale
sites can be the maximum concentration location.
(d) EPA's technical guidance documents on O3 monitoring
network design should be used to evaluate the adequacy of each existing
O3 monitor, to relocate an existing site, or to locate any
new O3 sites.
[[Page 304]]
(e) For locating a neighborhood scale site to measure typical city
concentrations, a reasonably homogeneous geographical area near the
center of the region should be selected which is also removed from the
influence of major NOX sources. For an urban scale site to
measure the high concentration areas, the emission inventories should be
used to define the extent of the area of important nonmethane
hydrocarbons and NOX emissions. The meteorological conditions
that occur during periods of maximum photochemical activity should be
determined. These periods can be identified by examining the
meteorological conditions that occur on the highest O3 air
quality days. Trajectory analyses, an evaluation of wind and emission
patterns on high O3 days, can also be useful in evaluating an
O3 monitoring network. In areas without any previous
O3 air quality measurements, meteorological and O3
precursor emissions information would be useful.
(f) Once the meteorological and air quality data are reviewed, the
prospective maximum concentration monitor site should be selected in a
direction from the city that is most likely to observe the highest
O3 concentrations, more specifically, downwind during periods
of photochemical activity. In many cases, these maximum concentration
O3 sites will be located 10 to 30 miles or more downwind from
the urban area where maximum O3 precursor emissions
originate. The downwind direction and appropriate distance should be
determined from historical meteorological data collected on days which
show the potential for producing high O3 levels. Monitoring
agencies are to consult with their EPA Regional Office when considering
siting a maximum O3 concentration site.
(g) In locating a neighborhood scale site which is to measure high
concentrations, the same procedures used for the urban scale are
followed except that the site should be located closer to the areas
bordering on the center city or slightly further downwind in an area of
high density population.
(h) For regional scale background monitoring sites, similar
meteorological analysis as for the maximum concentration sites may also
inform the decisions for locating regional scale sites. Regional scale
sites may be located to provide data on O3 transport between
cities, as background sites, or for other data collection purposes.
Consideration of both area characteristics, such as meteorology, and the
data collection objectives, such as transport, must be jointly
considered for a regional scale site to be useful.
(i) Ozone monitoring is required at SLAMS monitoring sites only
during the seasons of the year that are conducive to O3
formation (i.e., ``ozone season'') as described below in Table D-3 of
this appendix. These O3 seasons are also identified in the
AQS files on a state-by-state basis. Deviations from the O3
monitoring season must be approved by the EPA Regional Administrator.
These requests will be reviewed by Regional Administrators taking into
consideration, at a minimum, the frequency of out-of-season
O3 NAAQS exceedances, as well as occurrences of the Moderate
air quality index level, regional consistency, and logistical issues
such as site access. Any deviations based on the Regional
Administrator's waiver of requirements must be described in the annual
monitoring network plan and updated in AQS. Changes to the O3
monitoring season requirements in Table D-3 revoke all previously
approved Regional Administrator waivers. Requests for monitoring season
deviations must be accompanied by relevant supporting information.
Information on how to analyze O3 data to support a change to
the O3 season in support of the 8-hour standard for the
entire network in a specific state can be found in reference 8 to this
appendix. Ozone monitors at NCore stations are required to be operated
year-round (January to December).
Table D-3 \1\ to Appendix D of part 58. Ozone Monitoring Season by state
------------------------------------------------------------------------
State Begin Month End Month
------------------------------------------------------------------------
Alabama......................... March............. October.
Alaska.......................... April............. October.
Arizona......................... January........... December.
Arkansas........................ March............. November.
California...................... January........... December.
Colorado........................ January........... December.
Connecticut..................... March............. September.
Delaware........................ March............. October.
District of Columbia............ March............. October.
Florida......................... January........... December.
Georgia......................... March............. October.
Hawaii.......................... January........... December.
Idaho........................... April............. September.
Illinois........................ March............. October.
Indiana......................... March............. October.
Iowa............................ March............. October.
Kansas.......................... March............. October.
Kentucky........................ March............. October.
Louisiana (Northern) AQCR 019, March............. October.
022.
Louisiana (Southern) AQCR 106... January........... December.
Maine........................... April............. September.
Maryland........................ March............. October.
Massachusetts................... March............. September.
Michigan........................ March............. October.
Minnesota....................... March............. October.
Mississippi..................... March............. October.
Missouri........................ March............. October.
Montana......................... April............. September.
Nebraska........................ March............. October.
Nevada.......................... January........... December.
New Hampshire................... March............. September.
New Jersey...................... March............. October.
New Mexico...................... January........... December.
New York........................ March............. October.
North Carolina.................. March............. October.
North Dakota.................... March............. September.
Ohio............................ March............. October.
Oklahoma........................ March............. November.
Oregon.......................... May............... September.
Pennsylvania.................... March............. October.
[[Page 305]]
Puerto Rico..................... January........... December.
Rhode Island.................... March............. September.
South Carolina.................. March............. October.
South Dakota.................... March............. October.
Tennessee....................... March............. October.
Texas (Northern) AQCR 022, 210, March............. November.
211, 212, 215, 217, 218.
Texas (Southern) AQCR 106, 153, January........... December.
213, 214, 216.
Utah............................ January........... December.
Vermont......................... April............. September.
Virginia........................ March............. October.
Washington...................... May............... September.
West Virginia................... March............. October.
Wisconsin....................... March............. October 15.
Wyoming......................... January........... September.
American Samoa.................. January........... December.
Guam............................ January........... December.
Virgin Islands.................. January........... December.
------------------------------------------------------------------------
\1\ The required O3 monitoring season for NCore stations is January
through December.
4.2 Carbon Monoxide (CO) Design Criteria
4.2.1 General Requirements. (a) Except as provided in subsection
(b), one CO monitor is required to operate collocated with one required
near-road NO2 monitor, as required in Section 4.3.2 of this
part, in CBSAs having a population of 1,000,000 or more persons. If a
CBSA has more than one required near-road NO2 monitor, only
one CO monitor is required to be collocated with a near-road
NO2 monitor within that CBSA.
(b) If a state provides quantitative evidence demonstrating that
peak ambient CO concentrations would occur in a near-road location which
meets microscale siting criteria in Appendix E of this part but is not a
near-road NO2 monitoring site, then the EPA Regional
Administrator may approve a request by a state to use such an alternate
near-road location for a CO monitor in place of collocating a monitor at
near-road NO2 monitoring site.
4.2.2 Regional Administrator Required Monitoring. (a) The Regional
Administrators, in collaboration with states, may require additional CO
monitors above the minimum number of monitors required in 4.2.1 of this
part, where the minimum monitoring requirements are not sufficient to
meet monitoring objectives. The Regional Administrator may require, at
his/her discretion, additional monitors in situations where data or
other information suggest that CO concentrations may be approaching or
exceeding the NAAQS. Such situations include, but are not limited to,
(1) characterizing impacts on ground-level concentrations due to
stationary CO sources, (2) characterizing CO concentrations in downtown
areas or urban street canyons, and (3) characterizing CO concentrations
in areas that are subject to high ground level CO concentrations
particularly due to or enhanced by topographical and meteorological
impacts. The Regional Administrator and the responsible State or local
air monitoring agency shall work together to design and maintain the
most appropriate CO network to address the data needs for an area, and
include all monitors under this provision in the annual monitoring
network plan.
4.2.3 CO Monitoring Spatial Scales. (a) Microscale and middle scale
measurements are the most useful site classifications for CO monitoring
sites since most people have the potential for exposure on these scales.
Carbon monoxide maxima occur primarily in areas near major roadways and
intersections with high traffic density and often in areas with poor
atmospheric ventilation.
(1) Microscale--Microscale measurements typically represent areas in
close proximity to major roadways, within street canyons, over
sidewalks, and in some cases, point and area sources. Emissions on
roadways result in high ground level CO concentrations at the
microscale, where concentration gradients generally exhibit a marked
decrease with increasing downwind distance from major roads, or within
downtown areas including urban street canyons. Emissions from stationary
point and area sources, and non-road sources may, under certain plume
conditions, result in high ground level concentrations at the
microscale.
(2) Middle scale--Middle scale measurements are intended to
represent areas with dimensions from 100 meters to 0.5 kilometer. In
certain cases, middle scale measurements may apply to areas that have a
total length of several kilometers, such as ``line'' emission source
areas. This type of emission sources areas would include air quality
along a commercially developed street or shopping plaza, freeway
corridors, parking lots and feeder streets.
(3) Neighborhood scale--Neighborhood scale measurements are intended
to represent areas with dimensions from 0.5 kilometers to 4 kilometers.
Measurements of CO in this category would represent conditions
throughout some reasonably urban sub-regions. In some cases,
neighborhood scale data may represent not only the immediate
neighborhood spatial area, but also other similar such areas across the
larger urban area. Neighborhood scale measurements provide relative
area-wide concentration data which are useful for providing relative
urban background concentrations, supporting health and scientific
research, and for use in modeling.
4.3 Nitrogen Dioxide (NO2) Design Criteria
4.3.1 General Requirements
[[Page 306]]
(a) State and, where appropriate, local agencies must operate a
minimum number of required NO2 monitoring sites as described
below.
4.3.2 Requirement for Near-road NO2 Monitors
(a) Within the NO2 network, there must be one microscale
near-road NO2 monitoring station in each CBSA with a
population of 1,000,000 or more persons to monitor a location of
expected maximum hourly concentrations sited near a major road with high
AADT counts as specified in paragraph 4.3.2(a)(1) of this appendix. An
additional near-road NO2 monitoring station is required for
any CBSA with a population of 2,500,000 persons or more, or in any CBSA
with a population of 1,000,000 or more persons that has one or more
roadway segments with 250,000 or greater AADT counts to monitor a second
location of expected maximum hourly concentrations. CBSA populations
shall be based on the latest available census figures.
(1) The near-road NO2 monitoring sites shall be selected
by ranking all road segments within a CBSA by AADT and then identifying
a location or locations adjacent to those highest ranked road segments,
considering fleet mix, roadway design, congestion patterns, terrain, and
meteorology, where maximum hourly NO2 concentrations are
expected to occur and siting criteria can be met in accordance with
appendix E of this part. Where a state or local air monitoring agency
identifies multiple acceptable candidate sites where maximum hourly
NO2 concentrations are expected to occur, the monitoring
agency shall consider the potential for population exposure in the
criteria utilized to select the final site location. Where one CBSA is
required to have two near-road NO2 monitoring stations, the
sites shall be differentiated from each other by one or more of the
following factors: fleet mix; congestion patterns; terrain; geographic
area within the CBSA; or different route, interstate, or freeway
designation.
(b) Measurements at required near-road NO2 monitor sites
utilizing chemiluminescence FRMs must include at a minimum: NO,
NO2, and NOX.
4.3.3 Requirement for Area-wide NO2 Monitoring
(a) Within the NO2 network, there must be one monitoring
station in each CBSA with a population of 1,000,000 or more persons to
monitor a location of expected highest NO2 concentrations
representing the neighborhood or larger spatial scales. PAMS sites
collecting NO2 data that are situated in an area of expected
high NO2 concentrations at the neighborhood or larger spatial
scale may be used to satisfy this minimum monitoring requirement when
the NO2 monitor is operated year round. Emission inventories
and meteorological analysis should be used to identify the appropriate
locations within a CBSA for locating required area-wide NO2
monitoring stations. CBSA populations shall be based on the latest
available census figures.
4.3.4 Regional Administrator Required Monitoring
(a) The Regional Administrators, in collaboration with States, must
require a minimum of forty additional NO2 monitoring stations
nationwide in any area, inside or outside of CBSAs, above the minimum
monitoring requirements, with a primary focus on siting these monitors
in locations to protect susceptible and vulnerable populations. The
Regional Administrators, working with States, may also consider
additional factors described in paragraph (b) below to require monitors
beyond the minimum network requirement.
(b) The Regional Administrators may require monitors to be sited
inside or outside of CBSAs in which:
(i) The required near-road monitors do not represent all locations
of expected maximum hourly NO2 concentrations in an area and
NO2 concentrations may be approaching or exceeding the NAAQS
in that area;
(ii) Areas that are not required to have a monitor in accordance
with the monitoring requirements and NO2 concentrations may
be approaching or exceeding the NAAQS; or
(iii) The minimum monitoring requirements for area-wide monitors are
not sufficient to meet monitoring objectives.
(c) The Regional Administrator and the responsible State or local
air monitoring agency should work together to design and/or maintain the
most appropriate NO2 network to address the data needs for an
area, and include all monitors under this provision in the annual
monitoring network plan.
4.3.5 NO2 Monitoring Spatial Scales
(a) The most important spatial scale for near-road NO2
monitoring stations to effectively characterize the maximum expected
hourly NO2 concentration due to mobile source emissions on
major roadways is the microscale. The most important spatial scales for
other monitoring stations characterizing maximum expected hourly
NO2 concentrations are the microscale and middle scale. The
most important spatial scale for area-wide monitoring of high
NO2 concentrations is the neighborhood scale.
(1) Microscale--This scale represents areas in close proximity to
major roadways or point and area sources. Emissions from roadways result
in high ground level NO2 concentrations at the microscale,
where concentration gradients generally exhibit a marked decrease with
increasing downwind distance from major roads. As noted in appendix E of
this part, near-road NO2 monitoring stations are required to
be within 50 meters of target road segments in order to measure expected
peak concentrations. Emissions from stationary point and area sources,
and non-road sources may, under
[[Page 307]]
certain plume conditions, result in high ground level concentrations at
the microscale. The microscale typically represents an area impacted by
the plume with dimensions extending up to approximately 100 meters.
(2) Middle scale--This scale generally represents air quality levels
in areas up to several city blocks in size with dimensions on the order
of approximately 100 meters to 500 meters. The middle scale may include
locations of expected maximum hourly concentrations due to proximity to
major NO2 point, area, and/or non-road sources.
(3) Neighborhood scale--The neighborhood scale represents air
quality conditions throughout some relatively uniform land use areas
with dimensions in the 0.5 to 4.0 kilometer range. Emissions from
stationary point and area sources may, under certain plume conditions,
result in high NO2 concentrations at the neighborhood scale.
Where a neighborhood site is located away from immediate NO2
sources, the site may be useful in representing typical air quality
values for a larger residential area, and therefore suitable for
population exposure and trends analyses.
(4) Urban scale--Measurements in this scale would be used to
estimate concentrations over large portions of an urban area with
dimensions from 4 to 50 kilometers. Such measurements would be useful
for assessing trends in area-wide air quality, and hence, the
effectiveness of large scale air pollution control strategies. Urban
scale sites may also support other monitoring objectives of the
NO2 monitoring network identified in paragraph 4.3.4 above.
4.3.6 NOy Monitoring
(a) NO/NOy measurements are included within the NCore
multi-pollutant site requirements and the PAMS program. These NO/
NOy measurements will produce conservative estimates for
NO2 that can be used to ensure tracking continued compliance
with the NO2 NAAQS. NO/NOy monitors are used at
these sites because it is important to collect data on total reactive
nitrogen species for understanding O3 photochemistry.
4.4 Sulfur Dioxide (SO2) Design Criteria.
4.4.1 General Requirements. (a) State and, where appropriate, local
agencies must operate a minimum number of required SO2
monitoring sites as described below.
4.4.2 Requirement for Monitoring by the Population Weighted
Emissions Index. (a) The population weighted emissions index (PWEI)
shall be calculated by States for each core based statistical area
(CBSA) they contain or share with another State or States for use in the
implementation of or adjustment to the SO2 monitoring
network. The PWEI shall be calculated by multiplying the population of
each CBSA, using the most current census data or estimates, and the
total amount of SO2 in tons per year emitted within the CBSA
area, using an aggregate of the most recent county level emissions data
available in the National Emissions Inventory for each county in each
CBSA. The resulting product shall be divided by one million, providing a
PWEI value, the units of which are million persons-tons per year. For
any CBSA with a calculated PWEI value equal to or greater than
1,000,000, a minimum of three SO2 monitors are required
within that CBSA. For any CBSA with a calculated PWEI value equal to or
greater than 100,000, but less than 1,000,000, a minimum of two
SO2 monitors are required within that CBSA. For any CBSA with
a calculated PWEI value equal to or greater than 5,000, but less than
100,000, a minimum of one SO2 monitor is required within that
CBSA.
(1) The SO2 monitoring site(s) required as a result of
the calculated PWEI in each CBSA shall satisfy minimum monitoring
requirements if the monitor is sited within the boundaries of the parent
CBSA and is one of the following site types (as defined in section 1.1.1
of this appendix): population exposure, highest concentration, source
impacts, general background, or regional transport. SO2
monitors at NCore stations may satisfy minimum monitoring requirements
if that monitor is located within a CBSA with minimally required
monitors under this part. Any monitor that is sited outside of a CBSA
with minimum monitoring requirements to assess the highest concentration
resulting from the impact of significant sources or source categories
existing within that CBSA shall be allowed to count towards minimum
monitoring requirements for that CBSA.
4.4.3 Regional Administrator Required Monitoring. (a) The Regional
Administrator may require additional SO2 monitoring stations
above the minimum number of monitors required in 4.4.2 of this part,
where the minimum monitoring requirements are not sufficient to meet
monitoring objectives. The Regional Administrator may require, at his/
her discretion, additional monitors in situations where an area has the
potential to have concentrations that may violate or contribute to the
violation of the NAAQS, in areas impacted by sources which are not
conducive to modeling, or in locations with susceptible and vulnerable
populations, which are not monitored under the minimum monitoring
provisions described above. The Regional Administrator and the
responsible State or local air monitoring agency shall work together to
design and/or maintain the most appropriate SO2 network to
provide sufficient data to meet monitoring objectives.
4.4.4 SO2 Monitoring Spatial Scales. (a) The appropriate
spatial scales for SO2 SLAMS monitors are the microscale,
middle, neighborhood, and urban scales. Monitors sited at the
microscale, middle, and neighborhood
[[Page 308]]
scales are suitable for determining maximum hourly concentrations for
SO2. Monitors sited at urban scales are useful for
identifying SO2 transport, trends, and, if sited upwind of
local sources, background concentrations.
(1) Microscale--This scale would typify areas in close proximity to
SO2 point and area sources. Emissions from stationary point
and area sources, and non-road sources may, under certain plume
conditions, result in high ground level concentrations at the
microscale. The microscale typically represents an area impacted by the
plume with dimensions extending up to approximately 100 meters.
(2) Middle scale--This scale generally represents air quality levels
in areas up to several city blocks in size with dimensions on the order
of approximately 100 meters to 500 meters. The middle scale may include
locations of expected maximum short-term concentrations due to proximity
to major SO2 point, area, and/or non-road sources.
(3) Neighborhood scale--The neighborhood scale would characterize
air quality conditions throughout some relatively uniform land use areas
with dimensions in the 0.5 to 4.0 kilometer range. Emissions from
stationary point and area sources may, under certain plume conditions,
result in high SO2 concentrations at the neighborhood scale.
Where a neighborhood site is located away from immediate SO2
sources, the site may be useful in representing typical air quality
values for a larger residential area, and therefore suitable for
population exposure and trends analyses.
(4) Urban scale--Measurements in this scale would be used to
estimate concentrations over large portions of an urban area with
dimensions from 4 to 50 kilometers. Such measurements would be useful
for assessing trends in area-wide air quality, and hence, the
effectiveness of large scale air pollution control strategies. Urban
scale sites may also support other monitoring objectives of the
SO2 monitoring network such as identifying trends, and when
monitors are sited upwind of local sources, background concentrations.
4.4.5 NCore Monitoring. (a) SO2 measurements are
included within the NCore multipollutant site requirements as described
in paragraph (3)(b) of this appendix. NCore-based SO2
measurements are primarily used to characterize SO2 trends
and assist in understanding SO2 transport across
representative areas in urban or rural locations and are also used for
comparison with the SO2 NAAQS. SO2 monitors at
NCore sites that exist in CBSAs with minimum monitoring requirements per
section 4.4.2 above shall be allowed to count towards those minimum
monitoring requirements.
4.5 Lead (Pb) Design Criteria. (a) State and, where appropriate,
local agencies are required to conduct ambient air Pb monitoring near Pb
sources which are expected to or have been shown to contribute to a
maximum Pb concentration in ambient air in excess of the NAAQS, taking
into account the logistics and potential for population exposure. At a
minimum, there must be one source-oriented SLAMS site located to measure
the maximum Pb concentration in ambient air resulting from each non-
airport Pb source which emits 0.50 or more tons per year and from each
airport which emits 1.0 or more tons per year based on either the most
recent National Emission Inventory (http://www.epa.gov/ttn/chief/
eiinformation.html) or other scientifically justifiable methods and data
(such as improved emissions factors or site-specific data) taking into
account logistics and the potential for population exposure.
(i) One monitor may be used to meet the requirement in paragraph
4.5(a) for all sources involved when the location of the maximum Pb
concentration due to one Pb source is expected to also be impacted by Pb
emissions from a nearby source (or multiple sources). This monitor must
be sited, taking into account logistics and the potential for population
exposure, where the Pb concentration from all sources combined is
expected to be at its maximum.
(ii) The Regional Administrator may waive the requirement in
paragraph 4.5(a) for monitoring near Pb sources if the State or, where
appropriate, local agency can demonstrate the Pb source will not
contribute to a maximum Pb concentration in ambient air in excess of 50
percent of the NAAQS (based on historical monitoring data, modeling, or
other means). The waiver must be renewed once every 5 years as part of
the network assessment required under Sec. 58.10(d).
(iii) State and, where appropriate, local agencies are required to
conduct ambient air Pb monitoring near each of the airports listed in
Table D-3A for a period of 12 consecutive months commencing no later
than December 27, 2011. Monitors shall be sited to measure the maximum
Pb concentration in ambient air, taking into account logistics and the
potential for population exposure, and shall use an approved Pb-TSP
Federal Reference Method or Federal Equivalent Method. Any monitor that
exceeds 50 percent of the Pb NAAQS on a rolling 3-month average (as
determined according to 40 CFR part 50, Appendix R) shall become a
required monitor under paragraph 4.5(c) of this Appendix, and shall
continue to monitor for Pb unless a waiver is granted allowing it to
stop operating as allowed by the provisions in paragraph 4.5(a)(ii) of
this appendix. Data collected shall be submitted to the Air Quality
System database according to the requirements of 40 CFR part 58.16.
[[Page 309]]
Table D-3A Airports To Be Monitored for Lead
------------------------------------------------------------------------
Airport County State
------------------------------------------------------------------------
Merrill Field...................... Anchorage............. AK
Pryor Field Regional............... Limestone............. AL
Palo Alto Airport of Santa Clara Santa Clara........... CA
County.
McClellan-Palomar.................. San Diego............. CA
Reid-Hillview...................... Santa Clara........... CA
Gillespie Field.................... San Diego............. CA
San Carlos......................... San Mateo............. CA
Nantucket Memorial................. Nantucket............. MA
Oakland County International....... Oakland............... MI
Republic........................... Suffolk............... NY
Brookhaven......................... Suffolk............... NY
Stinson Municipal.................. Bexar................. TX
Northwest Regional................. Denton................ TX
Harvey Field....................... Snohomish............. WA
Auburn Municipal................... King.................. WA
------------------------------------------------------------------------
(b) [Reserved]
(c) The EPA Regional Administrator may require additional monitoring
beyond the minimum monitoring requirements contained in paragraph 4.5(a)
of this appendix where the likelihood of Pb air quality violations is
significant or where the emissions density, topography, or population
locations are complex and varied. The EPA Regional Administrators may
require additional monitoring at locations including, but not limited
to, those near existing additional industrial sources of Pb, recently
closed industrial sources of Pb, airports where piston-engine aircraft
emit Pb, and other sources of re-entrained Pb dust.
(d) The most important spatial scales for source-oriented sites to
effectively characterize the emissions from point sources are microscale
and middle scale. The most important spatial scale for non-source-
oriented sites to characterize typical lead concentrations in urban
areas is the neighborhood scale. Monitor siting should be conducted in
accordance with 4.5(a)(i) with respect to source-oriented sites.
(1) Microscale--This scale would typify areas in close proximity to
lead point sources. Emissions from point sources such as primary and
secondary lead smelters, and primary copper smelters may under
fumigation conditions likewise result in high ground level
concentrations at the microscale. In the latter case, the microscale
would represent an area impacted by the plume with dimensions extending
up to approximately 100 meters. Pb monitors in areas where the public
has access, and particularly children have access, are desirable because
of the higher sensitivity of children to exposures of elevated Pb
concentrations.
(2) Middle scale--This scale generally represents Pb air quality
levels in areas up to several city blocks in size with dimensions on the
order of approximately 100 meters to 500 meters. The middle scale may
for example, include schools and playgrounds in center city areas which
are close to major Pb point sources. Pb monitors in such areas are
desirable because of the higher sensitivity of children to exposures of
elevated Pb concentrations (reference 3 of this appendix). Emissions
from point sources frequently impact on areas at which single sites may
be located to measure concentrations representing middle spatial scales.
(3) Neighborhood scale--The neighborhood scale would characterize
air quality conditions throughout some relatively uniform land use areas
with dimensions in the 0.5 to 4.0 kilometer range. Sites of this scale
would provide monitoring data in areas representing conditions where
children live and play. Monitoring in such areas is important since this
segment of the population is more susceptible to the effects of Pb.
Where a neighborhood site is located away from immediate Pb sources, the
site may be very useful in representing typical air quality values for a
larger residential area, and therefore suitable for population exposure
and trends analyses.
(d) Technical guidance is found in references 4 and 5 of this
appendix. These documents provide additional guidance on locating sites
to meet specific urban area monitoring objectives and should be used in
locating new sites or evaluating the adequacy of existing sites.
4.6 Particulate Matter (PM 10) Design
Criteria.(a) Table D-4 indicates the approximate number of
permanent stations required in MSAs to characterize national and
regional PM 10 air quality trends and geographical patterns.
The number of PM 10 stations in areas where MSA populations
exceed 1,000,000 must be in the range from 2 to 10 stations, while in
low population urban areas, no more than two stations are required. A
range of monitoring stations is specified in Table D-4 because sources
of pollutants and local control efforts can vary from one part of the
country to another and therefore, some flexibility is allowed in
selecting the actual number of stations in any one locale. Modifications
from these PM 10 monitoring requirements must be approved by
the Regional Administrator.
Table D-4 of Appendix D to Part 58--PM 10 Minimum Monitoring Requirements (Approximate Number of Stations Per
MSA) \1\
----------------------------------------------------------------------------------------------------------------
High concentration Medium Low concentration
Population category \2\ concentration \3\ 4 5
----------------------------------------------------------------------------------------------------------------
>1,000,000.......................................... 6-10 4-8 2-4
[[Page 310]]
500,000-1,000,000................................... 4-8 2-4 1-2
250,000-500,000..................................... 3-4 1-2 0-1
100,000-250,000..................................... 1-2 0-1 0
----------------------------------------------------------------------------------------------------------------
\1\ Selection of urban areas and actual numbers of stations per area will be jointly determined by EPA and the
State agency.
\2\ High concentration areas are those for which ambient PM10 data show ambient concentrations exceeding the PM
10 NAAQS by 20 percent or more.
\3\ Medium concentration areas are those for which ambient PM10 data show ambient concentrations exceeding 80
percent of the PM 10 NAAQS.
\4\ Low concentration areas are those for which ambient PM10 data show ambient concentrations less than 80
percent of the PM 10 NAAQS.
\5\ These minimum monitoring requirements apply in the absence of a design value.
(b) Although microscale monitoring may be appropriate in some
circumstances, the most important spatial scales to effectively
characterize the emissions of PM 10 from both mobile and
stationary sources are the middle scales and neighborhood scales.
(1) Microscale--This scale would typify areas such as downtown
street canyons, traffic corridors, and fence line stationary source
monitoring locations where the general public could be exposed to
maximum PM 10 concentrations. Microscale particulate matter
sites should be located near inhabited buildings or locations where the
general public can be expected to be exposed to the concentration
measured. Emissions from stationary sources such as primary and
secondary smelters, power plants, and other large industrial processes
may, under certain plume conditions, likewise result in high ground
level concentrations at the microscale. In the latter case, the
microscale would represent an area impacted by the plume with dimensions
extending up to approximately 100 meters. Data collected at microscale
sites provide information for evaluating and developing hot spot control
measures.
(2) Middle scale--Much of the short-term public exposure to coarse
fraction particles (PM 10) is on this scale and on the
neighborhood scale. People moving through downtown areas or living near
major roadways or stationary sources, may encounter particulate
pollution that would be adequately characterized by measurements of this
spatial scale. Middle scale PM 10 measurements can be
appropriate for the evaluation of possible short-term exposure public
health effects. In many situations, monitoring sites that are
representative of micro-scale or middle-scale impacts are not unique and
are representative of many similar situations. This can occur along
traffic corridors or other locations in a residential district. In this
case, one location is representative of a neighborhood of small scale
sites and is appropriate for evaluation of long-term or chronic effects.
This scale also includes the characteristic concentrations for other
areas with dimensions of a few hundred meters such as the parking lot
and feeder streets associated with shopping centers, stadia, and office
buildings. In the case of PM 10, unpaved or seldomly swept
parking lots associated with these sources could be an important source
in addition to the vehicular emissions themselves.
(3) Neighborhood scale--Measurements in this category represent
conditions throughout some reasonably homogeneous urban sub-region with
dimensions of a few kilometers and of generally more regular shape than
the middle scale. Homogeneity refers to the particulate matter
concentrations, as well as the land use and land surface
characteristics. In some cases, a location carefully chosen to provide
neighborhood scale data would represent not only the immediate
neighborhood but also neighborhoods of the same type in other parts of
the city. Neighborhood scale PM 10 sites provide information
about trends and compliance with standards because they often represent
conditions in areas where people commonly live and work for extended
periods. Neighborhood scale data could provide valuable information for
developing, testing, and revising models that describe the larger-scale
concentration patterns, especially those models relying on spatially
smoothed emission fields for inputs. The neighborhood scale measurements
could also be used for neighborhood comparisons within or between
cities.
4.7 Fine Particulate Matter (PM 2.5) Design Criteria.
4.7.1 General Requirements. (a) State, and where applicable local,
agencies must operate the minimum number of required PM 2.5
SLAMS sites listed in Table D-5 of this appendix. The NCore sites are
expected to complement the PM 2.5 data collection that takes
place at non-NCore SLAMS sites, and both types of sites can be used to
meet the minimum PM 2.5 network requirements. Deviations from
these PM 2.5 monitoring requirements must be approved by the
EPA Regional Administrator.
[[Page 311]]
Table D-5 of Appendix D to Part 58--PM 2.5 Minimum Monitoring
Requirements
------------------------------------------------------------------------
Most recent 3-year Most recent 3-year
design value $85% design value <85%
MSA population 1 2 of any PM 2.5 of any PM 2.5
NAAQS \3\ NAAQS 3 4
------------------------------------------------------------------------
>1,000,000...................... 3 2
500,000-1,000,000............... 2 1
50,000-<500,000 \5\............. 1 0
------------------------------------------------------------------------
\1\ Minimum monitoring requirements apply to the Metropolitan
statistical area (MSA).
\2\ Population based on latest available census figures.
\3\ The PM 2.5 National Ambient Air Quality Standards (NAAQS) levels and
forms are defined in 40 CFR part 50.
\4\ These minimum monitoring requirements apply in the absence of a
design value.
\5\ Metropolitan statistical areas (MSA) must contain an urbanized area
of 50,000 or more population.
(b) Specific Design Criteria for PM 2.5. The required
monitoring stations or sites must be sited to represent area-wide air
quality. These sites can include sites collocated at PAMS. These
monitoring stations will typically be at neighborhood or urban-scale;
however, micro-or middle-scale PM 2.5 monitoring sites that
represent many such locations throughout a metropolitan area are
considered to represent area-wide air quality.
(1) At least one monitoring station is to be sited at neighborhood
or larger scale in an area of expected maximum concentration.
(2) For CBSAs with a population of 1,000,000 or more persons, at
least one PM 2.5 monitor is to be collocated at a near-road
NO2 station required in section 4.3.2(a) of this appendix.
(3) For areas with additional required SLAMS, a monitoring station
is to be sited in an area of poor air quality.
(4) Additional technical guidance for siting PM 2.5
monitors is provided in references 6 and 7 of this appendix.
(c) The most important spatial scale to effectively characterize the
emissions of particulate matter from both mobile and stationary sources
is the neighborhood scale for PM 2.5. For purposes of
establishing monitoring sites to represent large homogenous areas other
than the above scales of representativeness and to characterize regional
transport, urban or regional scale sites would also be needed. Most PM
2.5 monitoring in urban areas should be representative of a
neighborhood scale.
(1) Micro-scale. This scale would typify areas such as downtown
street canyons and traffic corridors where the general public would be
exposed to maximum concentrations from mobile sources. In some
circumstances, the micro-scale is appropriate for particulate sites.
SLAMS sites measured at the micro-scale level should, however, be
limited to urban sites that are representative of long-term human
exposure and of many such microenvironments in the area. In general,
micro-scale particulate matter sites should be located near inhabited
buildings or locations where the general public can be expected to be
exposed to the concentration measured. Emissions from stationary sources
such as primary and secondary smelters, power plants, and other large
industrial processes may, under certain plume conditions, likewise
result in high ground level concentrations at the micro-scale. In the
latter case, the micro-scale would represent an area impacted by the
plume with dimensions extending up to approximately 100 meters. Data
collected at micro-scale sites provide information for evaluating and
developing hot spot control measures.
(2) Middle scale--People moving through downtown areas, or living
near major roadways, encounter particle concentrations that would be
adequately characterized by this spatial scale. Thus, measurements of
this type would be appropriate for the evaluation of possible short-term
exposure public health effects of particulate matter pollution. In many
situations, monitoring sites that are representative of microscale or
middle-scale impacts are not unique and are representative of many
similar situations. This can occur along traffic corridors or other
locations in a residential district. In this case, one location is
representative of a number of small scale sites and is appropriate for
evaluation of long-term or chronic effects. This scale also includes the
characteristic concentrations for other areas with dimensions of a few
hundred meters such as the parking lot and feeder streets associated
with shopping centers, stadia, and office buildings.
(3) Neighborhood scale--Measurements in this category would
represent conditions throughout some reasonably homogeneous urban sub-
region with dimensions of a few kilometers and of generally more regular
shape than the middle scale. Homogeneity refers to the particulate
matter concentrations, as well as the land use and land surface
characteristics. Much of the PM 2.5 exposures are expected to
be associated with this scale of measurement. In some cases, a location
carefully chosen to provide neighborhood scale data would represent the
immediate neighborhood as well as neighborhoods of the same type in
other parts of the city. PM 2.5 sites of this kind provide
good information about trends and compliance with standards because they
often represent conditions in areas where people commonly live and work
for periods comparable to those specified in the NAAQS. In general, most
PM 2.5 monitoring in urban areas should have this scale.
(4) Urban scale--This class of measurement would be used to
characterize the particulate matter concentration over an entire
metropolitan or rural area ranging in size from 4 to 50 kilometers. Such
measurements would be useful for assessing trends in area-wide air
quality, and hence, the effectiveness of
[[Page 312]]
large scale air pollution control strategies. Community-oriented PM
2.5 sites may have this scale.
(5) Regional scale--These measurements would characterize conditions
over areas with dimensions of as much as hundreds of kilometers. As
noted earlier, using representative conditions for an area implies some
degree of homogeneity in that area. For this reason, regional scale
measurements would be most applicable to sparsely populated areas. Data
characteristics of this scale would provide information about larger
scale processes of particulate matter emissions, losses and transport.
PM 2.5 transport contributes to elevated particulate
concentrations and may affect multiple urban and State entities with
large populations such as in the eastern United States. Development of
effective pollution control strategies requires an understanding at
regional geographical scales of the emission sources and atmospheric
processes that are responsible for elevated PM 2.5 levels and
may also be associated with elevated O3 and regional haze.
4.7.2 Requirement for Continuous PM 2.5 Monitoring. The
State, or where appropriate, local agencies must operate continuous PM
2.5 analyzers equal to at least one-half (round up) the
minimum required sites listed in Table D-5 of this appendix. At least
one required continuous analyzer in each MSA must be collocated with one
of the required FRM/FEM/ARM monitors, unless at least one of the
required FRM/FEM/ARM monitors is itself a continuous FEM or ARM monitor
in which case no collocation requirement applies. State and local air
monitoring agencies must use methodologies and quality assurance/quality
control (QA/QC) procedures approved by the EPA Regional Administrator
for these required continuous analyzers.
4.7.3 Requirement for PM 2.5 Background and Transport
Sites. Each State shall install and operate at least one PM
2.5 site to monitor for regional background and at least one
PM 2.5 site to monitor regional transport. These monitoring
sites may be at community-oriented sites and this requirement may be
satisfied by a corresponding monitor in an area having similar air
quality in another State. State and local air monitoring agencies must
use methodologies and QA/QC procedures approved by the EPA Regional
Administrator for these sites. Methods used at these sites may include
non-federal reference method samplers such as IMPROVE or continuous PM
2.5 monitors.
4.7.4 PM 2.5 Chemical Speciation Site Requirements. Each
State shall continue to conduct chemical speciation monitoring and
analyses at sites designated to be part of the PM 2.5
Speciation Trends Network (STN). The selection and modification of these
STN sites must be approved by the Administrator. The PM 2.5
chemical speciation urban trends sites shall include analysis for
elements, selected anions and cations, and carbon. Samples must be
collected using the monitoring methods and the sampling schedules
approved by the Administrator. Chemical speciation is encouraged at
additional sites where the chemically resolved data would be useful in
developing State implementation plans and supporting atmospheric or
health effects related studies.
4.8 Coarse Particulate Matter (PM 10-2.5) Design
Criteria.
4.8.1 General Monitoring Requirements. (a) The only required
monitors for PM 10-2.5 are those required at NCore Stations.
(b) Although microscale monitoring may be appropriate in some
circumstances, middle and neighborhood scale measurements are the most
important station classifications for PM 10-2.5 to assess the
variation in coarse particle concentrations that would be expected
across populated areas that are in proximity to large emissions sources.
(1) Microscale--This scale would typify relatively small areas
immediately adjacent to: Industrial sources; locations experiencing
ongoing construction, redevelopment, and soil disturbance; and heavily
traveled roadways. Data collected at microscale stations would
characterize exposure over areas of limited spatial extent and
population exposure, and may provide information useful for evaluating
and developing source-oriented control measures.
(2) Middle scale--People living or working near major roadways or
industrial districts encounter particle concentrations that would be
adequately characterized by this spatial scale. Thus, measurements of
this type would be appropriate for the evaluation of public health
effects of coarse particle exposure. Monitors located in populated areas
that are nearly adjacent to large industrial point sources of coarse
particles provide suitable locations for assessing maximum population
exposure levels and identifying areas of potentially poor air quality.
Similarly, monitors located in populated areas that border dense
networks of heavily-traveled traffic are appropriate for assessing the
impacts of resuspended road dust. This scale also includes the
characteristic concentrations for other areas with dimensions of a few
hundred meters such as school grounds and parks that are nearly adjacent
to major roadways and industrial point sources, locations exhibiting
mixed residential and commercial development, and downtown areas
featuring office buildings, shopping centers, and stadiums.
(3) Neighborhood scale--Measurements in this category would
represent conditions throughout some reasonably homogeneous urban sub-
region with dimensions of a few kilometers and of generally more regular
shape than the middle scale. Homogeneity
[[Page 313]]
refers to the particulate matter concentrations, as well as the land use
and land surface characteristics. This category includes suburban
neighborhoods dominated by residences that are somewhat distant from
major roadways and industrial districts but still impacted by urban
sources, and areas of diverse land use where residences are interspersed
with commercial and industrial neighborhoods. In some cases, a location
carefully chosen to provide neighborhood scale data would represent the
immediate neighborhood as well as neighborhoods of the same type in
other parts of the city. The comparison of data from middle scale and
neighborhood scale sites would provide valuable information for
determining the variation of PM 10-2.5 levels across urban
areas and assessing the spatial extent of elevated concentrations caused
by major industrial point sources and heavily traveled roadways.
Neighborhood scale sites would provide concentration data that are
relevant to informing a large segment of the population of their
exposure levels on a given day.
4.8.2 [Reserved]
5. Network Design for Photochemical Assessment Monitoring Stations
(PAMS) and Enhanced Ozone Monitoring
(a) State and local monitoring agencies are required to collect and
report PAMS measurements at each NCore site required under paragraph
3(a) of this appendix located in a CBSA with a population of 1,000,000
or more, based on the latest available census figures.
(b) PAMS measurements include:
(1) Hourly averaged speciated volatile organic compounds (VOCs);
(2) Three 8-hour averaged carbonyl samples per day on a 1 in 3 day
schedule, or hourly averaged formaldehyde;
(3) Hourly averaged O3;
(4) Hourly averaged nitrogen oxide (NO), true nitrogen dioxide
(NO2), and total reactive nitrogen (NOy);
(5) Hourly averaged ambient temperature;
(6) Hourly vector-averaged wind direction;
(7) Hourly vector-averaged wind speed;
(8) Hourly average atmospheric pressure;
(9) Hourly averaged relative humidity;
(10) Hourly precipitation;
(11) Hourly averaged mixing-height;
(12) Hourly averaged solar radiation; and
(13) Hourly averaged ultraviolet radiation.
(c) The EPA Regional Administrator may grant a waiver to allow the
collection of required PAMS measurements at an alternative location
where the monitoring agency can demonstrate that the alternative
location will provide representative data useful for regional or
national scale modeling and the tracking of trends in O3
precursors. The alternative location can be outside of the CBSA or
outside of the monitoring agencies jurisdiction. In cases where the
alternative location crosses jurisdictions the waiver will be contingent
on the monitoring agency responsible for the alternative location
including the required PAMS measurements in their annual monitoring plan
required under Sec. 58.10 and continued successful collection of PAMS
measurements at the alternative location. This waiver can be revoked in
cases where the Regional Administrator determines the PAMS measurements
are not being collected at the alternate location in compliance with
paragraph (b) of this section.
(d) The EPA Regional Administrator may grant a waiver to allow
speciated VOC measurements to be made as three 8-hour averages on every
third day during the PAMS season as an alternative to 1-hour average
speciated VOC measurements in cases where the primary VOC compounds are
not well measured using continuous technology due to low detectability
of the primary VOC compounds or for logistical and other programmatic
constraints.
(e) The EPA Regional Administrator may grant a waiver to allow
representative meteorological data from nearby monitoring stations to be
used to meet the meteorological requirements in paragraph 5(b) where the
monitoring agency can demonstrate the data is collected in a manner
consistent with EPA quality assurance requirements for these
measurements.
(f) The EPA Regional Administrator may grant a waiver from the
requirement to collect PAMS measurements in locations where CBSA-wide
O3 design values are equal to or less than 85% of the 8-hour
O3 NAAQS and where the location is not considered by the
Regional Administrator to be an important upwind or downwind location
for other O3 nonattainment areas.
(g) At a minimum, the monitoring agency shall collect the required
PAMS measurements during the months of June, July, and August.
(h) States with Moderate and above 8-hour O3
nonattainment areas and states in the Ozone Transport Region as defined
in 40 CFR 51.900 shall develop and implement an Enhanced Monitoring Plan
(EMP) detailing enhanced O3 and O3 precursor
monitoring activities to be performed. The EMP shall be submitted to the
EPA Regional Administrator no later than October 1, 2019 or two years
following the effective date of a designation to a classification of
Moderate or above O3 nonattainment, whichever is later. At a
minimum, the EMP shall be reassessed and approved as part of the 5-year
network assessments required under 40 CFR 58.10(d). The EMP will include
monitoring activities deemed important to understanding the
O3 problems in the state. Such activities may include, but
are not limited to, the following:
[[Page 314]]
(1) Additional O3 monitors beyond the minimally required
under paragraph 4.1 of this appendix,
(2) Additional NOX or NOy monitors beyond
those required under 4.3 of this appendix,
(3) Additional speciated VOC measurements including data gathered
during different periods other than required under paragraph 5(g) of
this appendix, or locations other than those required under paragraph
5(a) of this appendix, and
(4) Enhanced upper air measurements of meteorology or pollution
concentrations.
6. References
1. Ball, R.J. and G.E. Anderson. Optimum Site Exposure Criteria for
SO2 Monitoring. The Center for the Environment and Man, Inc.,
Hartford, CT. Prepared for U.S. Environmental Protection Agency,
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-013. April
1977.
2. Ludwig, F.F., J.H.S. Kealoha, and E. Shelar. Selecting Sites for
Carbon Monoxide Monitoring. Stanford Research Institute, Menlo Park, CA.
Prepared for U.S. Environmental Protection Agency, Research Triangle
Park, NC. EPA Publication No. EPA-450/3-75-077, September 1975.
3. Air Quality Criteria for Lead. Office of Research and
Development, U.S. Environmental Protection Agency, Washington D.C. EPA
Publication No. 600/8-89-049F. August 1990. (NTIS document numbers PB87-
142378 and PB91-138420.)
4. Optimum Site Exposure Criteria for Lead Monitoring. PEDCo
Environmental, Inc. Cincinnati, OH. Prepared for U.S. Environmental
Protection Agency, Research Triangle Park, NC. EPA Contract No. 68-02-
3013. May 1981.
5. Guidance for Conducting Ambient Air Monitoring for Lead Around
Point Sources. Office of Air Quality Planning and Standards, U.S.
Environmental Protection Agency, Research Triangle Park, NC. EPA-454/R-
92-009. May 1997.
6. Koch, R.C. and H.E. Rector. Optimum Network Design and Site
Exposure Criteria for Particulate Matter. GEOMET Technologies, Inc.,
Rockville, MD. Prepared for U.S. Environmental Protection Agency,
Research Triangle Park, NC. EPA Contract No. 68-02-3584. EPA 450/4-87-
009. May 1987.
7. Watson et al. Guidance for Network Design and Optimum Site
Exposure for PM 2.5 and PM 10. Prepared for U.S.
Environmental Protection Agency, Research Triangle Park, NC. EPA-454/R-
99-022, December 1997.
8. Guideline for Selecting and Modifying the Ozone Monitoring Season
Based on an 8-Hour Ozone Standard. Prepared for U.S. Environmental
Protection Agency, RTP, NC. EPA-454/R-98-001, June 1998.
9. Photochemical Assessment Monitoring Stations Implementation
Manual. Office of Air Quality Planning and Standards, U.S. Environmental
Protection Agency, Research Triangle Park, NC. EPA-454/B-93-051. March
1994.
[71 FR 61316, Oct. 17, 2006, as amended at 72 FR 32211, June 12, 2007;
73 FR 67062, Nov. 12, 2008; 75 FR 6534, Feb. 9, 2010; 75 FR 35602, June
22, 2010; 75 FR 81137, Dec. 27, 2010; 76 FR 54342, Aug. 31, 2011; 78 FR
3284, Jan. 15, 2013; 80 FR 65466, Oct. 26, 2015; 81 FR 17298, Mar. 28,
2016; 81 FR 96388, Dec. 30, 2016]
Sec. Appendix E to Part 58--Probe and Monitoring Path Siting Criteria
for Ambient Air Quality Monitoring
1. Introduction.
2. Horizontal and Vertical Placement.
3. Spacing from Minor Sources.
4. Spacing From Obstructions.
5. Spacing From Trees.
6. Spacing From Roadways.
7. Cumulative Interferences on a Monitoring Path.
8. Maximum Monitoring Path Length.
9. Probe Material and Pollutant Sample Residence Time.
10. Waiver Provisions.
11. Summary.
12. References.
1. Introduction
(a) This appendix contains specific location criteria applicable to
SLAMS, NCore, and PAMS ambient air quality monitoring probes, inlets,
and optical paths after the general location has been selected based on
the monitoring objectives and spatial scale of representation discussed
in appendix D to this part. Adherence to these siting criteria is
necessary to ensure the uniform collection of compatible and comparable
air quality data.
(b) The probe and monitoring path siting criteria discussed in this
appendix must be followed to the maximum extent possible. It is
recognized that there may be situations where some deviation from the
siting criteria may be necessary. In any such case, the reasons must be
thoroughly documented in a written request for a waiver that describes
how and why the proposed siting deviates from the criteria. This
documentation should help to avoid later questions about the validity of
the resulting monitoring data. Conditions under which the EPA would
consider an application for waiver from these siting criteria are
discussed in section 10 of this appendix.
(c) The pollutant-specific probe and monitoring path siting criteria
generally apply to all spatial scales except where noted otherwise.
Specific siting criteria that are phrased with a ``must'' are defined as
requirements and exceptions must be approved through
[[Page 315]]
the waiver provisions. However, siting criteria that are phrased with a
``should'' are defined as goals to meet for consistency but are not
requirements.
2. Horizontal and Vertical Placement
The probe or at least 80 percent of the monitoring path must be
located between 2 and 15 meters above ground level for all O3
and SO2 monitoring sites, and for neighborhood or larger
spatial scale Pb, PM 10, PM 10-2.5, PM
2.5, NO2, and CO sites. Middle scale PM
10-2.5 sites are required to have sampler inlets between 2
and 7 meters above ground level. Microscale Pb, PM 10, PM
10-2.5, and PM 2.5 sites are required to have
sampler inlets between 2 and 7 meters above ground level. Microscale
near-road NO2 monitoring sites are required to have sampler
inlets between 2 and 7 meters above ground level. The inlet probes for
microscale carbon monoxide monitors that are being used to measure
concentrations near roadways must be between 2 and 7 meters above ground
level. Those inlet probes for microscale carbon monoxide monitors
measuring concentrations near roadways in downtown areas or urban street
canyons must be between 2.5 and 3.5 meters above ground level. The probe
or at least 90 percent of the monitoring path must be at least 1 meter
vertically or horizontally away from any supporting structure, walls,
parapets, penthouses, etc., and away from dusty or dirty areas. If the
probe or a significant portion of the monitoring path is located near
the side of a building or wall, then it should be located on the
windward side of the building relative to the prevailing wind direction
during the season of highest concentration potential for the pollutant
being measured.
3. Spacing From Minor Sources
(a) It is important to understand the monitoring objective for a
particular location in order to interpret this particular requirement.
Local minor sources of a primary pollutant, such as SO2,
lead, or particles, can cause high concentrations of that particular
pollutant at a monitoring site. If the objective for that monitoring
site is to investigate these local primary pollutant emissions, then the
site is likely to be properly located nearby. This type of monitoring
site would in all likelihood be a microscale type of monitoring site. If
a monitoring site is to be used to determine air quality over a much
larger area, such as a neighborhood or city, a monitoring agency should
avoid placing a monitor probe, path, or inlet near local, minor sources.
The plume from the local minor sources should not be allowed to
inappropriately impact the air quality data collected at a site.
Particulate matter sites should not be located in an unpaved area unless
there is vegetative ground cover year round, so that the impact of wind
blown dusts will be kept to a minimum.
(b) Similarly, local sources of nitric oxide (NO) and ozone-reactive
hydrocarbons can have a scavenging effect causing unrepresentatively low
concentrations of O3 in the vicinity of probes and monitoring
paths for O3. To minimize these potential interferences, the
probe or at least 90 percent of the monitoring path must be away from
furnace or incineration flues or other minor sources of SO2
or NO. The separation distance should take into account the heights of
the flues, type of waste or fuel burned, and the sulfur content of the
fuel.
4. Spacing From Obstructions
(a) Buildings and other obstacles may possibly scavenge
SO2, O3, or NO2, and can act to
restrict airflow for any pollutant. To avoid this interference, the
probe, inlet, or at least 90 percent of the monitoring path must have
unrestricted airflow and be located away from obstacles. The distance
from the obstacle to the probe, inlet, or monitoring path must be at
least twice the height that the obstacle protrudes above the probe,
inlet, or monitoring path. An exception to this requirement can be made
for measurements taken in street canyons or at source-oriented sites
where buildings and other structures are unavoidable.
(b) Generally, a probe or monitoring path located near or along a
vertical wall is undesirable because air moving along the wall may be
subject to possible removal mechanisms. A probe, inlet, or monitoring
path must have unrestricted airflow in an arc of at least 180 degrees.
This arc must include the predominant wind direction for the season of
greatest pollutant concentration potential. For particle sampling, a
minimum of 2 meters of separation from walls, parapets, and structures
is required for rooftop site placement.
(c) Special consideration must be given to the use of open path
analyzers due to their inherent potential sensitivity to certain types
of interferences, or optical obstructions. A monitoring path must be
clear of all trees, brush, buildings, plumes, dust, or other optical
obstructions, including potential obstructions that may move due to
wind, human activity, growth of vegetation, etc. Temporary optical
obstructions, such as rain, particles, fog, or snow, should be
considered when siting an open path analyzer. Any of these temporary
obstructions that are of sufficient density to obscure the light beam
will affect the ability of the open path analyzer to continuously
measure pollutant concentrations. Transient, but significant obscuration
of especially longer measurement paths could occur as a result of
certain meteorological conditions (e.g., heavy fog, rain, snow) and/or
aerosol levels that are of a sufficient density to prevent the open path
[[Page 316]]
analyzer's light transmission. If certain compensating measures are not
otherwise implemented at the onset of monitoring (e.g., shorter path
lengths, higher light source intensity), data recovery during periods of
greatest primary pollutant potential could be compromised. For instance,
if heavy fog or high particulate levels are coincident with periods of
projected NAAQS-threatening pollutant potential, the representativeness
of the resulting data record in reflecting maximum pollutant
concentrations may be substantially impaired despite the fact that the
site may otherwise exhibit an acceptable, even exceedingly high overall
valid data capture rate.
(d) For near-road NO2 monitoring stations, the monitor
probe shall have an unobstructed air flow, where no obstacles exist at
or above the height of the monitor probe, between the monitor probe and
the outside nearest edge of the traffic lanes of the target road
segment.
5. Spacing From Trees
(a) Trees can provide surfaces for SO2, O3, or
NO2 adsorption or reactions, and surfaces for particle
deposition. Trees can also act as obstructions in cases where they are
located between the air pollutant sources or source areas and the
monitoring site, and where the trees are of a sufficient height and leaf
canopy density to interfere with the normal airflow around the probe,
inlet, or monitoring path. To reduce this possible interference/
obstruction, the probe, inlet, or at least 90 percent of the monitoring
path must be at least 10 meters or further from the drip line of trees.
(b) The scavenging effect of trees is greater for O3 than
for other criteria pollutants. Monitoring agencies must take steps to
consider the impact of trees on ozone monitoring sites and take steps to
avoid this problem.
(c) For microscale sites of any air pollutant, no trees or shrubs
should be located between the probe and the source under investigation,
such as a roadway or a stationary source.
6. Spacing From Roadways
Table E-1 of Appendix E to Part 58--Minimum Separation Distance Between
Roadways and Probes or Monitoring Paths for Monitoring Neighborhood and
Urban Scale Ozone (O3) and Oxides of Nitrogen (NO, NO2, NOX, NOy)
------------------------------------------------------------------------
Minimum Minimum
Roadway average daily traffic, vehicles per distance \1\ distance 1 2
day (meters) (meters)
------------------------------------------------------------------------
1,000....................................... 10 10
10,000...................................... 10 20
15,000...................................... 20 30
20,000...................................... 30 40
40,000...................................... 50 60
70,000...................................... 100 100
$110,000.................................... 250 250
------------------------------------------------------------------------
\1\ Distance from the edge of the nearest traffic lane. The distance for
intermediate traffic counts should be interpolated from the table
values based on the actual traffic count.
\2\ Applicable for ozone monitors whose placement has not already been
approved as of December 18, 2006.
6.1 Spacing for Ozone Probes and Monitoring Paths
In siting an O3 analyzer, it is important to minimize
destructive interferences form sources of NO, since NO readily reacts
with O3. Table E-1 of this appendix provides the required
minimum separation distances between a roadway and a probe or, where
applicable, at least 90 percent of a monitoring path for various ranges
of daily roadway traffic. A sampling site having a point analyzer probe
located closer to a roadway than allowed by the Table E-1 requirements
should be classified as microscale or middle scale, rather than
neighborhood or urban scale, since the measurements from such a site
would more closely represent the middle scale. If an open path analyzer
is used at a site, the monitoring path(s) must not cross over a roadway
with an average daily traffic count of 10,000 vehicles per day or more.
For those situations where a monitoring path crosses a roadway with
fewer than 10,000 vehicles per day, monitoring agencies must consider
the entire segment of the monitoring path in the area of potential
atmospheric interference from automobile emissions. Therefore, this
calculation must include the length of the monitoring path over the
roadway plus any segments of the monitoring path that lie in the area
between the roadway and minimum separation distance, as determined from
the Table E-1 of this appendix. The sum of these distances must not be
greater than 10 percent of the total monitoring path length.
6.2 Spacing for Carbon Monoxide Probes and Monitoring Paths. (a)
Near-road microscale CO monitoring sites, including those located in
downtown areas, urban street canyons, and other near-road locations such
as those adjacent to highly trafficked roads, are intended to provide a
measurement of the influence of the immediate source on the pollution
exposure on the adjacent area.
[[Page 317]]
(b) Microscale CO monitor inlets probes in downtown areas or urban
street canyon locations shall be located a minimum distance of 2 meters
and a maximum distance of 10 meters from the edge of the nearest traffic
lane.
(c) Microscale CO monitor inlet probes in downtown areas or urban
street canyon locations shall be located at least 10 meters from an
intersection and preferably at a midblock location. Midblock locations
are preferable to intersection locations because intersections represent
a much smaller portion of downtown space than do the streets between
them. Pedestrian exposure is probably also greater in street canyon/
corridors than at intersections.
Table E-2 of Appendix E to Part 58--Minimum Separation Distance Between
Roadways and Probes or Monitoring Paths for Monitoring Neighborhood
Scale Carbon Monoxide
------------------------------------------------------------------------
Minimum
Roadway average daily traffic, vehicles per day distance \1\
(meters)
------------------------------------------------------------------------
10,000.................................................. 10
15,000.................................................. 25
20,000.................................................. 45
30,000.................................................. 80
40,000.................................................. 115
50,000.................................................. 135
$60,000................................................. 150
------------------------------------------------------------------------
\1\ Distance from the edge of the nearest traffic lane. The distance for
intermediate traffic counts should be interpolated from the table
values based on the actual traffic count.
6.3 Spacing for Particulate Matter (PM 2.5, PM
10, Pb) Inlets. (a) Since emissions associated with the
operation of motor vehicles contribute to urban area particulate matter
ambient levels, spacing from roadway criteria are necessary for ensuring
national consistency in PM sampler siting.
(b) The intent is to locate localized hot-spot sites in areas of
highest concentrations whether it be from mobile or multiple stationary
sources. If the area is primarily affected by mobile sources and the
maximum concentration area(s) is judged to be a traffic corridor or
street canyon location, then the monitors should be located near
roadways with the highest traffic volume and at separation distances
most likely to produce the highest concentrations. For the microscale
traffic corridor site, the location must be between 5 and 15 meters from
the major roadway. For the microscale street canyon site the location
must be between 2 and 10 meters from the roadway. For the middle scale
site, a range of acceptable distances from the roadway is shown in
figure E-1 of this appendix. This figure also includes separation
distances between a roadway and neighborhood or larger scale sites by
default. Any site, 2 to 15 meters high, and further back than the middle
scale requirements will generally be neighborhood, urban or regional
scale. For example, according to Figure E-1 of this appendix, if a PM
sampler is primarily influenced by roadway emissions and that sampler is
set back 10 meters from a 30,000 ADT (average daily traffic) road, the
site should be classified as microscale, if the sampler height is
between 2 and 7 meters. If the sampler height is between 7 and 15
meters, the site should be classified as middle scale. If the sample is
20 meters from the same road, it will be classified as middle scale; if
40 meters, neighborhood scale; and if 110 meters, an urban scale.
6.4 Spacing for Nitrogen Dioxide (NO2) Probes and
Monitoring Paths.
(a) In siting near-road NO2 monitors as required in
paragraph 4.3.2 of appendix D of this part, the monitor probe shall be
as near as practicable to the outside nearest edge of the traffic lanes
of the target road segment; but shall not be located at a distance
greater than 50 meters, in the horizontal, from the outside nearest edge
of the traffic lanes of the target road segment.
(b) In siting NO2 monitors for neighborhood and larger
scale monitoring, it is important to minimize near-road influences.
Table E-1 of this appendix provides the required minimum separation
distances between a roadway and a probe or, where applicable, at least
90 percent of a monitoring path for various ranges of daily roadway
traffic. A sampling site having a point analyzer probe located closer to
a roadway than allowed by the Table E-1 requirements should be
classified as microscale or middle scale rather than neighborhood or
urban scale. If an open path analyzer is used at a site, the monitoring
path(s) must not cross over a roadway with an average daily traffic
count of 10,000 vehicles per day or more. For those situations where a
monitoring path crosses a roadway with fewer than 10,000 vehicles per
day, monitoring agencies must consider the entire segment of the
monitoring path in the area of potential atmospheric interference form
automobile emissions. Therefore, this calculation must include the
length of the monitoring path over the roadway plus any segments of the
monitoring path that lie in the area between the roadway and minimum
separation distance, as determined form the Table E-1 of this appendix.
The sum of these distances must not be greater than 10 percent of the
total monitoring path length.
[[Page 318]]
[GRAPHIC] [TIFF OMITTED] TR17OC06.061
7. Cumulative Interferences on a Monitoring Path
(This paragraph applies only to open path analyzers.) The cumulative
length or portion of a monitoring path that is affected by minor
sources, trees, or roadways must not exceed 10 percent of the total
monitoring path length.
8. Maximum Monitoring Path Length
(This paragraph applies only to open path analyzers.) The monitoring
path length must not exceed 1 kilometer for analyzers in neighborhood,
urban, or regional scale. For middle scale monitoring sites, the
monitoring path length must not exceed 300 meters. In areas subject to
frequent periods of dust, fog, rain, or snow, consideration should be
given to a shortened monitoring path length to minimize loss of
monitoring data due to these temporary optical obstructions. For certain
ambient air monitoring scenarios using open path analyzers, shorter path
lengths may be needed in order to ensure that the monitoring site meets
the objectives and spatial scales defined in appendix D to this part.
The Regional Administrator may require shorter path lengths, as needed
on an individual basis, to ensure that the SLAMS sites meet the appendix
D requirements. Likewise, the Administrator may specify the maximum path
length used at NCore monitoring sites.
9. Probe Material and Pollutant Sample Residence Time
(a) For the reactive gases, SO2, NO2, and
O3, special probe material must be used for point analyzers.
Studies \20-24\ have been conducted to determine the suitability of
materials such as polypropylene, polyethylene, polyvinyl chloride, Tygon
, aluminum, brass, stainless steel, copper, Pyrex
glass and Teflon for use as intake sampling
lines. Of the above materials, only Pyrex glass and Teflon
have been found to be acceptable for use as intake sampling
lines for all the reactive gaseous pollutants. Furthermore, the EPA \25\
has specified borosilicate glass or FEP Teflon as the only
acceptable probe materials for delivering test atmospheres in the
determination of reference or equivalent methods. Therefore,
borosilicate glass, FEP Teflon or their equivalent must be
the only material in the sampling train (from inlet probe to the back of
the analyzer) that can be in contact with the ambient air sample for
existing and new SLAMs.
(b) For volatile organic compound (VOC) monitoring at PAMS, FEP
Teflon is unacceptable as the probe material because of VOC
adsorption and desorption reactions on the FEP Teflon .
Borosilicate glass, stainless steel, or its equivalent are the
acceptable probe materials for VOC and carbonyl sampling. Care must be
taken to ensure that the sample residence time is kept to 20 seconds or
less.
[[Page 319]]
(c) No matter how nonreactive the sampling probe material is
initially, after a period of use reactive particulate matter is
deposited on the probe walls. Therefore, the time it takes the gas to
transfer from the probe inlet to the sampling device is also critical.
Ozone in the presence of nitrogen oxide (NO) will show significant
losses even in the most inert probe material when the residence time
exceeds 20 seconds. \26\ Other studies 27 28 indicate that a
10 second or less residence time is easily achievable. Therefore,
sampling probes for reactive gas monitors at NCore and at NO2
sites must have a sample residence time less than 20 seconds.
10. Waiver Provisions
Most sampling probes or monitors can be located so that they meet
the requirements of this appendix. New sites with rare exceptions, can
be located within the limits of this appendix. However, some existing
sites may not meet these requirements and still produce useful data for
some purposes. The EPA will consider a written request from the State
agency to waive one or more siting criteria for some monitoring sites
providing that the State can adequately demonstrate the need (purpose)
for monitoring or establishing a monitoring site at that location.
10.1 For establishing a new site, a waiver may be granted only if
both of the following criteria are met:
10.1.1 The site can be demonstrated to be as representative of the
monitoring area as it would be if the siting criteria were being met.
10.1.2 The monitor or probe cannot reasonably be located so as to
meet the siting criteria because of physical constraints (e.g.,
inability to locate the required type of site the necessary distance
from roadways or obstructions).
10.2 However, for an existing site, a waiver may be granted if
either of the criteria in sections 10.1.1 and 10.1.2 of this appendix
are met.
10.3 Cost benefits, historical trends, and other factors may be
used to add support to the criteria in sections 10.1.1 and 10.1.2 of
this appendix, however, they in themselves, will not be acceptable
reasons for granting a waiver. Written requests for waivers must be
submitted to the Regional Administrator.
11. Summary
Table E-4 of this appendix presents a summary of the general
requirements for probe and monitoring path siting criteria with respect
to distances and heights. It is apparent from Table E-4 that different
elevation distances above the ground are shown for the various
pollutants. The discussion in this appendix for each of the pollutants
describes reasons for elevating the monitor, probe, or monitoring path.
The differences in the specified range of heights are based on the
vertical concentration gradients. For CO and near-road NO2
monitors, the gradients in the vertical direction are very large for the
microscale, so a small range of heights are used. The upper limit of 15
meters is specified for the consistency between pollutants and to allow
the use of a single manifold or monitoring path for monitoring more than
one pollutant.
Table E-4 of Appendix E to Part 58--Summary of Probe and Monitoring Path Siting Criteria
--------------------------------------------------------------------------------------------------------------------------------------------------------
Horizontal and
vertical distance
Scale (maximum Height from ground to from supporting Distance from trees Distance from
Pollutant monitoring path probe, inlet or 80% of structures \2\ to to probe, inlet or roadways to probe,
length, meters) monitoring path \1\ probe, inlet or 90% 90% of monitoring inlet or monitoring
(meters) of monitoring path\1\ path \1\ (meters) path \1\ (meters)
(meters)
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2 \3 4 5 6\...................... Middle (300 m) 2-15.................. >1................... >10.................. N/A.
Neighborhood Urban,
and Regional (1 km).
CO \4 5 7\......................... Micro [downtown or 2.5-3.5; 2-7; 2-15.... >1................... >10.................. 2-10 for downtown
street canyon sites], areas or street
micro [near-road canyon microscale;
sites], middle (300 50 for near-road
m) and Neighborhood microscale; see
(1 km). Table E-2 of this
appendix for middle
and neighborhood
scales.
O 3 \3 4 5\........................ Middle (300 m) 2-15.................. >1................... >10.................. See Table E-1 of this
Neighborhood, Urban, appendix for all
and Regional (1 km). scales.
[[Page 320]]
NO2 \3 4 5\........................ Micro (Near-road [50- 2-7 (micro);.......... >1................... >10.................. 50 for near-road
300 m]). micro-scale.
Middle (300 m)........ 2-15 (all other
scales).
Neighborhood, Urban, ...................... ..................... ..................... See Table E-1 of this
and Regional (1 km). appendix for all
other scales.
Ozone precursors (for PAMS) \3 4 5\ Neighborhood and Urban 2-15.................. >1................... >10.................. See Table E-4 of this
(1 km). appendix for all
scales.
PM, Pb \3 4 5 8\................... Micro, Middle, 2-7 (micro); 2-7 >2 (all scales, >10 (all scales)..... 2-10 (micro); see
Neighborhood, Urban (middle PM 10 2.5); 2- horizontal distance Figure E-1 of this
and Regional. 7 for near-road; 2-15 only). appendix for all
(all other scales). other scales. 50 for
near-road.
--------------------------------------------------------------------------------------------------------------------------------------------------------
N/A--Not applicable.
\1\ Monitoring path for open path analyzers is applicable only to middle or neighborhood scale CO monitoring, middle, neighborhood, urban, and regional
scale NO2 monitoring, and all applicable scales for monitoring SO2, O3, and O3 precursors.
\2\ When probe is located on a rooftop, this separation distance is in reference to walls, parapets, or penthouses located on roof.
\3\ Should be greater than 20 meters from the dripline of tree(s) and must be 10 meters from the dripline when the tree(s) act as an obstruction.
\4\ Distance from sampler, probe, or 90 percent of monitoring path to obstacle, such as a building, must be at least twice the height the obstacle
protrudes above the sampler, probe, or monitoring path. Sites not meeting this criterion may be classified as middle scale (see text).
\5\ Must have unrestricted airflow 270 degrees around the probe or sampler; 180 degrees if the probe is on the side of a building or a wall.
\6\ The probe, sampler, or monitoring path should be away from minor sources, such as furnace or incineration flues. The separation distance is
dependent on the height of the minor source's emission point (such as a flue), the type of fuel or waste burned, and the quality of the fuel (sulfur,
ash, or lead content). This criterion is designed to avoid undue influences from minor sources.
\7\ For micro-scale CO monitoring sites, the probe must be >10 meters from a street intersection and preferably at a midblock location.
\8\ Collocated monitors must be within 4 meters of each other and at least 2 meters apart for flow rates greater than 200 liters/min or at least 1 meter
apart for samplers having flow rates less than 200 liters/min to preclude airflow interference, unless a waiver is in place as approved by the
Regional Administrator pursuant to section 3 of Appendix A.
12. References
1. Bryan, R.J., R.J. Gordon, and H. Menck. Comparison of High Volume
Air Filter Samples at Varying Distances from Los Angeles Freeway.
University of Southern California, School of Medicine, Los Angeles, CA.
(Presented at 66th Annual Meeting of Air Pollution Control Association.
Chicago, IL. June 24-28, 1973. APCA 73-158.)
2. Teer, E.H. Atmospheric Lead Concentration Above an Urban Street.
Master of Science Thesis, Washington University, St. Louis, MO. January
1971.
3. Bradway, R.M., F.A. Record, and W.E. Belanger. Monitoring and
Modeling of Resuspended Roadway Dust Near Urban Arterials. GCA
Technology Division, Bedford, MA. (Presented at 1978 Annual Meeting of
Transportation Research Board, Washington, DC. January 1978.)
4. Pace, T.G., W.P. Freas, and E.M. Afify. Quantification of
Relationship Between Monitor Height and Measured Particulate Levels in
Seven U.S. Urban Areas. U.S. Environmental Protection Agency, Research
Triangle Park, NC. (Presented at 70th Annual Meeting of Air Pollution
Control Association, Toronto, Canada. June 20-24, 1977. APCA 77-13.4.)
5. Harrison, P.R. Considerations for Siting Air Quality Monitors in
Urban Areas. City of Chicago, Department of Environmental Control,
Chicago, IL. (Presented at 66th Annual Meeting of Air Pollution Control
Association, Chicago, IL. June 24-28, 1973. APCA 73-161.)
6. Study of Suspended Particulate Measurements at Varying Heights
Above Ground. Texas State Department of Health, Air Control Section,
Austin, TX. 1970. p.7.
7. Rodes, C.E. and G.F. Evans. Summary of LACS Integrated Pollutant
Data. In: Los Angeles Catalyst Study Symposium. U.S. Environmental
Protection Agency, Research Triangle Park, NC. EPA Publication No. EPA-
600/4-77-034. June 1977.
8. Lynn, D.A. et al. National Assessment of the Urban Particulate
Problem: Volume 1, National Assessment. GCA Technology Division,
Bedford, MA. U.S. Environmental Protection Agency, Research Triangle
Park, NC.
[[Page 321]]
EPA Publication No. EPA-450/3-75-024. June 1976.
9. Pace, T.G. Impact of Vehicle-Related Particulates on TSP
Concentrations and Rationale for Siting Hi-Vols in the Vicinity of
Roadways. OAQPS, U.S. Environmental Protection Agency, Research Triangle
Park, NC. April 1978.
10. Ludwig, F.L., J.H. Kealoha, and E. Shelar. Selecting Sites for
Monitoring Total Suspended Particulates. Stanford Research Institute,
Menlo Park, CA. Prepared for U.S. Environmental Protection Agency,
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-018. June
1977, revised December 1977.
11. Ball, R.J. and G.E. Anderson. Optimum Site Exposure Criteria for
SO2 Monitoring. The Center for the Environment and Man, Inc.,
Hartford, CT. Prepared for U.S. Environmental Protection Agency,
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-013. April
1977.
12. Ludwig, F.L. and J.H.S. Kealoha. Selecting Sites for Carbon
Monoxide Monitoring. Stanford Research Institute, Menlo Park, CA.
Prepared for U.S. Environmental Protection Agency, Research Triangle
Park, NC. EPA Publication No. EPA-450/3-75-077. September 1975.
13. Ludwig, F.L. and E. Shelar. Site Selection for the Monitoring of
Photochemical Air Pollutants. Stanford Research Institute, Menlo Park,
CA. Prepared for U.S. Environmental Protection Agency, Research Triangle
Park, NC. EPA Publication No. EPA-450/3-78-013. April 1978.
14. Lead Analysis for Kansas City and Cincinnati, PEDCo
Environmental, Inc., Cincinnati, OH. Prepared for U.S. Environmental
Protection Agency, Research Triangle Park, NC. EPA Contract No. 66-02-
2515, June 1977.
15. Barltrap, D. and C.D. Strelow. Westway Nursery Testing Project.
Report to the Greater London Council. August 1976.
16. Daines, R. H., H. Moto, and D. M. Chilko. Atmospheric Lead: Its
Relationship to Traffic Volume and Proximity to Highways. Environ. Sci.
and Technol., 4:318, 1970.
17. Johnson, D. E., et al. Epidemiologic Study of the Effects of
Automobile Traffic on Blood Lead Levels, Southwest Research Institute,
Houston, TX. Prepared for U.S. Environmental Protection Agency, Research
Triangle Park, NC. EPA-600/1-78-055, August 1978.
18. Air Quality Criteria for Lead. Office of Research and
Development, U.S. Environmental Protection Agency, Washington, DC EPA-
600/8-83-028 aF-dF, 1986, and supplements EPA-600/8-89/049F, August
1990. (NTIS document numbers PB87-142378 and PB91-138420.)
19. Lyman, D. R. The Atmospheric Diffusion of Carbon Monoxide and
Lead from an Expressway, Ph.D. Dissertation, University of Cincinnati,
Cincinnati, OH. 1972.
20. Wechter, S.G. Preparation of Stable Pollutant Gas Standards
Using Treated Aluminum Cylinders. ASTM STP. 598:40-54, 1976.
21. Wohlers, H.C., H. Newstein and D. Daunis. Carbon Monoxide and
Sulfur Dioxide Adsorption On and Description From Glass, Plastic and
Metal Tubings. J. Air Poll. Con. Assoc. 17:753, 1976.
22. Elfers, L.A. Field Operating Guide for Automated Air Monitoring
Equipment. U.S. NTIS. p. 202, 249, 1971.
23. Hughes, E.E. Development of Standard Reference Material for Air
Quality Measurement. ISA Transactions, 14:281-291, 1975.
24. Altshuller, A.D. and A.G. Wartburg. The Interaction of Ozone
with Plastic and Metallic Materials in a Dynamic Flow System. Intern.
Jour. Air and Water Poll., 4:70-78, 1961.
25. Code of Federal Regulations. Title 40 part 53.22, July 1976.
26. Butcher, S.S. and R.E. Ruff. Effect of Inlet Residence Time on
Analysis of Atmospheric Nitrogen Oxides and Ozone, Anal. Chem., 43:1890,
1971.
27. Slowik, A.A. and E.B. Sansone. Diffusion Losses of Sulfur
Dioxide in Sampling Manifolds. J. Air. Poll. Con. Assoc., 24:245, 1974.
28. Yamada, V.M. and R.J. Charlson. Proper Sizing of the Sampling
Inlet Line for a Continuous Air Monitoring Station. Environ. Sci. and
Technol., 3:483, 1969.
29. Koch, R.C. and H.E. Rector. Optimum Network Design and Site
Exposure Criteria for Particulate Matter, GEOMET Technologies, Inc.,
Rockville, MD. Prepared for U.S. Environmental Protection Agency,
Research Triangle Park, NC. EPA Contract No. 68-02-3584. EPA 450/4-87-
009. May 1987.
30. Burton, R.M. and J.C. Suggs. Philadelphia Roadway Study.
Environmental Monitoring Systems Laboratory, U.S. Environmental
Protection Agency, Research Triangle Park, N.C. EPA-600/4-84-070
September 1984.
31. Technical Assistance Document For Sampling and Analysis of Ozone
Precursors. Atmospheric Research and Exposure Assessment Laboratory,
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711.
EPA 600/8-91-215. October 1991.
32. Quality Assurance Handbook for Air Pollution Measurement
Systems: Volume IV. Meteorological Measurements. Atmospheric Research
and Exposure Assessment Laboratory, U.S. Environmental Protection
Agency, Research Triangle Park, NC 27711. EPA 600/4-90-0003. August
1989.
33. On-Site Meteorological Program Guidance for Regulatory Modeling
Applications.
[[Page 322]]
Office of Air Quality Planning and Standards, U.S. Environmental
Protection Agency, Research Triangle Park, NC 27711. EPA 450/4-87-013.
June 1987F.
[71 FR 61323, Oct. 17, 2006, as amended at 75 FR 6535, Feb. 9, 2010; 76
FR 54342, Aug. 31, 2011; 78 FR 3285, Jan. 15, 2013]
Sec. Appendix F to Part 58 [Reserved]
Sec. Appendix G to Part 58--Uniform Air Quality Index (AQI) and Daily
Reporting
General Requirements
1. What is the AQI?
2. Why report the AQI?
3. Must I report the AQI?
4. What goes into my AQI report?
5. Is my AQI report for my MSA only?
6. How do I get my AQI report to the public?
7. How often must I report the AQI?
8. May I make exceptions to these reporting requirements?
Calculation
9. How Does the AQI Relate to Air Pollution Levels?
10. What Monitors Should I Use To Get the Pollutant Concentrations
for Calculating the AQI?
11. Do I have to forecast the AQI?
12. How Do I Calculate the AQI?
Background and Reference Materials
13. What Additional Information Should I Know?
General Requirements
1. What Is the AQI?
The AQI is a tool that simplifies reporting air quality to the
general public. The AQI incorporates into a single index concentrations
of 5 criteria pollutants: ozone (O3), particulate matter
(PM), carbon monoxide (CO), sulfur dioxide (SO2), and
nitrogen dioxide (NO2). The scale of the index is divided
into general categories that are associated with health messages.
2. Why Report the AQI?
The AQI offers various advantages:
a. It is simple to create and understand.
b. It conveys the health implications of air quality.
c. It promotes uniform use throughout the country.
3. Must I Report the AQI?
You must report the AQI daily if yours is a metropolitan statistical
area (MSA) with a population over 350,000.
4. What Goes Into My AQI Report?
i. Your AQI report must contain the following:
a. The reporting area(s) (the MSA or subdivision of the MSA).
b. The reporting period (the day for which the AQI is reported).
c. The critical pollutant (the pollutant with the highest index
value).
d. The AQI (the highest index value).
e. The category descriptor and index value associated with the AQI
and, if you choose to report in a color format, the associated color.
Use only the following descriptors and colors for the six AQI
categories:
Table 1--AQI Categories
------------------------------------------------------------------------
And this color
For this AQI Use this descriptor \1\
------------------------------------------------------------------------
0 to 50.......................... ``Good''............ Green.
------------------------------------------------------------------------
51 to 100........................ ``Moderate''........ Yellow.
------------------------------------------------------------------------
101 to 150....................... ``Unhealthy for Orange.
Sensitive Groups''.
------------------------------------------------------------------------
151 to 200....................... ``Unhealthy''....... Red.
------------------------------------------------------------------------
201 to 300....................... ``Very Unhealthy''.. Purple.
------------------------------------------------------------------------
301 and above.................... ``Hazardous''....... Maroon. \1\
------------------------------------------------------------------------
\1\ Specific colors can be found in the most recent reporting guidance
(Guideline for Public Reporting of Daily Air Quality--Air Quality
Index (AQI)).
f. The pollutant specific sensitive groups for any reported index
value greater than 100. Use the following sensitive groups for each
pollutant:
------------------------------------------------------------------------
When this pollutant has an index value Report these sensitive groups
above 100 * * * * * *
------------------------------------------------------------------------
Ozone................................... Children and people with
asthma are the groups most at
risk.
------------------------------------------------------------------------
PM 2.5.................................. People with respiratory or
heart disease, the elderly
and children are the groups
most at risk.
------------------------------------------------------------------------
PM 10................................... People with respiratory
disease are the group most at
risk.
------------------------------------------------------------------------
CO...................................... People with heart disease are
the group most at risk.
------------------------------------------------------------------------
SO2..................................... People with asthma are the
group most at risk.
------------------------------------------------------------------------
NO2..................................... Children and people with
respiratory disease are the
groups most at risk.
------------------------------------------------------------------------
ii. When appropriate, your AQI report may also contain the
following:
a. Appropriate health and cautionary statements.
[[Page 323]]
b. The name and index value for other pollutants, particularly those
with an index value greater than 100.
c. The index values for sub-areas of your MSA.
d. Causes for unusual AQI values.
e. Actual pollutant concentrations.
5. Is My AQI Report for My MSA Only?
Generally, your AQI report applies to your MSA only. However, if a
significant air quality problem exists (AQI greater than 100) in areas
significantly impacted by your MSA but not in it (for example,
O3 concentrations are often highest downwind and outside an
urban area), you should identify these areas and report the AQI for
these areas as well.
6. How Do I Get My AQI Report to the Public?
You must furnish the daily report to the appropriate news media
(radio, television, and newspapers). You must make the daily report
publicly available at one or more places of public access, or by any
other means, including a recorded phone message, a public Internet site,
or facsimile transmission. When the AQI value is greater than 100, it is
particularly critical that the reporting to the various news media be as
extensive as possible. At a minimum, it should include notification to
the media with the largest market coverages for the area in question.
7. How Often Must I Report the AQI?
You must report the AQI at least 5 days per week. Exceptions to this
requirement are in section 8 of this appendix.
8. May I Make Exceptions to These Reporting Requirements?
i. If the index value for a particular pollutant remains below 50
for a season or year, then you may exclude the pollutant from your
calculation of the AQI in section 12.
ii. If all index values remain below 50 for a year, then you may
report the AQI at your discretion. In subsequent years, if pollutant
levels rise to where the AQI would be above 50, then the AQI must be
reported as required in sections 3, 4, 6, and 7 of this appendix.
Calculation
9. How does the AQI relate to air pollution levels?
For each pollutant, the AQI transforms ambient concentrations to a
scale from 0 to 500. The AQI is keyed as appropriate to the national
ambient air quality standards (NAAQS) for each pollutant. In most cases,
the index value of 100 is associated with the numerical level of the
short-term standard (i.e., averaging time of 24-hours or less) for each
pollutant. The index value of 50 is associated with the numerical level
of the annual standard for a pollutant, if there is one, at one-half the
level of the short-term standard for the pollutant, or at the level at
which it is appropriate to begin to provide guidance on cautionary
language. Higher categories of the index are based on increasingly
serious health effects and increasing proportions of the population that
are likely to be affected. The index is related to other air pollution
concentrations through linear interpolation based on these levels. The
AQI is equal to the highest of the numbers corresponding to each
pollutant. For the purposes of reporting the AQI, the sub-indexes for PM
10 and PM 2.5 are to be considered separately. The
pollutant responsible for the highest index value (the reported AQI) is
called the ``critical'' pollutant.
10. What monitors should I use to get the pollutant concentrations for
calculating the AQI?
You must use concentration data from State/Local Air Monitoring
Station (SLAMS) or parts of the SLAMS required by 40 CFR 58.10 for each
pollutant except PM. For PM, calculate and report the AQI on days for
which you have measured air quality data (e.g., from continuous PM
2.5 monitors required in Appendix D to this part). You may
use PM measurements from monitors that are not reference or equivalent
methods (for example, continuous PM 10 or PM 2.5
monitors). Detailed guidance for relating non-approved measurements to
approved methods by statistical linear regression is referenced in
section 13 below.
11. Do I Have to Forecast the AQI?
You should forecast the AQI to provide timely air quality
information to the public, but this is not required. If you choose to
forecast the AQI, then you may consider both long-term and short-term
forecasts. You can forecast the AQI at least 24-hours in advance using
the most accurate and reasonable procedures considering meteorology,
topography, availability of data, and forecasting expertise. The
document ``Guideline for Developing an Ozone Forecasting Program'' (the
Forecasting Guidance) will help you start a forecasting program. You can
also issue short-term forecasts by predicting 8-hour ozone values from
1-hour ozone values using methods suggested in the Reporting Guidance,
``Guideline for Public Reporting of Daily Air Quality.''
12. How do I calculate the AQI?
i. The AQI is the highest value calculated for each pollutant as
follows:
a. Identify the highest concentration among all of the monitors
within each reporting area and truncate as follows:
(1) Ozone--truncate to 3 decimal places
PM 2.5--truncate to 1 decimal place
PM 10--truncate to integer
[[Page 324]]
CO--truncate to 1 decimal place
SO2--truncate to integer
NO2--truncate to integer
(2) [Reserved]
b. Using Table 2, find the two breakpoints that contain the
concentration.
c. Using Equation 1, calculate the index.
d. Round the index to the nearest integer.
Table 2--Breakpoints for the AQI
----------------------------------------------------------------------------------------------------------------
These breakpoints Equal these AQI's
----------------------------------------------------------------------------------------------------------------
PM10 (mg/
O3 (ppm) 8- O3 (ppm) 1- PM2.5 (mg/ m\3\) 24- CO (ppm) SO2 (ppb) NO2 (ppb) AQI Category
hour hour\1\ m\3\) 24-hour hour 8-hour 1-hour 1-hour
----------------------------------------------------------------------------------------------------------------
0.000-0.054 -- 0.0--12.0 0-54 0.0-4.4 0-35 0-53 0-50 Good.
0.055-0.070 -- 12.1--35.4 55-154 4.5-9.4 36-75 54-100 51-100 Moderate.
0.071-0.085 0.125-0.164 35.5--55.4 155-254 9.5-12.4 76-185 101-360 101-150 Unhealthy for
Sensitive
Groups.
0.086-0.105 0.165-0.204 \3\ 55.5--150 255-354 12.5-15.4 \4\ 186-30 361-649 151-200 Unhealthy.
.4 4
0.106-0.200 0.205-0.404 \3\ 150.5--25 355-424 15.5-30.4 \4\ 305-60 650-1249 201-300 Very Unhealthy.
0.4 4
0.201-(\2\) 0.405-0.504 \3\ 250.5--35 425-504 30.5-40.4 \4\ 605-80 1250-1649 301-400 Hazardous.
0.4 4
(\2\) 0.505-0.604 \3\ 350.5--50 505-604 40.5-50.4 \4\ 805-10 1650-2049 401-500
0.4 04
----------------------------------------------------------------------------------------------------------------
\1\ Areas are generally required to report the AQI based on 8-hour ozone values. However, there are a small
number of areas where an AQI based on 1-hour ozone values would be more precautionary. In these cases, in
addition to calculating the 8-hour ozone index value, the 1-hour ozone index value may be calculated, and the
maximum of the two values reported.
\2\ 8-hour O3 values do not define higher AQI values (>301). AQI values > 301 are calculated with 1-hour O3
concentrations.
\3\ If a different SHL for PM2.5 is promulgated, these numbers will change accordingly.
\4\ 1-hr SO2 values do not define higher AQI values ($200). AQI values of 200 or greater are calculated with 24-
hour SO2 concentration.
ii. If the concentration is equal to a breakpoint, then the index is
equal to the corresponding index value in Table 2. However, Equation 1
can still be used. The results will be equal. If the concentration is
between two breakpoints, then calculate the index of that pollutant with
Equation 1. You must also note that in some areas, the AQI based on 1-
hour O3 will be more precautionary than using 8-hour values
(see footnote 1 to Table 2). In these cases, you may use 1-hour values
as well as 8-hour values to calculate index values and then use the
maximum index value as the AQI for O3.
[GRAPHIC] [TIFF OMITTED] TR27MR08.001
Where:
Ip = the index value for pollutantp
Cp = the truncated concentration of pollutantp
BPHi = the breakpoint that is greater than or equal to
Cp
BPLo = the breakpoint that is less than or equal to
Cp
IHi = the AQI value corresponding to BPHi
Ilo = the AQI value corresponding to BPLo.
iii. If the concentration is larger than the highest breakpoint in
Table 2 then you may use the last two breakpoints in Table 2 when you
apply Equation 1.
Example
iv. Using Table 2 and Equation 1, calculate the index value for each
of the pollutants measured and select the one that produces the highest
index value for the AQI. For example, if you observe a PM 10
value of 210 mg/m\3\, a 1-hour O3 value of 0.156 ppm, and an
8-hour O3 value of 0.130 ppm, then do this:
a. Find the breakpoints for PM 10 at 210 mg/m\3\ as 155
mg/m\3\ and 254 mg/m\3\, corresponding to index values 101 and 150;
b. Find the breakpoints for 1-hour O3 at 0.156 ppm as
0.125 ppm and 0.164 ppm, corresponding to index values 101 and 150;
c. Find the breakpoints for 8-hour O3 at 0.130 ppm as
0.116 ppm and 0.374 ppm, corresponding to index values 201 and 300;
d. Apply Equation 1 for 210 mg/m\3\, PM 10:
[GRAPHIC] [TIFF OMITTED] TR27MR08.002
e. Apply Equation 1 for 0.156 ppm, 1-hour O3:
[[Page 325]]
[GRAPHIC] [TIFF OMITTED] TR27MR08.003
f. Apply Equation 1 for 0.130 ppm, 8-hour O3:
[GRAPHIC] [TIFF OMITTED] TR27MR08.004
g. Find the maximum, 206. This is the AQI. The minimal AQI report
would read:
v. Today, the AQI for my city is 206 which is Very Unhealthy, due to
ozone. Children and people with asthma are the groups most at risk.
13. What additional information should I know?
The EPA has developed a computer program to calculate the AQI for
you. The program prompts for inputs, and it displays all the pertinent
information for the AQI (the index value, color, category, sensitive
group, health effects, and cautionary language). The EPA has also
prepared a brochure on the AQI that explains the index in detail (The
Air Quality Index), Reporting Guidance (Technical Assistance Document
for the Reporting of Daily Air Quality--the Air Quality Index (AQI))
that provides associated health effects and cautionary statements, and
Forecasting Guidance (Guideline for Developing an Ozone Forecasting
Program) that explains the steps necessary to start an air pollution
forecasting program. You can download the program and the guidance
documents at www.airnow.gov. Reference for relating non-approved PM
measurements to approved methods (Eberly, S., T. Fitz-Simons, T. Hanley,
L. Weinstock., T. Tamanini, G. Denniston, B. Lambeth, E. Michel, S.
Bortnick. Data Quality Objectives (DQOs) For Relating Federal Reference
Method (FRM) and Continuous PM 2.5 Measurements to Report an
Air Quality Index (AQI). U.S. Environmental Protection Agency, Research
Triangle Park, NC. EPA-454/B-02-002, November 2002) can be found on the
Ambient Monitoring Technology Information Center (AMTIC) Web site,
http://www.epa.gov/ttnamti1/.
[64 FR 42547, Aug. 4, 1999, as amended at 73 FR 16513, Mar. 27, 2008; 75
FR 6537, Feb. 9, 2010; 75 FR 35602, June 22, 2010; 78 FR 3286, Jan. 15,
2013; 80 FR 65468, Oct. 26, 2015]
PART 59_NATIONAL VOLATILE ORGANIC COMPOUND EMISSION STANDARDS FOR
CONSUMER AND COMMERCIAL PRODUCTS--Table of Contents
Sec.
Subpart A_General
59.1 Final determinations under Section 183(e)(3)(C) of the CAA.
Subpart B_National Volatile Organic Compound Emission Standards for
Automobile Refinish Coatings
59.100 Applicability and designation of regulated entity.
59.101 Definitions.
59.102 Standards.
59.103 Container labeling requirements.
59.104 Compliance provisions.
59.105 Reporting requirements.
59.106 Variance.
59.107 Addresses of EPA Regional offices.
59.108 State authority.
59.109 Circumvention.
59.110 Incorporations by reference.
59.111 Availability of information and confidentiality.
Table 1 to Subpart B of Part 59--Volatile Organic Compound (VOC) Content
Limits for Automobile Refinish Coatings
Subpart C_National Volatile Organic Compound Emission Standards for
Consumer Products
59.201 Applicability and designation of regulated entity.
59.202 Definitions.
59.203 Standards for consumer products.
59.204 Innovative product provisions.
59.205 Labeling.
59.206 Variances.
59.207 Test methods.
59.208 Charcoal lighter material testing protocol.
[[Page 326]]
59.209 Recordkeeping and reporting requirements.
59.210 Addresses of EPA Regional Offices.
59.211 State authority.
59.212 Circumvention.
59.213 Incorporations by reference.
59.214 Availability of information and confidentiality.
Table 1 to Subpart C of Part 59--VOC Content Limits by Product Category
Table 2 to Subpart C of Part 59--HVOC Content Limits for Underarm
Deodorants and Underarm AntiPerspirants
Appendix A to Subpart C of Part 59--Figures
Subpart D_National Volatile Organic Compound Emission Standards for
Architectural Coatings
59.400 Applicability and compliance dates.
59.401 Definitions.
59.402 VOC content limits.
59.403 Exceedance fees.
59.404 Tonnage exemption.
59.405 Container labeling requirements.
59.406 Compliance provisions.
59.407 Recordkeeping requirements.
59.408 Reporting requirements.
59.409 Addresses of EPA Offices.
59.410 State authority.
59.411 Circumvention.
59.412 Incorporations by reference.
59.413 Availability of information and confidentiality.
Appendix A to Subpart D of Part 59--Determination of Volatile Matter
Content of Methacrylate Multicomponent Coatings Used as
Traffic Marking Coatings
Table 1 to Subpart D of Part 59--Volatile Organic Compound (VOC) Content
Limits for Architectural Coatings
Subpart E_National volatile organic compound emission standards for
aerosol coatings
59.500 What is the purpose of this subpart?
59.501 Am I subject to this subpart?
59.502 When do I have to comply with this subpart?
59.503 What definitions apply to this subpart?
59.504 What limits must I meet?
59.505 How do I demonstrate compliance with the reactivity limits?
59.506 How do I demonstrate compliance if I manufacture multi-component
kits?
59.507 What are the labeling requirements for aerosol coatings?
59.508 What test methods must I use?
59.509 Can I get a variance?
59.510 What records am I required to maintain?
59.511 What notifications and reports must I submit?
59.512 Addresses of EPA regional offices.
59.513 State authority.
59.514 Circumvention.
59.515 Incorporations by reference.
59.516 Availability of information and confidentiality
Table 1 to Subpart E of Part 59--Product-Weighted Reactivity Limits by
Coating Category
Table 2A to Subpart E of Part 59--Reactivity Factors
Table 2B to Subpart E of Part 59--Reactivity Factors for Aliphatic
Hydrocarbon Solvent Mixtures
Table 2C to Subpart E of Part 59--Reactivity Factors for Aromatic
Hydrocarbon Solvent Mixtures
Subpart F_Control of Evaporative Emissions From New and In-Use Portable
Fuel Containers
Overview and Applicability
59.600 Does this subpart apply for my products?
59.601 Do the requirements of this subpart apply to me?
59.602 What are the general prohibitions and requirements of this
subpart?
59.603 How must manufacturers apply good engineering judgment?
59.605 What portable fuel containers are excluded from this subpart's
requirements?
59.607 Submission of information.
Emission Standards and Related Requirements
59.611 What evaporative emission requirements apply under this subpart?
59.612 What emission-related warranty requirements apply to me?
59.613 What operation and maintenance instructions must I give to
buyers?
59.615 How must I label and identify the portable fuel containers I
produce?
Certifying Emission Families
59.621 Who may apply for a certificate of conformity?
59.622 What are the general requirements for obtaining a certificate of
conformity and producing portable fuel containers under it?
59.623 What must I include in my application?
59.624 How do I amend my application for certification?
59.625 How do I select emission families?
59.626 What emission testing must I perform for my application for a
certificate of conformity?
59.627 How do I demonstrate that my emission family complies with
evaporative emission standards?
59.628 What records must I keep and what reports must I send to EPA?
[[Page 327]]
59.629 What decisions may EPA make regarding my certificate of
conformity?
59.630 EPA testing.
59.650 General testing provisions.
59.652 Other procedures.
59.653 How do I test portable fuel containers?
Special Compliance Provisions
59.660 Exemption from the standards.
59.662 What temporary provisions address hardship due to unusual
circumstances?
59.663 What are the provisions for extending compliance deadlines for
manufacturers under hardship?
59.664 What are the requirements for importing portable fuel containers
into the United States?
Definitions and Other Reference Information
59.680 What definitions apply to this subpart?
59.685 What symbols, acronyms, and abbreviations does this subpart use?
59.695 What provisions apply to confidential information?
59.697 State actions.
59.698 May EPA enter my facilities for inspections?
59.699 How do I request a hearing?
Authority: 42 U.S.C. 7414 and 7511b(e).
Source: 64 FR 48815, Sept. 11, 1998, unless otherwise noted.
Subpart A_General
Source: 71 FR 58753, Oct. 5, 2006, unless otherwise noted.
Sec. 59.1 Final determinations under Section 183(e)(3)(C) of the CAA.
This section identifies the consumer and commercial product
categories for which EPA has determined that CTGs will be substantially
as effective as regulations in reducing VOC emissions in ozone
nonattainment areas:
(a) Wood furniture coatings;
(b) Aerospace coatings;
(c) Shipbuilding and repair coatings;
(d) Lithographic printing materials;
(e) Letterpress printing materials;
(f) Flexible packaging printing materials;
(g) Flat wood paneling coatings;
(h) Industrial cleaning solvents;
(i) Paper, film, and foil coatings;
(j) Metal furniture coatings;
(k) Large appliance coatings;
(l) Miscellaneous metal products coatings;
(m) Plastic parts coatings;
(n) Auto and light-duty truck assembly coatings;
(o) Fiberglass boat manufacturing materials; and
(p) Miscellaneous industrial adhesives.
[73 FR 58491, Oct. 7, 2008]
Subpart B_National Volatile Organic Compound Emission Standards for
Automobile Refinish Coatings
Sec. 59.100 Applicability and designation of regulated entity.
(a) The provisions of this subpart apply to automobile refinish
coatings and coating components manufactured on or after January 11,
1999 for sale or distribution in the United States.
(b) Regulated entities are manufacturers and importers of automobile
refinish coatings or coating components that sell or distribute these
coatings or coating components in the United States.
(c) The provisions of this subpart do not apply to automobile
refinish coatings or coating components meeting the criteria in
paragraphs (c)(1) through (c)(6) of this section.
(1) Coatings or coating components that are manufactured (in or
outside the United States) exclusively for sale outside the United
States.
(2) Coatings or coating components that are manufactured (in or
outside the United States) before January 11, 1999.
(3) Coatings or coating components that are manufactured (in or
outside the United States) for use by original equipment manufacturers.
(4) Coatings that are sold in nonrefillable aerosol containers.
(5) Lacquer topcoats or their components.
(6) Touch-up coatings.
Sec. 59.101 Definitions.
Adhesion promoter means a coating designed to facilitate the bonding
of a primer or topcoat on surfaces such as trim moldings, door locks,
and door sills, where sanding is impracticable, and on plastic parts and
the edges of sanded areas.
[[Page 328]]
Administrator means the Administrator of the United States
Environmental Protection Agency (U.S. EPA) or an authorized
representative.
Automobile means passenger cars, vans, motorcycles, trucks, and all
other mobile equipment.
Automobile refinish coating component means any portion of a
coating, such as a reducer or thinner, hardener, additive, etc.,
recommended (by its manufacturer or importer) to distributors or end-
users for automobile refinishing. The raw materials used to produce the
components that are mixed by the end-user to prepare a coating for
application are not considered automobile refinish coating components.
Any reference to automobile refinishing made by a manufacturer or
importer on a container or in product literature constitutes a
recommendation for automobile refinishing.
Automobile refinish coating or coating component importer, or
importer, means any company, group, or individual that brings automobile
refinish coatings or coating components from a location outside the
United States into the United States for sale or distribution in the
United States.
Automobile refinish coating or coating component manufacturer, or
manufacturer, means any company, group, or individual that produces or
packages automobile refinish coatings or coating components for sale or
distribution in the United States, including an entity which produces or
packages such coatings or coating components under a private label for
another party.
Automobile refinishing means the process of coating automobiles or
their parts, including partial body collision repairs, that is
subsequent to the original coating applied at an automobile original
equipment manufacturing plant.
Container means the individual receptacle that holds a coating or
coating component for storage and distribution.
Cut-in, or jambing, clearcoat means a fast-drying, ready-to-spray
clearcoat applied to surfaces such as door jambs and trunk and hood
edges to allow for quick closure.
Elastomeric coating means a coating designed for application over
flexible parts, such as elastomeric bumpers.
Exempt compounds means specific organic compounds that are not
considered volatile organic compounds due to negligible photochemical
reactivity. The exempt compounds are specified in Sec. 51.100(s) of this
chapter.
Hardener means a coating component specifically designed to promote
a faster cure of an enamel finish.
Impact-resistant coating means a coating designed to resist chipping
caused by road debris.
Label means any written, printed, or graphic matter affixed to or
appearing upon any automobile refinish coating or coating component
container or package for purposes of identifying or giving information
on the product, use of the product, or contents of the container or
package.
Lacquer means a thermoplastic coating which dries primarily by
solvent evaporation, and which is resoluble in its original solvent.
Low-gloss coating means a coating which exhibits a gloss reading
less than or equal to 25 on a 60 glossmeter.
Mixing instructions means the coating or coating component
manufacturer's or importer's specification of the quantities of coating
components for mixing a coating.
Mobile equipment means any equipment that is physically capable of
being driven or drawn upon a highway including, but not limited to, the
following types of equipment: construction vehicles (such as mobile
cranes, bulldozers, concrete mixers); farming equipment (wheel tractor,
plow, pesticide sprayer); hauling equipment (truck trailers, utility
bodies, camper shells); and miscellaneous equipment (street cleaners,
golf carts).
Multi-colored topcoat means a topcoat that exhibits more than one
color, is packaged in a single container, and camouflages surface
defects on areas of heavy use, such as cargo beds and other surfaces of
trucks and other utility vehicles.
Pretreatment wash primer means a primer that contains a minimum of
0.5 percent acid, by weight, that is applied
[[Page 329]]
directly to bare metal surfaces to provide corrosion resistance and to
promote adhesion of subsequent coatings.
Primer means any coating applied prior to the application of a
topcoat for the purpose of corrosion resistance and/or adhesion.
Primer-sealer means any coating applied prior to the application of
a topcoat for the purpose of corrosion resistance, adhesion of the
topcoat, and/or color uniformity and to promote the ability of an
undercoat to resist penetration by the topcoat.
Primer-surfacer means any coating applied prior to the application
of a topcoat for the purpose of filling surface imperfections in the
substrate, corrosion resistance, and/or adhesion of the topcoat.
Reducer means any solvent used to thin enamels.
Underbody coating means a coating designed for protection and sound
deadening that is typically applied to the wheel wells and underbody of
an automobile.
Single-stage topcoat means a topcoat consisting of only one coating.
Specialty coatings means adhesion promoters, low-gloss coatings,
bright metal trim repair coatings, jambing (cut-in) clearcoats,
elastomeric coatings, impact resistant coatings, underbody coatings,
uniform finish blenders, and weld-through primers.
Thinner means any solvent used to reduce the viscosity or solids
content of a coating.
Three-stage topcoat means a topcoat composed of a pigmented
basecoat, a midcoat, and a transparent clearcoat.
Topcoat means any coating or series of coatings applied over a
primer or an existing finish for the purpose of protection or
beautification.
Touch-up coating means a coating applied by brush, air-brush, or
nonrefillable aerosol can to cover minor surface damage.
Two-stage topcoat means a topcoat consisting of a pigmented basecoat
and a transparent clearcoat.
Uniform finish blender means a coating designed to blend a repaired
topcoat into an existing topcoat.
United States means the United States of America, including the
District of Columbia, Puerto Rico, the Virgin Islands, Guam, American
Samoa, and Commonwealth of the Northern Mariana Islands.
Volatile organic compounds or VOC means any compound of carbon,
other than those organic compounds that the Administrator has excluded
in 40 CFR part 51, Sec. 51.100 from this definition.
VOC content means the weight of VOC per volume of coating,
calculated according to the procedures in Sec. 59.104(a) of this
subpart.
Water hold-out coating means a coating applied to the interior
cavity areas of doors, quarter panels and rocker panels for the purpose
of corrosion resistance to prolonged water exposure.
Weld-through primer means a primer that is applied to an area before
welding is performed, and that provides corrosion resistance to the
surface after welding has been performed.
Sec. 59.102 Standards.
(a) Except as provided in Sec. 59.106 of this subpart, any coating
resulting from the mixing instructions of a regulated entity must meet
the VOC content limit given in table 1 of this subpart. VOC content is
determined according to Sec. 59.104(a).
(b) Different combinations or mixing ratios of coating components
constitute different coatings. For example, coating components may be
mixed one way to make a primer, and mixed another way to make a primer
sealer. Each of these coatings must meet its corresponding VOC content
limit in table 1 of this subpart. If the same combination and mixing
ratio of coating components is recommended by a regulated entity for use
in more than one category in table 1 of this subpart, then the most
restrictive VOC content limit shall apply.
Sec. 59.103 Container labeling requirements.
Each regulated entity subject to this subpart must clearly display
on each automobile refinish coating or coating component container or
package, the day, month, and year on which the product was manufactured,
or a code indicating such date.
[[Page 330]]
Sec. 59.104 Compliance provisions.
(a) For the purpose of determining compliance with the VOC content
limits in Sec. 59.102(a) of this subpart, each regulated entity shall
determine the VOC content of a coating using the procedures described in
paragraph (a)(1) or (a)(2) of this section, as appropriate.
(1) Determine the VOC content in grams of VOC per liter of coating
prepared for application according to its mixing instructions, excluding
the volume of any water or exempt compounds. VOC content shall be
calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR11SE98.000
Where:
VOC content = grams of VOC per liter of coating;
Wv = mass of total volatiles, in grams;
Ww = mass of water, in grams;
Wec = mass of exempt compounds, in grams;
V = volume of coating, in liters;
Vw = volume of water, in liters; and
Vec = volume of exempt compounds, in liters.
(2) The VOC content of a multi-stage topcoat shall be calculated
using the following equation:
[GRAPHIC] [TIFF OMITTED] TN23NO98.000
Where:
VOCmulti = VOC content of a multi-stage topcoat, in grams of
VOC per liter of coating;
VOCbc = VOC content of the basecoat, as determined in
paragraph (a)(1) or (f) of this section;
VOCmci = VOC content of midcoat i, as determined in paragraph
(a)(1) or (f) of this section;
VOCcc = VOC content of the clearcoat, as determined in
paragraph (a)(1) or (f) of this section; and
M = Number of midcoats.
(b) To determine the composition of a coating in order to perform
the calculations in paragraph (a) of this section, the reference method
for VOC content is Method 24 of appendix A of 40 CFR part 60, except as
provided in paragraph (f) of this section. To determine the VOC content
of a coating, the regulated entity may use Method 24 of appendix A of 40
CFR part 60, an alternative method as provided in paragraph (f) of this
section, or any other reasonable means for predicting that the coating
has been formulated as intended (e.g., quality assurance checks,
recordkeeping). However, if there are any inconsistencies between the
results of a Method 24 test and any other means for determining VOC
content, the Method 24 test results will govern. The Administrator may
require the regulated to conduct a Method 24 analysis.
(c) If a regulated entity recommends that its coating component(s)
be combined with coating components of another regulated entity, and if
the coating resulting from such a combination does not comply with the
VOC content limit in Sec. 59.102 (a) of this subpart, then the former
regulated entity is out of compliance, unless the entity submits Method
24 data to the Administrator demonstrating that its recommended
combination of coating components meets the VOC content limit in
Sec. 59.102(a). If the latter regulated entity does not make the
recommendation of such use of the coating components, then that entity
is not out of compliance for purposes of that resulting coating.
(d) Pretreatment wash primers: Except as provided in paragraph (f)
of this section, the acid weight percent of pretreatment wash primers
must be determined using the American Society for Testing and Materials
Test Method D 1613-96 (incorporated by reference in Sec. 59.110). If the
pigment in a pretreatment wash primer prevents the use of this test
method for determining the acid weight percent of the coating, then the
test method shall be used for the nonpigmented component of the coating,
and the acid weight percent shall be calculated based on the acid
content of the nonpigmented component and the mixing ratio of the
nonpigmented component to the remaining components recommended by the
regulated entity.
(e) Low-gloss coatings: Except as provided in paragraph (f) of this
section, the gloss reading of low-gloss coatings must be determined
using the American Society for Testing and Materials
[[Page 331]]
Test Method D 523-89 (incorporated by reference in Sec. 59.110).
(f) The Administrator may approve, on a case-by-case basis, a
regulated entity's use of an alternative method in lieu of Method 24 for
determining the VOC content of coatings if the alternative method is
demonstrated to the Administrator's satisfaction to provide results that
are acceptable for purposes of determining compliance with this subpart.
(g) The Administrator may determine a regulated entity's compliance
with the provisions of this subpart based on information required by
this subpart or any other information available to the Administrator.
[63 FR 48815, Sept. 11, 1998; 63 FR 64761, Nov. 23, 1998]
Sec. 59.105 Reporting requirements.
(a) Each regulated entity must submit an initial report no later
than January 11, 1999 or within 180 days of the date that the regulated
entity first manufactures or imports automobile refinish coatings or
coating components, whichever is later. The initial report must include
the information in paragraphs (a)(1) through (a)(4) of this section.
(1) The name and mailing address of the regulated entity.
(2) An explanation of each date code, if such codes are used to
represent the date of manufacture, as provided in Sec. 59.103.
(3) The street address of each of the regulated entity's facilities
in the United States that is producing, packaging, or importing
automobile refinish coatings or coating components subject to the
provisions of this subpart.
(4) A list of the categories from table 1 of this subpart for which
the regulated entity recommends the use of automobile refinish coatings
or coating components.
(b) Each regulated entity must submit an explanation of any new date
codes used by the regulated entity no later than 30 days after products
bearing the new date code are first introduced into commerce.
Sec. 59.106 Variance.
(a) Any regulated entity that cannot comply with the requirements of
this subpart because of circumstances beyond its reasonable control may
apply in writing to the Administrator for a temporary variance. The
variance application must include the information specified in
paragraphs (a)(1) through (a)(3).
(1) The specific grounds upon which the variance is sought.
(2) The proposed date(s) by which the regulated entity will achieve
compliance with the provisions of this subpart. This date must be no
later than 5 years after the issuance of a variance.
(3) A compliance plan detailing the method(s) by which the regulated
entity will achieve compliance with the provisions of this subpart.
(b) Upon receipt of a variance application containing the
information required in paragraph (a) of this section, the Administrator
will publish a notice of such application in the Federal Register and,
if requested by any party, will hold a public hearing to determine
whether, under what conditions, and to what extent, a variance from the
requirements of this subpart is necessary and will be granted. If
requested, a hearing will be held no later than 75 days after receipt of
a variance application. Notice of the time and place of the hearing will
be sent to the applicant by certified mail not less than 30 days prior
to the hearing. At least 30 days prior to the hearing, the variance
application will be made available to the public for inspection.
Information submitted to the Administrator by a variance applicant may
be claimed as confidential. The Administrator may consider such
confidential information in reaching a decision on a variance
application. Interested members of the public will be allowed a
reasonable opportunity to testify at the hearing.
(c) The Administrator will issue a variance if the criteria
specified in paragraphs (c)(1) and (c)(2) are met to the satisfaction of
the Administrator.
(1) If complying with the provisions of this subpart would not be
technologically or economically feasible, and
[[Page 332]]
(2) The compliance plan proposed by the applicant can reasonably be
implemented and will achieve compliance as expeditiously as possible.
(d) Any variance will specify dates by which the regulated entity
will achieve increments of progress towards compliance, and will specify
a final compliance date by which the regulated entity will achieve
compliance with this subpart.
(e) A variance will cease to be effective upon failure of the party
to whom the variance was issued to comply with any term or condition of
the variance.
(f) Upon the application of any party, the Administrator may review
and, for good cause, modify or revoke a variance after holding a public
hearing in accordance with the provisions of paragraph (b) of this
section.
Sec. 59.107 Addresses of EPA Regional Offices.
All requests, reports, submittals, and other communications to the
Administrator pursuant to this regulation shall be submitted to the
Regional Office of the EPA which serves the State or territory in which
the corporate headquarters of the regulated entity resides. These areas
are indicated in the following list of EPA Regional Offices.
EPA Region I (Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, Vermont), Director, Office of Environmental Stewardship,
Mailcode: OES04-5, 5 Post Office Square--Suite 100, Boston, MA 02109-
3912.
EPA Region II (New Jersey, New York, Puerto Rico, Virgin Islands),
Director, Division of Enforcement and Compliance Assistance, 290
Broadway, New York, NY 10007-1866.
EPA Region III (Delaware, District of Columbia, Maryland, Pennsylvania,
Virginia, West Virginia), Air Protection Division, 1650 Arch Street,
Philadelphia, PA 19103.
EPA Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, South Carolina, Tennessee), Director, Air, Pesticides and
Toxics, Management Division, 345 Courtland Street, NE., Atlanta, GA
30365.
EPA Region V (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin),
Director, Air and Radiation Division, 77 West Jackson Blvd., Chicago, IL
60604-3507.
EPA Region VI (Arkansas, Louisiana, New Mexico, Oklahoma, Texas),
Director, Air, Pesticides and Toxics Division, 1445 Ross Avenue, Dallas,
TX 75202-2733.
EPA Region VII (Iowa, Kansas, Missouri, Nebraska), Director, Air and
Waste Management Division, 11201 Renner Boulevard, Lenexa, Kansas 66219.
EPA Region VIII (Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming), Director, Air and Toxics Division, 999 18th Street, 1 Denver
Place, Suite 500, Denver, Colorado 80202-2405.
EPA Region IX (Arizona, California, Hawaii and Nevada; the territories
of American Samoa and Guam; the Commonwealth of the Northern Mariana
Islands; the territories of Baker Island, Howland Island, Jarvis Island,
Johnston Atoll, Kingman Reef, Midway Atoll, Palmyra Atoll, and Wake
Islands; and certain U.S. Government activities in the freely associated
states of the Republic of the Marshall Islands, the Federated States of
Micronesia, and the Republic of Palau), Director, Air Division, 75
Hawthorne Street, San Francisco, CA 94105.
EPA Region X (Alaska, Oregon, Idaho, Washington), Director, Air and
Toxics Division, 1200 Sixth Avenue, Seattle, WA 98101.
[64 FR 48815, Sept. 11, 1998, as amended at 75 FR 69349, Nov. 12, 2010;
76 FR 49672, Aug. 11, 2011; 78 FR 37976, June 25, 2013]
Sec. 59.108 State Authority.
The provisions in this regulation shall not be construed in any
manner to preclude any State or political subdivision thereof from:
(a) Adopting and enforcing any emission standard or limitation
applicable to a manufacturer or importer of automobile refinish coatings
or components in addition to the requirements of this subpart.
(b) Requiring the manufacturer or importer of automobile refinish
coatings or components to obtain permits, licenses, or approvals prior
to initiating construction, modification, or operation of a facility for
manufacturing an automobile refinish coating component.
Sec. 59.109 Circumvention.
Each manufacturer and importer of any automobile refinish coating or
component subject to the provisions of this subpart must not alter,
destroy, or falsify any record or report, to conceal what would
otherwise be noncompliance with this subpart. Such concealment includes,
but is not limited to, refusing to provide the Administrator access to
all required records and date-coding information, altering the VOC
[[Page 333]]
content of a coating or component batch, or altering the results of any
required tests to determine VOC content.
Sec. 59.110 Incorporations by Reference.
(a) The following material is incorporated by reference in the
paragraphs noted in Sec. 59.104. These incorporations by reference were
approved by the Director of the Federal Register in accordance with 5
U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated as
they exist on the date of the approval, and notice of any changes in
these materials will be published in the Federal Register.
(1) ASTM D 1613-96, Standard Test Method for Acidity in Volatile
Solvents and Chemical Intermediates Used in Paint, Varnish, Lacquer, and
Related Products, IBR approved for Sec. 59.104(d).
(2) ASTM D 523-89, Standard Test Method for Specular Gloss, IBR
approved for Sec. 59.104(e).
(b) The materials are available for inspection at the Air and
Radiation Docket and Information Center, U.S. EPA, 401 M St., SW.,
Washington, DC; and at the EPA Library (MD-35), U.S. EPA, Research
Triangle Park, North Carolina, or at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html. The
materials are available for purchase from the following address:
American Society for Testing and Materials (ASTM), 100 Barr Harbor
Drive, West Conshohocken, PA, 19428, telephone number (610) 832-9500.
[64 FR 48815, Sept. 11, 1998, as amended at 69 FR 18803, Apr. 9, 2004]
Sec. 59.111 Availability of information and confidentiality.
(a) Availability of information. The availability to the public of
information provided to or otherwise obtained by the Administrator under
this part shall be governed by part 2 of this chapter.
(b) Confidentiality. All confidential business information entitled
to protection under section 114(c) of the Act that must be submitted or
maintained by each regulated entity pursuant to this section shall be
treated in accordance with 40 CFR part 2, subpart B.
Sec. Table 1 to Subpart B of Part 59--Volatile Organic Compound (VOC)
Content Limits for Automobile Refinish Coatings
------------------------------------------------------------------------
Pounds VOC
Coating category Grams VOC per gallon
per liter \a\
------------------------------------------------------------------------
Pretreatment wash primers....................... 780 6.5
Primers/primer surfacers........................ 580 4.8
Primer sealers.................................. 550 4.6
Single/two-stage topcoats....................... 600 5.0
Topcoats of more than two stages................ 630 5.2
Multi-colored topcoats.......................... 680 5.7
Specialty coatings.............................. 840 7.0
------------------------------------------------------------------------
\a\ English units are provided for information only. Compliance will be
determined based on the VOC content limit, as expressed in metric
units.
Subpart C_National Volatile Organic Compound Emission Standards for
Consumer Products
Source: 63 FR 48831, Sept. 11, 1998, unless otherwise noted.
Sec. 59.201 Applicability and designation of regulated entity.
(a) The provisions of the subpart apply to consumer products
manufactured or imported on or after December 10, 1998 for sale or
distribution in the United States.
(b) The regulated entity is: the manufacturer or importer of the
product; and any distributor that is named on the product label. The
manufacturer or importer of the product is a regulated entity for
purposes of compliance with the volatile organic compounds (VOC) content
or emission limits in Sec. 49.203, regardless of whether the
manufacturer or importer is named on the label or not. The distributor,
if named on the label, is the regulated entity for purposes of
compliance with all sections of this part except for Sec. 59.203.
Distributors whose names do not appear on the label are not regulated
entities. If no distributor is named on the label, then the manufacturer
or importer is responsible for compliance with all sections of this
part.
(c) The provisions of this subpart do not apply to consumer products
that
[[Page 334]]
meet the criteria specified in paragraph (c)(1) through (c)(7) of this
section.
(1) Any consumer product manufacturer in the United States for
shipment and use outside of the United States.
(2) Insecticides and air fresheners containing at least 98-percent
paradichlorobenzene or at least 98-percent naphthalene.
(3) Adhesives sold in containers of 0.03 liter (1 ounce) or less.
(4) Bait station insecticides. For the purpose of this subpart, bait
station insecticides are containers enclosing an insecticidal bait that
does not weigh more than 14 grams (0.5 ounce), where bait is designed to
be ingested by insects and is composed of solid material feeding
stimulants with less than 5-percent by weight active ingredients.
(5) Air fresheners whose VOC constituents, as defined in
Secs. 59.202 and 59.203(f), consist of 100-percent fragrance.
(6) Non-aerosol moth proofing products that are principally for the
protection of fabric from damage by moths and other fabric pests in
adult, juvenile, or larval forms.
(7) Flooring seam sealers used to join or fill the seam between two
adjoining pieces of flexible sheet flooring.
Sec. 59.202 Definitions.
The terms used in this subpart are defined in the Clean Air Act
(Act) or in this section as follows:
Administrator means the Administrator of the United States
Environmental Protection Agency (EPA) or an authorized representative.
Aerosol cooking spray means any aerosol product designed either to
reduce sticking on cooking and baking surfaces or to be directly applied
on food for the purpose of reducing sticking on cooking and baking
surfaces, or both.
Aerosol product means a product characterized by a pressurized spray
system that dispenses product ingredients in aerosol form by means of a
propellant (i.e., a liquefied or compressed gas that is used in whole or
in part, such as a co-solvent, to expel a liquid or any other material
from the same self-pressurized container or from a separate container)
or mechanically induced force. ``Aerosol product'' does not include pump
sprays.
Agricultural use means the use of any pesticide or method or device
for the control of pests in connection with the commercial production,
storage, or processing of any animal or plant crop. ``Agricultural use''
does not include the sale or use of pesticides in properly labeled
packages or containers that are intended for:
(1) Household use;
(2) Use in structural pest control; or
(3) Institutional use.
Air freshener means any consumer product including, but not limited
to, sprays, wicks, powders, and crystals designed for the purpose of
masking odors, or freshening, cleaning, scenting, or deodorizing the
air. This does not include products that are used on the human body,
products that function primarily as cleaning products, disinfectant
products claiming to deodorize by killing germs on surfaces, or
institutional/industrial disinfectants when offered for sale solely
through institutional and industrial channels of distribution. It does
include spray disinfectants and other products that are expressly
represented for use as air fresheners, except institutional and
industrial disinfectants when offered for sale through institutional and
industrial channels of distribution. To determine whether a product is
an air freshener, all verbal and visual representations regarding
product use on the label or packaging and in the product's literature
and advertising may be considered. The presence of, and representations
about, a product's fragrance and ability to deodorize (resulting from
surface application) shall not constitute a claim of air freshening.
All other forms means all consumer product forms for which no form-
specific VOC standard is specified. Unless specified otherwise by the
applicable VOC standard, ``all other forms'' include, but are not
limited to, solids,liquids, wicks, powders, crystals, and cloth or paper
wipes (towelettes).
Automotive windshield washer fluid means any liquid designed for use
in a motor vehicle windshield washer system either as an antifreeze or
for the purpose of cleaning, washing, or wetting the windshield.
``Automotive
[[Page 335]]
windshield washer fluid'' does not include fluids placed by the
manufacturer in a new vehicle.
Bathroom and tile cleaner means a product designed to clean tile or
surfaces in bathrooms. ``Bathroom and tile cleaner'' does not include
products specifically designed to clean toilet bowls or toilet tanks.
Carburetor and choke cleaner means a product designed to remove dirt
and other contaminants from a carburetor or choke. ``Carburetor and
choke cleaner'' does not include products designed to be introduced
directly into the fuel lines or fuel storage tank prior to introduction
into the carburetor, or solvent use regulated under 40 CFR part 63,
subpart T (halogenated solvent national emission standards for hazardous
air pollutants (NESHAP)).
Charcoal lighter material means any combustible material designed to
be applied on, incorporated in, added to, or used with charcoal to
enhance ignition. ``Charcoal lighter material'' does not include any of
the following:
(1) Electrical starters and probes;
(2) Metallic cylinders using paper tinder;
(3) Natural gas; and
(4) Propane.
Construction and panel adhesive means any one-component household
adhesive having gap-filling capabilities that distributes stress
uniformly throughout the bonded area resulting in a reduction or
elimination of mechanical fasteners.
Consumer means any person who purchases or acquires any consumer
product for personal, family, household, or institutional use. Persons
acquiring a consumer product for resale are not ``consumers'' of that
product.
Consumer product means any household or institutional product
(including paints, coatings, and solvents), or substance, or article
(including any container or packaging) held by any person, the use,
consumption, storage, disposal, destruction, or decomposition of which
may result in the release of VOC. For the purposes of this subpart,
consumer product means any product listed in tables 1 or 2 of this
subpart.
Contact adhesive means any household adhesive that:
(1) When applied to two substrates, forms an instantaneous,
nonrepositionable bond;
(2) When dried to touch, exhibits a minimum 30-minute bonding range;
and
(3) Bonds only to itself without the need for reactivation by
solvents or heat.
Container or packaging means the part or parts of the consumer
product that serve only to contain, enclose, incorporate, deliver,
dispense, wrap, or store the chemically formulated substance or mixture
of substances that is solely responsible for accomplishing the purposes
for which the product was designed or intended. ``Container or
packaging'' includes any article onto or into which the principal
display panel is incorporated, etched, printed, or attached.
Crawling bug insecticide means any insecticide product that is
designed for use against crawling arthropods including, but not limited
to, ants, cockroaches, mites (but not house dust mites), silverfish, or
spiders. ``Crawling bug insecticide'' does not include products for
agricultural use or products designed to be used exclusively on humans
or animals.
Distributor means any person to whom a consumer product is sold or
supplied for the purposes of resale or distribution in commerce.
Double-phase aerosol air freshener means an aerosol air freshener
with liquid contents in two or more distinct phases that requires the
product container to be shaken before use to mix the phases, producing
an emulsion.
Dusting aid means a product designed to assist in removing dust and
other soils from floors and other surfaces without leaving a wax or
silicone-based coating. ``Dusting aid'' does not include products that
consist entirely of compressed gases for use in electronic or other
specialty areas.
Engine degreaser means a cleaning product designed to remove grease,
grime, oil, and other contaminants from the external surfaces of engines
and other mechanical parts. ``Engine degreaser'' does not include any
solvent used in parts washing equipment, or any solvent use regulated
under 40
[[Page 336]]
CFR part 63, subpart T (halogenated solvent NESHAP).
Fabric protectant means a product designed to be applied to fabric
substrates to protect the surface from soiling from dirt and other
impurities or to reduce absorption of water into the fabric's fibers.
``Fabric protectant'' does not include silicone-based products whose
function is to provide water repellency, or products designed for use
solely on fabrics that are labeled ``dry clean only.''
Flea and tick insecticide means any insecticide product that is
designed for use against fleas, ticks, and their larvae, or their eggs.
``Flea and tick insecticide'' does not include products that are
designed to be used exclusively on humans or animals or their bedding.
Flexible flooring material means asphalt, cork, linoleum, no-wax,
rubber, seamless vinyl, and vinyl composite flooring.
Floor polish or wax means a wax, polish, or any other product
designed to polish, protect, or enhance floor surfaces by leaving a
protective coating that is designed to be periodically replenished.
``Floor polish or wax'' does not include ``spray buff products,''
products designed solely for the purpose of cleaning floors, floor
finish strippers, products designed for unfinished wood floors, and
coatings subject to 40 CFR part 59, subpart D--National Volatile Organic
Compound Emission Standards for Architectural Coatings.
Floor seam sealer means any low viscosity specialty adhesive used in
small quantities for the sole purpose of bonding adjoining rolls of
installed flexible sheet flooring or to fill any minute gaps between and
adjoining rolls.
Flying bug insecticide means any insecticide product that is
designed for use against flying insects including, but not limited to,
flies, mosquitoes, and gnats. ``Flying bug insecticide'' does not
include ``wasp and hornet insecticide'' or products that are designed to
be used exclusively on humans or animals or their bedding.
Fragrance means a substance or mixture of aroma chemicals, natural
essential oils, and other functional components that is added to a
consumer product to impart an order or scent, or to counteract a
malodor.
Furniture maintenance product means a wax, polish, conditioner, or
any other product designed for the product designed for the purpose of
polishing, protecting, or enhancing finished wood surfaces other than
floors. Furniture maintenance product'' does not include dusting aids,
products designed solely for the purpose of cleaning, and products
designed to leave a permanent finish such as stains, sanding sealers,
and lacquers.
Gel means a colloid in which the dispersed phase has combined with
the continuous phase to produce a semisolid material, such as jelly.
General purpose adhesive means any nonaerosol household adhesive
designed for use on a variety of substrates. General purpose adhesives
do not include contact adhesives or construction and panel adhesives.
General purpose cleaner means a product designed for general all-
purpose cleaning, in contrast to cleaning products designed to clean
specific substrates in certain situations. ``General purpose cleaner''
includes products designed for general floor cleaning, kitchen or
countertop cleaning, and cleaners designed to be used on a variety of
hard surfaces.
Glass cleaner means a cleaning product designed primarily for
cleaning surfaces made of glass. Glass cleaner does not include products
designed solely for the purpose of cleaning optical materials used in
eyeglasses, photographic equipment, scientific equipment, and
photocopying machines.
Hair mousse means a hairstyling foam designed to facilitate styling
of a coiffure and provide limited holding power.
Hair styling gel means a high-viscosity, often gelatinous product
that contains a resin and is designed for the application to hair to aid
in styling and sculpting of the hair coiffure.
Hairspray means a consumer product designed primarily for the
purpose of dispensing droplets of a resin on and into a hair coiffure to
impart sufficient rigidity to the coiffure to establish or retain the
style for a period of time.
High-volatility organic compound or HVOC means any organic compound
that exerts a vapor pressure greater
[[Page 337]]
than 80 millimeters of mercury when measured at 20 degrees Celsius.
Household adhesive means any household product that is used to bond
one surface to another by attachment. ``Household adhesive'' does not
include products used on humans or animals, adhesive tape, contact
paper, wallpaper shelf liners, or any other product with an adhesive
incorporated onto or in an inert substrate.
Household product means any consumer product that is primarily
designed to be used inside or outside of living quarters or residences,
including the immediate surroundings, that are occupied or intended for
occupation by individuals.
Household use means use of a product in a home or its immediate
environment.
Importer means any person who brings a consumer product that was
manufactured, filled, or packaged at a location outside of the United
States into the United States for sale or distribution in the United
States.
Industrial use means use for, or in, a manufacturing, mining, or
chemical process or use in the operation of factories, processing
plants, and similar sites.
Insecticide means a pesticide product that is designed for use
against insects or other arthropods, excluding any product that is:
(1) For agricultural use; or
(2) A restricted use pesticide.
Insecticide fogger means any insecticide product designed to release
all or most of its content as a fog or mist into indoor areas during a
single application. Foggers may target a variety of pests including (but
not limited to) fleas and ticks, crawling insects, lawn and garden
pests, and flying insects. Foggers are not subject to the specific VOC
limitations or other categories of insecticides list in table 1 of this
subpart.
Institutional product means a consumer product that is designed for
use in the maintenance or operation of an establishment that
manufactures, transports, or sells goods or commodities, or provides
services for profit; or is engaged in the nonprofit promotion of a
particular public, educational, or charitable cause. ``Establishments''
include, but are not limited to, government agencies, factories,
schools, hospitals, sanitariums, prisons, restaurants, hotels, stores,
automobile service and parts centers, health clubs, theaters, or
transportation companies. ``Institutional product'' does not include
household products and products that are incorporated into or used
exclusively in the manufacture or construction of the goods or
commodities that are produced by the establishment.
Institutional use means use within the confines of or on property
necessary for the operation of buildings' including, but not limited to,
government agencies, factories, sanitariums, prisons, restaurants,
hotels, stores, automobile service and parts centers, health clubs,
theaters, transportation companies, hospitals, schools, libraries,
auditoriums, and office complexes.
Label means any written, printed, or graphic matter affixed to,
applied to, attached to, blown into, formed, molded into, embossed on,
or appearing upon any consumer product package for purposes of branding,
identifying, or giving information with respect to the product or to the
contents of the package.
Laundry prewash means a product that is designed for application to
a fabric prior to laundering and that supplements and contributes to the
effectiveness of laundry detergents and/or provides specialized
performance.
Laundry starch product means a product that is designed for
application to a fabric, either during or after laundering, to impart
and prolong a crisp look and may also facilitate ironing of the fabric.
``Laundry starch product'' includes, but it not limited to, fabric
finish, sizing, and starch.
Lawn and garden insecticide means an insecticide product designed
primarily to be used in household lawn and garden areas to protect
plants from insects or other arthropods.
Liquid means a substance or mixture of substances that flows
readily, but, unlike a gas, does not expand indefinitely (i.e., a
substance with constant volume but not constant shape). ``Liquid'' does
not include powders or other materials that are composed entirely of
solid particles.
[[Page 338]]
Manufacturer means any person who manufacturers or processes a
consumer product. Manufacturers include:
(1) Processors who blend and mix consumer products,
(2) Contract fillers who develop formulas and package these formulas
under a distributor's label;
(3) Contract fillers who manufacture products using formulas
provided by a distributor; and
(4) Distributors who specify formulas to be used by a contract
filler or processor.
Nail polish remover means a product designed to remove nail polish
or coatings from fingernails or toenails.
Nonagricultural pesticide means and includes any substance or
mixture of substances that is a pesticide as defined in section 2(u) of
the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136-
136y).
Nonresilient flooring means floor of a mineral content that is not
flexible. ``Nonresilient flooring'' includes, but is not limited to,
terrazzo, marble, slate, granite, brick, stone, ceramic tile, and
concrete.
Oven cleaner means any cleaning product designed to clean and to
remove dried food deposits from oven interiors.
Person means an individual corporation, partnership, association,
State, any agency, department, or instrumentality of the United States,
and any officer, agent, or employee thereof.
Principal display panel(s) means that part, or those parts, of a
label that are so designed as to most likely be displayed, presented,
shown, or examined under normal and customary conditions of display or
purchase. Whenever a principal display panel appears more than once, all
requirements pertaining to the ``principal display panel'' shall pertain
to all such ``principal display panels.''
Product category means that applicable category which best describes
the product as listed in tables 1 or 2 of this subpart and which appears
on the product's principal display panel.
Product form means the form that most accurately describes the
product's dispensing from including aerosols, gels, liquids, pump
sprays, and solids.
Pump spray means a packaging system in which the product ingredients
are expelled only while a pumping action is applied to a button,
trigger, or other actuator. Pump spray product ingredients are not under
pressure.
Representative consumer product means a consumer product that is
subject to the same VOC limit in Sec. 59.203 as the innovative product.
Restricted use pesticide means a pesticide that has been classified
for restricted use under the provisions of section 3(d) of the Federal
Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136-136y).
Shaving cream means an aerosol product that dispenses a foam lather
intended to be used with a blade or cartridge razor, or other wet-
shaving system in the removal of facial or other body hair.
Single-phase aerosol air freshener means an aerosol air freshener
with liquid contents in a single homogeneous phase that does not require
that the product container be shaken before use.
Solid means a substance or mixture of substances that does not flow
or expand readily (i.e., a substance with constant volume such as the
particles constituting a powder). ``Solid'' does not include liquids or
gels.
Spray buff product means a product designed to restore a worn floor
finish in conjunction with a floor buffing machine and special pad.
Structural waterproof adhesive means an adhesive whose bond lines
are resistant to conditions of continuous immersion in fresh or salt
water, and that conforms with Federal Specification MMM-A-181 (Type 1,
Grade A), and MIL-A-4605 (Type A, Grade A and Grade C).
Underarm antiperspirant means any aerosol product that is intended
by the manufacturer to be used to reduce perspiration in the human
axilla by at least 20 percent in at least 50 percent of a target
population.
Underarm deodorant means any aerosol product that is intended by the
manufacturer to be used minimize odor in the human axilla by retarding
the growth of bacteria that cause the decomposition of perspiration.
[[Page 339]]
United States means the United States of America, including the
District of Columbia, the Commonwealth of Puerto Rico, the Virgin
Islands, Guam, American Samoa, and the Commonwealth of the Northern
Mariana Islands.
Usage directions means the text or graphics on the consumer
product's label or accompanying literature that describes to the end
user how and in what quantity the product is to be used.
Volatile organic compound or VOC means any compound that meets the
definition of a VOC, as defined under 40 CFR part 51, subpart F, and in
subsequent amendments.
Wasp and hornet insecticide means any insecticide product that is
designed for use against wasps, hornets, yellow jackets, or bees by
allowing the user to spray a high-volume directed stream or burst from a
safe distance at the intended pest or its hiding place.
Wax means an organic mixture or compound with low melting point and
high molecular weight, which is solid at room temperature. Waxes are
generally similar in composition to fats and oils except that they
contain no glycerides. ``Wax'' includes, but is not limited to,
substances such as carnauba wax, lanolin, and beeswax derived from the
secretions of plants and animals; substances of a mineral origin such as
ozocerite, montan, and paraffin; and synthetic substances such as
chlorinated naphthalenes and ethylenic polymers.
Wood floor wax means wax-based products for use solely on wood
floors.
[63 FR 48815, Sept. 11, 1998; 63 FR 52319, Sept. 30, 1998]
Sec. 59.203 Standards for consumer products.
(a) The manufacturer or importer of any consumer product subject to
this subpart small ensure that the VOC content levels in table 1 of this
subpart and HVOC content levels in table 2 of this subpart are not
exceeded for any consumer product manufactured or imported on or after
December 10, 1998, except as provided in paragraphs (b) and (c) of this
section, or in Secs. 59.204 or 59.206.
(b) For consumer products for which the label, packaging, or
accompanying literature specifically states that the product should be
diluted prior to use, the VOC content limits specified in paragraph (a)
of this section shall apply to the product only after the minimum
recommended dilution has taken place. For purposes of this paragraph,
``minimum recommended dilution'' shall not include recommendations for
incidental use of a concentrated product to deal with limited special
applications such as hard-to-remove soils or stains.
(c) For those consumer products that are registered under the
Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. section
136-136y) (FIFRA), the compliance date of the VOC standards specified in
paragraph (a) of this section is December 10, 1999.
(d) The provisions specified in paragraphs (d)(1) through (d)(4) of
this section apply to charcoal lighter materials.
(1) No person shall manufacture or import any charcoal lighter
material after December 10, 1998 that emits, on average, greater than 9
grams of VOC per start, as determined by the procedures specified in
Sec. 59.208.
(2) The regulated entity for a charcoal lighter material shall label
the product with usage directions that specify the quantity of charcoal
lighter material per pound of charcoal that was used in the testing
protocol specified in Sec. 59.208 for that product unless the provisions
in either paragraph (e)(2)(i) or (e)(2)(ii) of this section apply.
(i) The charcoal lighter material is intended to be used in fixed
amounts independent of the amount of charcoal used, such as paraffin
cubes; or
(ii) The charcoal lighter material is already incorporated into the
charcoal, such as certain ``bag light,'' ``instant light,'' or ``match
light'' products.
(3) Records of emission testing results for all charcoal lighter
materials must be made available upon request to the Administrator for
enforcement purposes within 30 days of receipt of such requests.
(4) If a manufacturer or importer has submitted records of emission
testing of a charcoal lighter material to a
[[Page 340]]
State or local regulatory agency, such existing records may be submitted
under paragraph (d)(3) of this section in lieu of new test data,
provided the product formulation is unchanged from that which was
previously tested. Such previous testing must have been conducted in
accordance with the test protocol described in Sec. 59.208 or a test
protocol that is approved by the Administrator as an alternate.
(e) Fragrances incorporated into a consumer product up to a combined
level of 2 weight-percent shall not be included in the weight-percent
VOC calculation.
(f) The VOC content limits in table 1 of this subpart shall not
include any VOC that:
(1) Has a vapor pressure of less than 0.1 millimeters of mercury at
20 degrees Celsius; or
(2) Consists of more than 12 carbon atoms, if the vapor pressure is
unknown; or
(3) Has a melting point higher than 20 degrees Celsius and does not
sublime (i.e., does not change directly from a solid into a gas without
melting), if the vapor pressure is unknown.
(g) The requirements of paragraph (a) of this Section shall not
apply to those VOC in antiperspirants or deodorants that contain more
than 10 carbon atoms per molecule and for which the vapor pressure is
unknown, or that have a vapor pressure of 2 millimeters of mercury or
less at 20 degrees Celsius.
(h) a manufacturer or importer may use the vapor pressure
information provided by the raw material supplier as long as the
supplier uses a method to determine vapor pressure that is generally
accepted by the scientific community.
(i) For hydrocarbon solvents that are complex mixtures of many
different compounds and that are supplied on a specification basis for
use in a consumer product, the vapor pressure of the hydrocarbon blend
may be used to demonstrate compliance with the VOC content limits of
this section. Identification of the concentration and vapor pressure for
each such component in the blend is not required for compliance with
this subpart.
Sec. 59.204 Innovative product provisions.
(a) Upon notification to the Administrator, a consumer product that
is subject to this subpart may exceed the applicable limit in table 1 or
2 of this subpart if the regulated entity demonstrates that, due to some
characteristic of the product formulation, design, delivery systems, or
other factors, the use of the product will result in equal or less VOC
emissions that specified in paragraph (a)(1) or (a)(2) of this section.
(1) The VOC emissions from a representative consumer product, as
described in Sec. 59.202, that complies with the VOC standards specified
in Sec. 59.203(a); or
(2) The calculated VOC emissions from a noncomplying representative
product, if the product had been reformulated to comply with the VOC
standards specified in Sec. 59.203(a). The VOC emissions shall be
calculated by using Equation 1.
[GRAPHIC] [TIFF OMITTED] TR11SE98.002
Where
ER = The VOC emissions from the noncomplying representative
product, had it been reformulated.
ENC = The VOC emissions from the noncomplying representative
product in its current formulation.
VOCSTD = The VOC standard specified in Sec. 59.203(a).
VOCNC = The VOC content of the noncomplying product in its
current formulation.
(b) If a regulated entity demonstrates to the satisfaction of the
Administrator that the equation in paragraph (a)(2) of the this section
yields inaccurate results due to some characteristic of the product
formulation or other factors, an alternate method that accurately
calculates emissions may be used upon approval of the Administrator.
(c) A regulated entity shall notify the Administrator in writing of
its intent to enter into the market an innovative product meeting the
requirements of paragraph (a) of this section. The Administrator must
receive the written notification by the time the innovative product is
available for sale
[[Page 341]]
or distribution to consumers. Notification shall include the information
specified in paragraph (c)(1) and (c)(2) of this section.
(1) Supporting documentation that demonstrates the emissions from
the innovate product, including the actual physical test methods used to
generate the data and, if necessary, the consumer testing undertaken to
document product usage;
(2) Any information necessary to enable the Administrator to
establish enforceable conditions for the innovative product, including
the VOC content of the innovative product expressed as a weight-
percentage, and test methods for determining the VOC content.
(d) At the option of the regulated entity, the regulated entity may
submit a written request for the Administrator's written concurrence
that the innovative product fulfills the requirements of paragraph (a)
of this section. If such a request is made, the Administrator will
respond as specified in paragraphs (d)(1) through (d)(3) of this
section.
(1) The Administrator will determine within 30 days of receipt
whether the documentation submitted in accordance with paragraph (d) of
this section is complete.
(2) The Administrator will determine whether the innovative product
shall be exempt from the requirements of Sec. 59.203(a) within 90 days
after an application has been deemed complete. The applicant and the
Administrator may mutually agree to a longer time period for reaching a
decision, and additional supporting documentation may be submitted by
the applicant before a decision has been reached. The Administrator will
notify the applicant of the decision in writing and specify such terms
and conditions that are necessary to insure that emissions from the
product will meet the emissions reductions specified in paragraph (a) of
this section, and that such emissions reductions can be enforced.
(3) If an applicant has been granted an exemption to a State or
local regulation for an innovative product by a State or local agency
whose criteria for exemption meet or exceed those provided for in this
section, the applicant may submit the factual basis for such an
exemption as part of the documentation required under paragraph (d) of
this section. In such case, the Administrator will make the
determination required under this paragraph within 45 days after the
applications is considered complete.
(e) In granting an exemption for a product, the Administrator will
establish conditions that are enforceable. These conditions may include
the VOC content of the innovative product, dispensing rates, application
rates, and any other parameters determined by the Administrator to be
necessary. The Administrator will also specify the test methods for
determining conformance to the conditions established, including
criteria for reproducibility, accuracy, and sampling and laboratory
procedures.
(f) For any product for which an exemption has been granted pursuant
to this section, the regulated entity to whom the exemption was granted
shall notify the Administrator in writing within 30 days after any
change in the product formulation or recommended product usage
directions, and shall also notify the Administrator within 30 days after
the regulated entity learns of any information that would alter the
emissions estimates submitted to the Administrator in support of the
exemption application.
(g) If lower VOC content limits are promulgated for a product
category through any subsequent rulemaking, all exemptions granted under
this section for products in the product category shall no longer apply
unless the innovative product has been demonstrated to have VOC
emissions less than the applicable revised VOC content limits.
(h) If the Administrator determines that a consumer product for
which an exemption has been granted no longer meets the VOC emissions
criteria specified in paragraph (a) of this section for an innovative
product, the Administrator may modify or revoke the exemption as
necessary to assure that the product will meet these criteria. The
Administrator will not modify or revoke an exemption without first
affording the applicant an opportunity for a public hearing to determine
if the
[[Page 342]]
exemption should be modified or revoked.
[63 FR 48815, Sept. 11, 1998; 63 FR 52319, Sept. 30, 1998]
Sec. 59.205 Labeling.
(a) The container or package of each consumer product that is
subject to this subpart shall clearly display the day, month, and year
on which the product was manufactured, or a code indicating such date.
The requirements of this provision shall not apply to products that are
offered to consumers free of charge for the purposes of sampling the
product.
(b) In addition, the container or package for each charcoal lighter
material that is subject to this subpart shall be labeled according to
the provisions of Sec. 59.203(d)(2).